2020 Book ResponsibleDesignImplementatio PDF

Marié Hattingh · Machdel Matthee ·
Hanlie Smuts · Ilias Pappas ·

Yogesh K. Dwivedi · Matti Mäntymäki (Eds.)
Responsible Design,
LNCS 12066
Implementation and Use

of Information and
Communication Technology
19th IFIP WG 6.11 Conference on
e-Business, e-Services, and e-Society, I3E 2020
Skukuza, South Africa, April 6–8, 2020
Proceedings, Part I
Lecture Notes in Computer Science 12066
Founding Editors
Gerhard Goos
Karlsruhe Institute of Technology, Karlsruhe, Germany
Juris Hartmanis
Cornell University, Ithaca, NY, USA
Editorial Board Members

Elisa Bertino
Purdue University, West Lafayette, IN, USA
Wen Gao
Peking University, Beijing, China
Bernhard Steffen
TU Dortmund University, Dortmund, Germany
Gerhard Woeginger
RWTH Aachen, Aachen, Germany
Moti Yung
Columbia University, New York, NY, USA
More information about this series at http://www.springer.com/series/7409
Marié Hattingh Machdel Matthee
• •
Hanlie Smuts Ilias Pappas

• •
Yogesh K. Dwivedi Matti Mäntymäki (Eds.)

•
Responsible Design,
Implementation and Use
of Information and
Communication Technology
19th IFIP WG 6.11 Conference on
e-Business, e-Services, and e-Society, I3E 2020
Skukuza, South Africa, April 6–8, 2020
Proceedings, Part I
123
Editors
Marié Hattingh Machdel Matthee
University of Pretoria University of Pretoria
Pretoria, South Africa Pretoria, South Africa
Hanlie Smuts Ilias Pappas
University of Pretoria University of Agder
Pretoria, South Africa Kristiansand, Norway
Yogesh K. Dwivedi Matti Mäntymäki
Swansea University University of Turku
Swansea, UK Turku, Finland
ISSN 0302-9743 ISSN 1611-3349 (electronic)

Lecture Notes in Computer Science
ISBN 978-3-030-44998-8 ISBN 978-3-030-44999-5 (eBook)
https://doi.org/10.1007/978-3-030-44999-5
LNCS Sublibrary: SL3 – Information Systems and Applications, incl. Internet/Web, and HCI
© IFIP International Federation for Information Processing 2020

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Preface
This book presents the proceedings of the 19th International Federation of Information
Processing (IFIP) Conference on e-Business, e-Services, and e-Society (I3E 2020),
which was held in Skukuza, Kruger National Park, South Africa, during April 6–8,
2020. The annual I3E conference is a core part of Working Group 6.11, which aims to
organize and promote the exchange of information and co-operation related to all
aspects of e-Business, e-Services, and e-Society (the three Es). The I3E conference
series is truly interdisciplinary and welcomed contributions from both academics and
practitioners alike.
The main theme of the 2020 conference was “Responsible design, implementation
and use of information and communication technology.” In line with the inclusive
nature of the I3E series, all papers related to e-Business, e-Services, and e-Society were
welcomed.
The age of digital transformation opens up exciting new avenues for design and
application of ICTs. Yet, with the ubiquitous connectedness of a digitally transformed
world, come unintended, unpredictable, and often adverse consequences for individ-
uals, societies, and organizations – in developed and developing contexts. Security,
privacy, trustworthiness, exploitation, and well-being are some of the pressing concerns
resulting from new digital realities.
There is need for responsible design, implementation, and use of information sys-
tems (IS) based on critical awareness and ethical practices. As rightly put by Schultze
(2017:65): “As IS researchers we need to examine our own practices – including the
questions we ask, the methods we deploy and theories we adopt – to understand and
critically review our world-making.”
The IFIP I3E 2020 was held during April 6–8, 2020, and brought together contri-
butions from a variety of perspectives, disciplines, and communities for the advance-
ment of knowledge regarding responsible design, implementation, and use of
information and communications technology. This was evident by our variety of
keynote speakers and topics for the panel discussions. We were delighted to welcome
three distinguished keynote speakers:
– Mr. James van der Westhuizen who is the founder and managing partner of
KnowHouse, founded 20 years ago out of a passion to work differently with the
challenge of learning and change in organizations. He is a global consultant and
facilitator working across the African continent, the Middle East, Europe, and Asia.
– Prof. Irwin Brown is a full Professor and Head of the Department of Information
Systems (IS) at the University of Cape Town. His research interests relate to the-
orizing about IS phenomena in developing countries.
– Prof. Dr. Shirish C. Srivastava is a tenured full Professor and holds the GS1 Chair
on ‘Digital Content for Omni Channel’ at HEC Paris. His rich experience includes
coaching senior executives on issues related to managing technology emerging
technologies (such as big data, blockchains, and artificial intelligence), technology
vi Preface
enabled innovation, entrepreneurship, and managing cross-border business

relationships.
The conference held two panels to facilitate discussions on important topics. The
first panel on “Blockchain – hope or hype? Blockchain as a disruptive force” was
chaired by Dr. Matti Mäntymäki. Blockchain is surrounded by considerable optimism
and enthusiasm among businesses and academia. This enthusiasm is evidenced by the
numerous calls for papers in journals and dedicated blockchain tracks in conferences.
The purpose of the panel was to make sense of the actual significance of the blockchain
phenomenon and provoke discussion and exchange of ideas among the I3E commu-
nity. To this end, the panel paid homage to the heterogenous nature of the I3E com-
munity and invited a diverse of group of expert panellists to share their distinctive
perspectives on blockchain.
The second panel, made up of a panel of editors, was chaired by Dr. Shirish C.
Srivastava. The panel consisted of six journal editors from international and local
(South African) publications. Each editor gave an explanation on the requirements for
authors when submitting to their journal.
The Call for Papers solicited submissions in two main categories: full research
papers and short research-in-progress papers. Each submission was reviewed by at least
two knowledgeable academics in the field, in a double-blind process. The 2020 con-
ference received 191 submissions. Out of the 191 papers, 91 papers were selected to be
presented at the conference. Four of the accepted papers were not included in the final
proceedings because the authors decided to withdraw it. Thus, the acceptance rate was
45.5%.
Following the conference, two special issues were organized for selected best papers
of the I3E 2020. The two special issues are in the International Journal of Information
Management (IJIM) and the International Journal of Electronic Government Research
(IJEGR).
The final set of 87 full and short papers submitted to I3E 2020 that appear in these
proceedings were clustered into 14 groups, each of which are outlined below.
Part I: addressing the area of Blockchain. Three papers were grouped under this
theme. One of the papers proposed a framework for the adoption of blockchain whilst
another reported on the application of blockchain technology in Healthcare. The third
paper examined the potential disruptive impact of cryptocurrencies.
Part II of the book addressed papers on the Fourth Industrial Revolution. Nine
papers were grouped under this theme. Paper details range from a systematic literature
review on the incompatibility of Smart manufacturing for SMMEs to the development
of models and frameworks through the application of Smart technologies. One paper
included a bibliographic coupling and co-occurrence on the topic of Smart City and
Economy, whilst another reported on robotic automation and the consequences for
knowledge workers. The final paper reported on the co-creation for digitalization in
Norwegian business clusters.
Part III of the book addressed e-Business. 12 papers were grouped under this theme.
The papers presented works on online banking quality, a conceptual framework for
digital entrepreneurship, mobile applications, online switching behavior, and how
games are used in business. Three papers reported on systematic review of literature on
Preface vii
eWOM, mobile shopping acceptance predictors and social commerce adoption pre-
dictors. The final paper presented a review of papers published from 2001 to 2019 by
I3E.
Part IV of the book addressed Business Processes. 10 papers were grouped under
this theme. The papers presented works on governance achieved through business
process management, how IT is being used in Fintech Innovation, a meta model for
maturity models, and a strategic model for the safeguarding the preservation of busi-
ness value. In addition to these themes, papers were presented on using the story-card
method for business process re-engineering, using Zachman’s framework as an IS
theory and a review of the Task-Technology Fit Theory.
Part V of the book addressed Big Data and Machine Learning. Seven papers were
grouped under this theme. The papers presented work on using machine learning in the
field of healthcare, data governance, using a deep learning neural network model to
predict information diffusion on Twitter, and big data visualization tools.
Part VI of the book addresses ICT and Education. Seven papers were grouped under
this theme. The papers presented work on mobile learning, new considerations for
flipped classroom approach, and eModeration system considerations.
Part VII of the book addressed eGovernment. Six papers were grouped under this
theme. The papers presented work on the use of social media in eParticipation,
enterprise architectures in eGovernments, and eGovernment implementation frame-
work. Other themes included were digital innovation in public organizations, imple-
mentation challenges in eProcurement, and a case from Ghana on the effects on
National Health Insurance digital platform development and use.
Part VIII of the book addressed eHealth. Six papers were grouped under this theme.
Papers presented work on the use of technology for diabetic patients, factors
influencing community health workers, wearable devices, and a Twitter social network
analysis of the South African Health Insurance Bill.
Part IX of the book addressed Security. Four papers were grouped under this theme.
Papers presented work on cyber-harassment among LGBTQIA+ youth, online identity
theft, cybersecurity readiness of e-tail organizations, and the ethics of using publicly
available data.
Part X of the book addressed Social Media. Six papers were grouped under this
theme. Papers presented works on a conceptual framework for media use behavior,
metaphors of social media, credibility of online information (fake news), and prob-
lematic media and technology use.
Part XI of the book addressed Knowledge and Knowledge Management. Three
papers were grouped under this theme. Papers presented work on knowledge transfer
science education, a knowledge asset management implementation framework, and a
conceptual knowledge visualization framework for knowledge transfer.
Part XII of the book addressed ICT for Gender Equality and Development. Nine
papers were grouped under this theme. Papers presented work on the rural vs urban
digital divide, socio-economic factors in Internet usage in Nigeria, and enablers and
barriers of mobile commerce and banking services among elderly individuals.
A methodology for addressing the second-level digital divide, gender equality in the
ICT context, digital competence requirements, and the influence of culture on women’s
IT career choices were also presented.
viii Preface
Part XIII of the book addressed Information Systems for Governance. Four papers
were grouped under this theme. Papers presented work on the use of machine learning
on financial inclusion data for governance in Eswatini, ordinance-tweet mining to
disseminate urban policy knowledge for smart governance, open technology innovation
in healthcare services, and multi-stakeholder-centric data analytics governance
framework.
Part XIV of the book addressed User Experience and Usability. Three papers were
grouped under this theme. Papers presented work on the use of machine learning and
eye tracking to predict users’ ratings on the aesthetics of websites, a systematic review
on designing for positive emotional responses in users of interactive digital tech-
nologies, and a methodology to compare the usability of information systems.
The success of the 19th IFIP I3E Conference (I3E 2020) was a result of the enor-
mous efforts of numerous people and organizations. Firstly, this conference was only
made possible by the continued support of WG 6.11 for this conference series and for
selecting South Africa to host it in 2020, for which we are extremely grateful. We
received many good-quality submissions from authors across the globe and we would
like to thank them for choosing I3E 2020 as the outlet to present and publish their
current research. We are indebted to the Program Committee, who generously gave up
their time to provide constructive reviews and facilitate the improvement of the sub-
mitted manuscripts. We would like to thank the Department of Informatics of the
University of Pretoria for their support in enabling us to host this conference. Thank
you to AfricaMassive that assisted us with all the logistical arrangements with hosting
the conference in Skukuza located in the Kruger National Park. Finally, we extend our
sincere gratitude to everyone involved in organizing the conference, to our esteemed
keynote speakers, and to Springer LNCS as the publisher of these proceedings, which
we hope will be of use for the continued development of research related to the three
Es1.
February 2020 Marié Hattingh

Machdel Matthee
Hanlie Smuts
Ilias Pappas
Yogesh K. Dwivedi
Matti Mäntymäki
1
Due to the global COVID-19 pandemic and the consequential worldwide imposed travel restrictions
and lock down, the I3E 2020 conference event scheduled to take place in Skukuza, South Africa, was
unfortunately cancelled.
Organization
Conference Chairs
Marié (M. J.) Hattingh University of Pretoria, South Africa
Machdel Matthee University of Pretoria, South Africa
Hanlie Smuts University of Pretoria, South Africa
Ilias Pappas University of Adger and Norwegian University
of Science and Technology (NTNU), Norway
Yogesh K. Dwivedi Swansea University, UK
Matti Mäntymäki University of Turku, Finland
Program Committee Chairs

Marié (M. J.) Hattingh University of Pretoria, South Africa
Machdel Matthee University of Pretoria, South Africa
Hanlie Smuts University of Pretoria, South Africa
Ilias Pappas University of Adger and Norwegian University
of Science and Technology, Norway
Yogesh K. Dwivedi Swansea University, UK
Matti Mäntymäki University of Turku, Finland
Keynote Speakers
Irwin Brown University of Cape Town, South Africa
James van der Westhuizen KnowHouse, South Africa
Shirish C. Srivastava HEC Paris, France
Program Committee
Rami Abu Wadi Ahlia University, Bahrain
Funmi Adebesin University of Pretoria, South Africa
Kayode Ibrahim Adenuga Universiti Tecknologi, Malaysia
Michael Adu Kwarteng Tomas Bata University, Czech Republic
Augustus Barnnet Anderson University of Ghana, Ghana
Bokolo Anthony Jnr. Norwegian University of Science and Technology,
Norway
Oluwasefunmi Arogundade Chinese Academy of Science, China
Lynette Barnard Nelson Mandela University, South Africa
Clara Benac Earle Polytechnic University of Madrid, Spain
Khalid Benali University of Lorraine, France
Djamal Benslimane Claude Bernard University Lyon 1, France
Edward Bernroider Vienna University of Economic and Business, Austria
x Organization
Elmi Bester UNISA, South Africa

Dzifa Bibi University of Ghana, Ghana
Katja Bley Dresden University of Technology, Germany
Deonie Botha Deloitte, South Africa
Jacques Brosens University of Pretoria, South Africa
Paul Brous Delft University of Technology, The Netherlands
Peter André Busch University of Agder, Norway
Andre Calitz Nelson Mandela University, South Africa
Sunil Choenni Research and Documentation Centre (WODC),
Ministry of Justice, The Netherlands
Mahdieh Darvish ESCP Business School, Germany
Dinara Davlembayeva Newcastle University, UK
Carina De Villiers University of Pretoria, South Africa
Marne de Vries University of Pretoria, South Africa
Jules Degila Institute of Mathematics and Physics, Benin
Denis Dennehy National University of Ireland, Ireland
Vipin Deval Tallinn University of Technology, Estonia
Christos Douligeris University of Piraeus, Greece
Dirk Draheim Software Competence Center Hagenberg, Austria
Alena Droit Osnabrueck University, Germany
Jacobus Du Preez University of Pretoria, South Africa
Edward Entee University of Ghana, Ghana
Sunet Eybers University of Pretoria, South Africa
Olakumbi Fadiran UNISA, South Africa
Sam February Accenture, South Africa
Jennifer Ferreira Victoria University of Wellington, New Zealand
Blanka Frydrychova University of Hradec Kralove, Czech Republic
Klimova
Shang Gao Örebro University, Sweden
Ping Gao The University of Manchester, UK
Aurona Gerber University of Pretoria, South Africa
Claude Godart University of Lorraine, France
Javier Gomez Autonomous University of Madrid, Spain
Anastasia Griva Athens University of Economics and Business, Greece
Sara Grobbelaar Stellenbosch University, South Africa
Lucas Gumbi UNISA, South Africa
Hong Guo Anhui University, China
Remko Helms The Open University, The Netherlands
Raoul Hentschel Dresden University of Technology, Germany
Grant Royd Howard UNISA, South Africa
Vigneswara Ilavarasan Indian Institute of Technology, India
Marijn Janssen Delft University of Technology, The Netherlands
Debora Jeske University College Cork, Ireland
Arpan Kar Indian Institute of Technology, India
Caroline Khene Rhodes University, South Africa
Eija Koskivaara University of Turku, Finland
Organization xi
Paula Kotzé University of Pretoria, South Africa

Jan H. Kroeze UNISA, South Africa
Rendani Kruger University of Pretoria, South Africa
Abhinav Kumar The National Institute of Technology Patna, India
Amit Kumar Kushwaha GAP, India
Andreas D. Landmark SINTEF, Norway
Sven Laumer Friedrich-Alexander-Universität Erlangen-Nürnberg,
Germany
Daniel Le Roux Stellenbosch University, South Africa
Hongxiu Li Turku School of Economics, Finland
Lieb Liebenberg University of Pretoria, South Africa
Marianne Loock UNISA, South Africa
Hugo Lotriet UNISA, South Africa
Mario Marais CSIR Meraka Institute, South Africa
Emanuele Gabriel Tuscia University, Italy
Margherita
Davit Marikyan Newcastle University, UK
Linda Marshall University of Pretoria, South Africa
Tendani Mawela University of Pretoria, South Africa
Nita Mennega University of Pretoria, South Africa
Jan Mentz UNISA, South Africa
Patrick Mikalef Norwegian University of Science and Technology,
Norway
Tshepiso Mokoena CSIR, South Africa
Mathias Mujinga UNISA, South Africa
Matthias Murawski ESCP Europe Business School, Germany
Mohammed Khaled Bangladesh University of Professionals, Bangladesh
Mustafa
Mpho Mzingelwa University of KwaZulu Natal, South Africa
Rennie Naidoo University of Pretoria, South Africa
Alex Norta Tallinn University of Technology, Estonia
Kayode Odusanya Loughborough University, UK
Kwame Simpe Ofori University of Electronic Science and Technology
of China, China
Kingsley Ofosu-Ampong University of Ghana, Ghana
Olabode Ogunbodede Newcastle University, UK
Leif Erik Opland Norwegian University of Science and Technology,
Norway
Makoto Oya Computer Institute of Japan, Japan
Niki Panteli Royal Holloway University of London, UK
Savvas Papagiannidis Newcastle University, UK
Zacharoula Papamitsiou Norwegian University of Science and Technology,
Norway
Sofia Papavlasopoulou Norwegian University of Science and Technology,
Norway
xii Organization
Elena Parmiggiani Norwegian University of Science and Technology,

Norway
Douglas Parry Stellenbosch University, South Africa
Marcel Pikhart University of Hradec Kralove, Czech Republic
Colin Pilkington UNISA, South Africa
Komla Pillay University of Pretoria, South Africa
Henk Pretorius University of Pretoria, South Africa
Tania Prinsloo University of Pretoria, South Africa
Maciel Queiroz Paulista University, Brazil
Van Raj UNISA, South Africa
Nripendra Rana Swansea University, UK
Anthony Renner-Micah University of Ghana, Ghana
Suzanne Sackstein WITS University, South Africa
Brenda Scholtz Nelson Mandela University, South Africa
Lisa Seymour University of Cape Town, South Africa
Anuragini Shirish University of Paris-Saclay, France
Djofack Sidonie University of Yaounde II, Cameroon
Ivana Simonova University of Jan Evangelista Purkyne, Czech Republic
Konstantina Spanaki Loughborough University, UK
Ruan Spies Stellenbosch University, South Africa
Riana Steyn University of Pretoria, South Africa
Ilse Struweg University of Johannesburg, South Africa
Zhaohao Sun Federation University Australia, Australia
Reima Vesa Suomi University of Turku, Finland
Libuse Svobodova University of Hradec Kralove, Czechia
Kuttimani Tamilmani Swansea University, UK
Maureen Tanner University of Cape Town, South Africa
Ali Tarhini Sultan Qaboos University, Oman
Temitope Oluwaseyi Tokosi Nelson Mandela University, South Africa
Cathrine Tømte University of Adger, Noway
Juan Carlos Torrado Vidal Autonomous University of Madrid, Spain
Pieter Toussaint Norwegian University of Science and Technology,
Norway
Rakhi Tripathi FORE School of Management, India
Valentyna Tsap Tallinn University of Technology, Estonia
Pitso Tsibolane Stellenbosch University, South Africa
Marita Turpin University of Pretoria, South Africa
Parijat Upadhyay IMT Nagpur, India
Jean-Paul Van Belle University of Cape Town, South Africa
Judy van Biljon UNISA, South Africa
Rogier Van de Wetering Open University, The Netherlands
Thomas van der Merwe UNISA, South Africa
Alta Van der Merwe University of Pretoria, South Africa
J. P. van Deventer University of Pretoria, South Africa
Organization xiii
Corné Van Staden UNISA, South Africa

Izak Van Zyl Cape Peninsula University of Technology,
South Africa
Polyxeni Vassilakopoulou University of Agder, Norway
Jari Veijalainen University of Jyvaskyla, Finland
Hans Weigand Tilburg University, The Netherlands
Lizette Weilbach University of Pretoria, South Africa
Ted White UNISA, South Africa
Michael Williams Swansea University, UK
Milla Wiren University of Turku, Finland
Khulekani Yakobi Nelson Mandela University, South Africa
Hiroshi Yoshiura The University of Electro-Communications, Japan
Hans-Dieter Zimmermann FHS St. Gallen University of Applied Sciences,
Switzerland
Contents – Part I
Block Chain
A Framework for the Adoption of Blockchain-Based e-Procurement

Systems in the Public Sector: A Case Study of Nigeria . . . . . . . . . . . . . . . . 3
Temofe Isaac Akaba, Alex Norta, Chibuzor Udokwu, and Dirk Draheim
Blockchain Technology for Empowering Patient-Centred Healthcare:

A Pilot Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Themba Makubalo, Brenda Scholtz, and Temitope Oluwaseyi Tokosi
Exploring the Disruptiveness of Cryptocurrencies: A Causal Layered

Analysis-Based Approach. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Matti Mäntymäki, Milla Wirén, and A. K. M. Najmul Islam
Fourth Industrial Revolution
SMME Readiness for Smart Manufacturing (4IR) Adoption:

A Systematic Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Lucas Gumbi and Hossana Twinomurinzi
Using Theories to Design a Value Alignment Model

for Smart City Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Anthea van der Hoogen, Brenda Scholtz, and Andre P. Calitz
Complementary Partnerships for SMEs: A Relational Capability Maturity

Model from an Ecosystem Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Caro Els, Sara Grobbelaar, and Denzil Kennon
The Role of Digital Connectivity in Supply Chain and Logistics Systems:

A Proposed SIMPLE Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Maciel M. Queiroz and Samuel Fosso Wamba
A Strategic Organisational Perspective of Industry 4.0:

A Conceptual Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
Stefan Smuts, Alta van der Merwe, and Hanlie Smuts
SMART City and Economy: Bibliographic Coupling and Co-occurrence . . . . 102

Libuše Svobodová and Dorota Bednarska-Olejniczak
Robotic Process Automation and Consequences for Knowledge Workers;

a Mixed-Method Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Tom Roar Eikebrokk and Dag Håkon Olsen
xvi Contents – Part I
Co-creation for Digitalization: A Study of Co-creation in Norwegian

Business Clusters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
Dag H. Olsen, Tom Roar Eikebrokk, Kristian Aspø, and Elaine Sajets
A Framework for Industrial Internet of Things . . . . . . . . . . . . . . . . . . . . . . 138

Jacques Jansen and Alta van der Merwe
eBusiness
Cybersecurity Readiness of E-tail Organisations: A Technical Perspective . . . 153

Mahmood Hussain Shah, Raza Muhammad, and Nisreen Ameen
Consumer Mobile Shopping Acceptance Predictors and Linkages:

A Systematic Review and Weight Analysis . . . . . . . . . . . . . . . . . . . . . . . . 161
Kuttimani Tamilmani, Nripendra P. Rana, Yogesh K. Dwivedi,
and Hatice Kizgin
Social Commerce Adoption Predictors: A Review and Weight Analysis. . . . . 176

Prianka Sarker, Laurie Hughe, Yogesh K. Dwivedi,
and Nripendra P. Rana
Digital Entrepreneurship in Business Enterprises: A Systematic Review . . . . . 192

Samuel Anim-Yeboah, Richard Boateng, Emmanuel Awuni Kolog,
Acheampong Owusu, and Ibrahim Bedi
Assessing the Role of Trust in Merchant Adoption of Mobile Payments

in Ghana . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
Eunice Yeboah, Richard Boateng, Acheampong Owusu,
Eric Afful-Dadzie, and Joshua Ofori-Amanfo
The Influence of Price Comparison Websites on Online Switching

Behavior: A Consumer Empowerment Perspective . . . . . . . . . . . . . . . . . . . 216
Michael Adu Kwarteng, Abdul Bashiru Jibril, Elsamari Botha,
and Christian Nedu Osakwe
Online Banking Service Quality: A South African E-S-QUAL Analysis . . . . . 228

Mathias Mujinga
The Characteristics of Digital Entrepreneurship and Digital Transformation:

A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
Joshua Antonizzi and Hanlie Smuts
Mapping the Intellectual Progress in e-Business, e-Services and e-Society

from 2001 to 2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
Zacharoula Papamitsiou and Patrick Mikalef
Contents – Part I xvii
Weight Analysis of the Factors Affecting eWOM Providing Behavior . . . . . . 266

Elvira Ismagilova, Yogesh K. Dwivedi, Nripendra P. Rana,
Uthayasankar Sivarajah, and Vishanth Weerakkody
An Intelligent Marketspace Mobile Application for Marketing

Organic Products. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
Oluwasefunmi ‘Tale Arogundade, Adebayo Abayomi-Alli,
Kayode Adesemowo, Taiwo Bamigbade, Modupe Odusami,
and Victor Olowe
How Corporates in South Africa Are Using Serious Games in Business. . . . . 288
Shiraz Amod and Sumarie Roodt
Business Processes
A Theoretical Framework for IT-Enabled and IT-Enforced Corporate

Governance Compliance Utilizing BPMSs . . . . . . . . . . . . . . . . . . . . . . . . . 301
Hendrik Willem Pretorius and Alta van der Merwe
The Role of Information Technology in Fintech Innovation:

Insights from the New York City Ecosystem . . . . . . . . . . . . . . . . . . . . . . . 313
Stanislav Mamonov
Governance Challenges Constraining Business Process Management:

The Case of a Large South African Financial Services Corporate . . . . . . . . . 325
Carmen Doyle and Lisa F. Seymour
Overcoming the Ivory Tower: A Meta Model for Staged Maturity Models . . . 337
Katja Bley, Hendrik Schön, and Susanne Strahringer
Towards a Strategic Model for Safeguarding the Preservation of Business

Value During Human Interactions with Information Systems . . . . . . . . . . . . 350
Chris D. Grobler and Thomas M. van der Merwe
How to Measure Digitalization? A Critical Evaluation of Digital

Maturity Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
Tristan Thordsen, Matthias Murawski, and Markus Bick
Business Process Re-engineering and Agile Software Development:

Applying the Story-Card Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370
Elijah Djan and Marné de Vries
The Zachman Framework for Enterprise Architecture:

An Explanatory IS Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
Aurona Gerber, Pierre le Roux, Carike Kearney,
and Alta van der Merwe
xviii Contents – Part I
A Scoping Review of the Application of the Task-Technology Fit Theory . . . 397

Ruan Spies, Sara Grobbelaar, and Adele Botha
A Broker-Based Framework for the Recommendation of Cloud Services:

A Research Proposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
Raoul Hentschel and Susanne Strahringer
Big Data and Machine Learning
Unsupervised Anomaly Detection of Healthcare Providers Using

Generative Adversarial Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 419
Krishnan Naidoo and Vukosi Marivate
Data Governance as Success Factor for Data Science. . . . . . . . . . . . . . . . . . 431

Paul Brous, Marijn Janssen, and Rutger Krans
Happiness and Big Data – Theoretical Foundation and Empirical Insights

for Africa. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
Anke Joubert, Matthias Murawski, Julian Bühler, and Markus Bick
Predicting Information Diffusion on Twitter a Deep Learning Neural

Network Model Using Custom Weighted Word Features . . . . . . . . . . . . . . . 456
Amit Kumar Kushwaha, Arpan Kumar Kar,
and P. Vigneswara Ilavarasan
Requirements of Data Visualisation Tools to Analyse Big Data:

A Structured Literature Review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469
Joy Lowe and Machdel Matthee
Implementation Considerations for Big Data Analytics (BDA):

A Benefit Dependency Network Approach . . . . . . . . . . . . . . . . . . . . . . . . . 481
Juane Maritz, Sunet Eybers, and Marie Hattingh
A Model for Evaluating Big Data Analytics Tools

for Organisation Purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
Phaphama Kangelani and Tiko Iyamu
ICT and Education
Development of a Quantitative Instrument to Measure Mobile Collaborative

Learning (MCL) Using WhatsApp: The Conceptual Steps . . . . . . . . . . . . . . 507
Bangisisi Zamuxolo Mathews Nyembe and Grant Royd Howard
Understanding Rural Parents’ Behavioral Intention to Allow Their Children

to Use Mobile Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
David Mutambara and Anass Bayaga
Contents – Part I xix
May the Change Be with You: The Need for New Roles to Support Flipped
Classroom Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
Linda Blömer, Alena Droit, and Kristin Vogelsang
Preliminary Insights into the Nature of Graduate IS Programmes

in Sub-Saharan Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
Mark-Oliver Kevor, Richard Boateng, Emmanuel Awuni Kolog,
Acheampong Owusu, and Anthony Afful-Dadzie
Requirements for an eModeration System in Private Schools

in South Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
Vanitha Rajamany, Corne J. Van Staden, and Judy van Biljon
Ready to Go? Schools’ Preparedness for Teaching and Learning

Within a One-to-One Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 569
Cathrine E. Tømte, Markus M. Bugge, Sabine Wollscheid,
and Frida F. Vennerød-Diesen
Agile Development of a Flipped Classroom Course. . . . . . . . . . . . . . . . . . . 581

Linda Blömer, Christin Voigt, Alena Droit, and Uwe Hoppe
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593

Contents – Part II
eGovernment
Enterprise Architectures in E-Governments Studies: Why, What and How?. . . 3

Hong Guo and Shang Gao
An e-Government Implementation Framework: A Developing Country

Case Study. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Anele Apleni and Hanlie Smuts
Institutional Effects on National Health Insurance Digital Platform

Development and Use: The Case of Ghana. . . . . . . . . . . . . . . . . . . . . . . . . 28
Anthony Renner-Micah, John Effah, and Richard Boateng
Toward Employee-Driven Digital Innovation in Public Organizations

Through the Use of Action Design Research . . . . . . . . . . . . . . . . . . . . . . . 39
Leif Erik Opland, Letizia Jaccheri, Jostein Engesmo,
and Ilias O. Pappas
A Systematic Review of Implementation Challenges

in Public E-Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Idah Mohungoo, Irwin Brown, and Salah Kabanda
eHealth
Barriers for User Acceptance of Mobile Health Applications for Diabetic

Patients: Applying the UTAUT Model. . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Fazlyn Petersen, Mariam Jacobs, and Shaun Pather
Impact of Socio-Demographic Factors on the Acceptance of Information

Communication and Technology (ICT) for Diabetes Self-care. . . . . . . . . . . . 73
Fazlyn Petersen, Adiel Baker, Shaun Pather, and William D. Tucker
Categorization of Factors Influencing Community Health Workers

from a Socio-Technical Systems Perspective. . . . . . . . . . . . . . . . . . . . . . . . 84
Lilies Ratshidi, Sara Grobbelaar, and Adele Botha
A Systematic Literature Review of the Factors that Influence the Accuracy

of Consumer Wearable Health Device Data . . . . . . . . . . . . . . . . . . . . . . . . 96
Lerato Mahloko and Funmi Adebesin
Gamification in Healthcare: Motivating South Africans to Exercise . . . . . . . . 108

Thaverson Devar and Marie Hattingh
xxii Contents – Part II
A Twitter Social Network Analysis: The South African Health Insurance

Bill Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Ilse Struweg
Security
Cyber-Harassment Victimization Among South African

LGBTQIA+ Youth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Kayla Hendricks, Pitso Tsibolane, and Jean-Paul van Belle
Online Identity Theft on Consumer Purchase Intention: A Mediating Role

of Online Security and Privacy Concern. . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Abdul Bashiru Jibril, Michael Adu Kwarteng, Fortune Nwaiwu,
Christina Appiah-Nimo, Michal Pilik, and Miloslava Chovancova
On the Ethics of Using Publicly-Available Data . . . . . . . . . . . . . . . . . . . . . 159

Antony K. Cooper and Serena Coetzee
Social Media
Introducing the Media Use Behaviour Conceptual Framework . . . . . . . . . . . 175

Douglas A. Parry and Daniel B. le Roux
The Town Square in Your Pocket: Exploring Four Metaphors

of Social Media . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Daniel B. le Roux and Douglas A. Parry
How Can Critical Thinking Be Used to Assess the Credibility

of Online Information? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Albie van Zyl, Marita Turpin, and Machdel Matthee
An Analysis of Problematic Media Use and Technology Use Addiction

Scales – What Are They Actually Assessing? . . . . . . . . . . . . . . . . . . . . . . . 211
Adrian Abendroth, Douglas A. Parry, Daniel B. le Roux,
and Jana Gundlach
A Systematic Review on Fake News Themes Reported in Literature . . . . . . . 223

Marlie Celliers and Marie Hattingh
The Use of Critical Thinking to Identify Fake News:

A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
Paul Machete and Marita Turpin
A Conceptual Model of the Challenges of Social Media Big Data

for Citizen e-Participation: A Systematic Review . . . . . . . . . . . . . . . . . . . . 247
Khulekani Yakobi, Brenda Scholtz, and Benjamin vom Berg
Contents – Part II xxiii
Knowledge and Knowledge Management
Knowledge Transfer in Science Education: The Case for Usability-Based

Knowledge Visualization Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
Olakumbi A. Fadiran, Judy van Biljon, and Marthie A. Schoeman
A Knowledge Asset Management Implementation Framework

for Information Systems Outsourcing Projects. . . . . . . . . . . . . . . . . . . . . . . 274
Hanlie Smuts and George Maramba
A Conceptual Knowledge Visualisation Framework for Transfer

of Knowledge: An Organisational Context . . . . . . . . . . . . . . . . . . . . . . . . . 287
Hanlie Smuts and Iddo-Imri Scholtz
ICT and Gender Equality and Development
Can Technology Be Leveraged for Bridging the Rural-Urban Divide? . . . . . . 301

Anuragini Shirish, Shirish C. Srivastava, and G. Shainesh
Exploring the Determinants of Internet Usage in Nigeria:

A Micro-spatial Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
Kayode Odusanya and Morakinyo Adetutu
Enablers and Barriers for Mobile Commerce and Banking Services

Among the Elderly in Developing Countries: A Systematic Review. . . . . . . . 319
Nkosikhona Theoren Msweli and Tendani Mawela
A Methodology for Addressing the Second-Level Digital Divide:

A Practical Experience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
Susana Muñoz Hernández, Clara Benac Earle, and Lars-Åke Fredlund
Investigating Aid Effectiveness in Developing Countries:

The Case of Nepal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
Yashoda Karki and Ilias O. Pappas
The Influence of Culture on Women’s IT Career Choices . . . . . . . . . . . . . . 345

Andre P. Calitz, Margaret Cullen, and Dudu Fani
Exploring Digital Competence Requirements for Junior Financial Analysts

in the UK Banking Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
Matthias Murawski, Mahdieh Darvish, Charlotte Marie Prinz,
and Markus Bick
Conceptualizations of E-recruitment: A Literature Review and Analysis . . . . . 370

Mike Abia and Irwin Brown
Alumni Reflections on Gender Equality in the ICT Context . . . . . . . . . . . . . 380

Eija Koskivaara and Brita Somerkoski
xxiv Contents – Part II
Information Systems for Governance
An Ordinance-Tweet Mining App to Disseminate Urban Policy Knowledge

for Smart Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
Christina Varghese, Aparna S. Varde, and Xu Du
A Multistakeholder-Centric Data Analytics Governance Framework

for Medication Adherence and Improvement in Rural Settings . . . . . . . . . . . 402
Olawande Daramola and Peter Nyasulu
Experimental Application of Machine Learning on Financial Inclusion

Data for Governance in Eswatini. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
Boluwaji A. Akinnuwesi, Stephen G. Fashoto, Andile S. Metfula,
and Adetutu N. Akinnuwesi
User Experience and Usability
How Quickly Can We Predict Users’ Ratings on Aesthetic Evaluations

of Websites? Employing Machine Learning on Eye-Tracking Data . . . . . . . . 429
Ilias O. Pappas, Kshitij Sharma, Patrick Mikalef,
and Michail N. Giannakos
Designing for Positive Emotional Responses in Users of Interactive Digital

Technologies: A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . 441
Nabeel Makkan, Jacques Brosens, and Rendani Kruger
A Methodology to Compare the Usability of Information Systems . . . . . . . . 452

Rendani Kruger, Jacques Brosens, and Marie Hattingh
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465

Block Chain
A Framework for the Adoption
of Blockchain-Based e-Procurement
Systems in the Public Sector
A Case Study of Nigeria
Temofe Isaac Akaba1 , Alex Norta1(B) , Chibuzor Udokwu1 ,

and Dirk Draheim2
1
Blockchain Technology Group, Tallinn University of Technology,
Akadeemia tee 15a, 12618 Tallinn, Estonia
{temofe.akaba,chibuzor.udokwu}@taltech.ee, alex.norta.phd@ieee.org
2
Information Systems Group, Tallinn University of Technology,
Akadeemia tee 15a, 12618 Tallinn, Estonia
dirk.draheim@taltech.ee
Abstract. Public procurement constitutes a core government function

for providing goods and services to citizens. The overall success of a dig-
itized public-procurement function yields progress and economic growth
for the nation. In this research, we analyze the potential of blockchain-
based systems to enhance effectiveness, ease, and transparency in public
procurement in the case of Nigeria and identify the current challenges fac-
ing public procurement, i.e., lack of trust and transparency among critical
stakeholders in the procurement process, systems that only weakly sup-
port transaction recording and documentation, complex process struc-
tures, corruption in institutions involved in the procurement process.
To address these issues, a blockchain-based framework is developed to
enable interoperability of information-systems involved in the procure-
ment process, increase citizen participation in eliciting project require-
ments and to enable a more transparent project monitoring and auditing.
We apply the framework to a case study with respect to identifying on-
chain activities that enable system interoperability, e-participation and
project auditability.
Keywords: Blockchain · Procurement · Smart contract ·

Interoperability · Project-monitoring
1 Introduction
Public procurement is a core function of government activities that catalyzes

economic growth and development, if conducted efficiently and transparently.
Despite these benefits of e-procurement, developing nations, including Nigeria,
still struggle with issues ranging from a lack of trust and transparency among
c IFIP International Federation for Information Processing 2020
Published by Springer Nature Switzerland AG 2020
M. Hattingh et al. (Eds.): I3E 2020, LNCS 12066, pp. 3–14, 2020.
https://doi.org/10.1007/978-3-030-44999-5_1
4 T. I. Akaba et al.
the important participants in the process, systems that only weakly support
transaction recording and documentation, complex process structures and mas-
sive corruption in institutions within the process. The exchange of corruption
money between companies and government officials to be awarded government
contracts is estimated to comprise 15% of the contract value.
With respect to these challenges, an innovative approach for tracking all
aspects of public procurement for trust, transparency, and ease within the system
is essential. Thus, blockchain technology [25] creates a decentralized platform
for validating transactions, data and information that are independent of any
third party control in a verifiable, secured transparent and permanent set-up.
Therefore, blockchain technology [1] has the potential to be adopted to offer
solutions for public e-procurement.
In this paper, we propose a blockchain-based e-procurement framework that
takes into consideration key success factors in public procurement using Nigeria
as a case [3]. We commence with a thorough analysis of the procurement sys-
tem in Nigeria by conducting semi-structured interviews with twelve high-level
stakeholders and experts. Based on the findings of this analysis, the framework
elaboration yields a set of concrete recommendations as a concept study, i.e., we
provide a first evaluation of the framework’s feasibility with application to the
Nigerian case.
The remainder of the paper is structured as follows. In Sect. 2, we discuss
related work and in Sect. 3, we explain details of the used research method. In
Sect. 4, the case selection, subject description and results of the interviews are
presented. Next, in Sect. 5, we elaborate the framework and Sect. 6 provides a
mapping of the current procurement process to a blockchain-based solution. The
paper finishes in Sect. 7 with a conclusion, limitations, open issues and future
work.
2 Related Work
Public procurement is a vital part of government processes that present value for
citizens [11]. The normal flow of a public procurement process includes: crafting
an annual budget with the different estimated needs of government agencies,
making a plan for the procurement of the items listed in the project, issuing
a call for tender for interested contractors, conducting financial- and technical
evaluations of participating firms and finally, the award and implementation of
projects. The objective of these activities is the delivery of high-quality and
timely services to citizens through public programs and -application projects.
Blockchain innovations and application are an emerging area of technology
research [19,20]. Research on this technology is very diverse and previous work
includes the application of blockchain in regular currencies and centralized-
banking systems to curb corruption in the finance industry [16]. In [12], the
authors suggest apply blockchain technology for handling and securing patient
records, recording an audit trail and securing data due to its decentralized fea-
tures, compare also with [4]. As another example, blockchain research related
A Framework for the Adoption of Blockchain-Based e-Procurement Systems 5
to supply-chain management focuses on reducing counterfeiting and accuracy

in document-validation processes [24]. Within the context of e-Government,
research in blockchain technology is explored in various fields, i.e., in the area of
identity management [21] and document authentication [23], compare also with
[1] versus conventional approaches such as [7], or in specialized fields such as
land registration [14].
Blockchain technology application in procurement processes is on a slow
but steady rise since technology infusion in this process is still vision- and
experiment-oriented rather than a solution-based scientific endeavour [17].
According to [10], blockchain technology has a high potential to significantly
improve procurement systems, in particular, with respect to data integration
across business functions. Thus, the infusion of blockchain technology causes a
positive shift in the way organizations carry out procurement, thereby creating
more possibilities for growth and expansion on a global scale.
3 Research Methodology
We perform semi-structured interviews with twelve stakeholders and experts

in public procurement, private-sector procurement, blockchain technology and
advocacy for transparency and technology adoption in the Nigerian public-sector
procurement. The respondents are made up of fourteen experts from relevant
procurement-related organizations including the National Identity Management
Commission (NIMC), private firms, civil societies and the National Assembly.
The idea for this diverse pool of respondents is to acquire a holistic compila-
tion of ideas from a diverse set of knowledgeable stakeholders. The interview data
we analyze with thematic analysis, supported by RQDA (R package for Qual-
itative Data Analysis)1 . In the data analysis, we follow six well-defined steps
proposed by [15].
4 The Case of the Nigerian Procurement System
Information about Nigeria and the procurement context, we first present in

Sect. 4.1. Next, Sect. 4.2 gives the interview results.
4.1 Case- and Subject Description
The Nigerian government has encountered severe problems in public procure-

ment [2,8]. According to [22], these problems have existed despite of – and even
due to – the enactment of the Public Procurement Act in 2007 to ensure trans-
parency, competitiveness, value for money and professionalism in the public-
sector procurement system. The Procurement-Act guidelines demand from stake-
holders the following strict rules and provides guidelines for the establishment
1
http://rqda.r-forge.r-project.org/.
of an approving body, i.e., the National Council on Public Procurement, as well

as a regulatory body, i.e., the Bureau of Public Procurement.
Still, the objectives of the act are in far reach due to the poor implementation
of the relevant directives that can ultimately be traced to the harsh economic,
social- and political environment in the country. According to [9], public pro-
curement in Nigeria remains the most common means through which public
funds have been misappropriated and stolen for personal and individual gains.
Although the adoption of e-procurement is a goal, most of the functions are still
operated manually and as such prone to corruption and fraud.
4.2 Interview Results
The interviews are structured in different sections. The first section is concerned
with gaining background knowledge of the respondents to assess the validity
of their responses. The other sections focus on gathering interview findings we
categorize into the themes existing procurement system, stakeholder involve-
ment and role, influencing factors for adopting blockchain-based procurement,
criteria for assessing effectiveness. The project log2 shows the detailed interview
transcript for this research.
Existing Procurement System. The respondents express that, although the

regulators aim to introduce e-procurement, the existing manual procedures are
still used extensively. Furthermore, the respondents state unnecessary emphasis
on rule compliance is detrimental to fair and transparent procurement processes.
Respondents mention the lack of clear structure of project planning and exe-
cution within the ministries, departments and agencies (MDAs). This structure
absence renders it impossible for the Bureau of Public Procurement to install
improvement plans. Approximately 50% of our respondents mention that cor-
ruption currently exists in all phases of the procurement process from project
planning via bidding to the project implementation stage.
Stakeholders Involvement. Investigating stakeholder involvement indicates

the impact on their roles and duties of adopting automating systems. To acquire
a holistic understanding, we gather responses from private-sector respondents
who mention that planning is a very crucial success factor of the procurement
function as they perform a thorough analysis of the intended goods, services,
or project. The study further explores the specific steps taken by contractors
and suppliers who provide goods and services for clients who communicate via
emails, or phone calls. Most respondents indicate they do not move beyond
a re-order level to have stock available in the case of an emergency. In cases
where the procuring entity is a large organization such as a government ministry,
respondents usually place orders directly from the international manufacturers
2
Project Log https://www.researchgate.net/publication/338102329 Interview
Transcript.
as opposed to using intermediaries. This reduces the delivery time and enables
specific demand of the procuring entity to be met.
The role and involvement of the Bureau of Procurement is also explored
during the research. A senior official of the Bureau mentions that, apart from
acting as a regulator, the bureau also advises the government about the procure-
ment and disposal of public goods and services. Finally, the role of civil-society
organizations is considered, in particular, to monitor and track public-sector
procurement, funding and financing. Two respondents who work with different
civil-society organizations explain despite challenges, the government aims to
ensure a more transparent and open system. With the slow progress of change,
the respondents wish the government adopts technologies and systems for ease,
efficiency, and transparency to meet the global standard for public procurement.
Influencing Factors for Adopting Blockchain-Based Procurement. In

this section, we analyze the factors that hinder the effective implementation of
a blockchain-based solution as well as how these issues can be addressed. The
areas of a hindrance include a poor infrastructure set up, lack of political will
of the government to implement necessary technology policies needed, lack of
funding for a full implementation, resistance to change by public officials, and
poor knowledge of blockchain technology by stakeholders involved in the process.
A number of 33% of the respondents specifically mention the epileptic power
situation in Nigeria as the main challenge to fully implement blockchain tech-
nology that can not effectively run. Additionally, three respondents mention the
need for political will both from the executive- and legislative arms in ensuring
total compliance with the requirements needed for a functioning blockchain use.
Poor technology knowledge is another challenge to adopt a blockchain system.
Similarly, another respondent mentions that although these stakeholders would
stall blockchains and use traditional methods of moving files to manipulate fig-
ures and engage in fraud and corruption that an advanced and digitized system
restricts.
To correct these identified issues, respondents unanimously point out the
need for training all procurement staff and other stakeholders to gain a better
understanding of what the proposed blockchain technology entails and how it
functions. One respondent particularly stresses the government ensuring main-
taining and sustaining blockchain technologies.
Criteria for Assessing Effectiveness. It is also crucial to understand appro-

priate effectiveness-assessment criteria for novel blockchain-technology based
systems. In summary, the following points are mentioned by the respondents:
ease, transparency, affordability, communication- and feedback mechanisms,
knowledge of blockchain systems and interoperability with existing databases.
All respondents express the opinion that any successful new blockchain system
must be easy to use and needs to support public servants in their daily rou-
tines. As the current processes are usually stressful and time consuming, a novel
blockchain system is expected to solve these problems to gain full acceptance.
With respect to transparency, 67% of the respondents agree that a successful

blockchain system must adequately take into account transparency and open-
ness with respect to all aspects of the procurement process. One respondent sug-
gests that the possibility of linking the procurement system with other national
databases such as of the Corporate Affairs Commission, creates significantly
more monitorable openness about the ownership of firms that win bids to exe-
cute contracts. According to the respondents, these criteria must be present
and evaluated continuously to ensure that novel blockchain technology for
e-procurement is active and functional.
5 A Framework for Blockchain-Based Procurement

Based on the findings in Sect. 4.2, we propose a novel framework that aims
at enabling public organizations to implement and increase the adoption of
blockchain-based procurement systems. In crafting this framework, a blockchain
system is considered mainly because it possesses a shared, immutable and decen-
tralized ledger for recording transactions and tracking assets in a network. Assets
in this sense are anything of value and may be tangible, e.g., land and buildings,
vehicles and machineries, or intangible such as intellectual properties, patents,
copyrights, etc. These assets can be recorded, tracked and traded within a
blockchain network.
The concepts of immutability, decentralization and trust renders blockchains
a very transparent and efficient system for recording transactions as all rele-
vant stakeholders maintain a level of equality and access in tracking processes.
Blockchain technology provides security, ensures anonymity and enhances data
integrity of transactions without any third party involved [26]. In addition, there
is a time-stamp for data that is stored in a block linked to the preceding block
for validation to create a chain of blocks. These features render blockchains a
veritable choice for a secured and trusted system in business applications. The
framework is presented as a set of recommendations in Table 1.
Table 1. Recommendation for blockchain implementation and -adoption in procure-

ment processes.
Problem category Findings Recommendation

Existing procurement Corruption resulting from manual Blockchain integration
system processes, because existing systems into existing systems
involved in public procurement are not
interoperable
Stakeholder involvement Lack of a clear channel of Blockchain-supported
and roles communication and an effective user engagement and
system that can track the process collaboration
Criteria for assessing Lack of transparency and openness of Blockchain-based
effectiveness procurement processes, affordability, project auditing and
feedback mechanisms, knowledge of monitoring
the system
Three recommendations are presented and each recommendation is associ-

ated to a problem category. The first recommendation addresses the issue of
corruption in existing processes due to the absence of interoperability in the sys-
tems that support the current procurement process. The proposed framework
recommends using blockchain-enabled smart contracts [18] to facilitate interop-
erability of current systems. This results in increased automated processes and,
thereby, reduces corruption cases in the procurement processes.
The second proposal involves engaging stakeholders in the procurement pro-
cess and establishing clear communication channels. With roles that are clearly
defined and assigned to all stakeholders, the citizens participate in eliciting ser-
vice requirements before a particular project proposal is submitted. Thus, ensur-
ing that, all stakeholders involved in the procurement processes behave according
to legislation.
The final recommendation addresses the issue of assessing the effectiveness
of the procurement system, processes and completed projects. The framework
proposes a blockchain-based solution that is capable of tracking and monitoring
the projects that are executed under the procurement. This increases the trans-
parency and openness of the procurement processes and also provides an avenue
for feedback mechanisms on executed projects.
Permissioned blockchain systems possess restrictions that limit the actions
that can be taken by participants within a network to yield a strong option for
future public sector application [5]. In addition, a private blockchain ensures
that only parties involved in the e-procurement process can participate in the
blockchain network, thereby ensuring the privacy of information, or data shared
in a public procurement process. The study [13] shows how privacy can be
ensured in public networks and thereby demonstrates the possibility of imple-
menting this public procurement process in a public blockchain.
6 Mapping the Existing Procurement Process

to a Blockchain
We apply the proposed blockchain-implementation framework presented in
Sect. 5 for mapping on-chain activities for the current public procurement pro-
cess. First, we present the AS-IS version of the procurement processes using
BPMN (Business Process Model and Notation) [6] as a diagram notation and
then show the activities that are executed on-chain based on our proposed
framework. Section 6.1 shows the AS-IS version of the procurement process and
Sect. 6.2 also comprises the on-chain activities.
6.1 AS-IS Procurement Process

The process begins with a procurement plan crafted by the MDA to ascertain
current infrastructural and project gaps that need to be filled and provided for.
Next, a budget is specified and sent to the National Assembly for appropriation.
Projects that are not needed are cancelled and after the budget is passed by
the National Assembly and signed into law by the executive, the projects are
executed. Here, the budget is sent to the Parastatals Tender Board (PTB),
or the Ministerial Tenders Board (MTB) for further checks and approval, in
particular, on whether the price is within the approval thresholds. Once, the
tender boards then approve the budget, a call for tender is placed in the news
dailies for potential contractors. Otherwise, the budget is sent to the Bureau of
Public Procurement. Once the latter receives the budget, they perform further
reviews and approve if a budget is within their approval limits. Otherwise, the
proposal is sent to the Federal Executive Council for further consideration and
approval.
Fig. 1. Current AS-IS state of the public procurement process.
Once there is an approval for the project to be executed, a call for tender
is issued on national dailies and contractors are expected to submit their bids.
After the submission of bids, a technical- and financial evaluation is conducted,
and the contract is awarded to the most qualified bidder with a certificate of no
objection issued. Alternatively, the bid is declined if any irregularities are found
during the technical- and financial evaluation stage. Once the process flow is
completed, the project is implemented.
6.2 On-Chain Activities in the Procurement Process
These on-chain activities show the procurement activities that can be executed
on the blockchain to achieve the goals of the recommendations in the proposed
framework. First, we identify tasks in the existing process as shown in Fig. 1 that
enable interoperability of all the silo systems of the organizations involved in the
procurement process when they are implemented on a blockchain system. Thus,
assets associated with these tasks are stored on the blockchain and accessed via
the information systems of the collaborating parties. We further identify addi-
tional tasks for on-chain implementation to enable stakeholder involvement in
outlining service requirements of submitted projects. Finally, we identify pro-
curement tasks that need to be monitored on a blockchain by the citizens to
increase transparency and auditability of the procurement process.
Table 2. Enabling on-chain tasks.
Associated task Assets stored on-chain Stakeholders

On-chain tasks enabling system interoperability
Specify procurement plan Procurement plan MDA/BPP
Specify budget appropriation Budget BPP/FEC
Submit call to tender Tender All Stakeholders
Award contract Contract MDA/Contractor
Submit bid Bid MDA/Contractor
Additional on-chain task enabling stakeholders engagement
Vote on project needs Prioritized project requirement MDA/Citizens
Additional on-chain task enabling project auditability and monitoring
Vote on completed project project assessment result MDA/Citizens
Enabling Stakeholders Systems Interoperability: Table 2 shows the exe-

cuted tasks on blockchain and resulting assets that are also stored on-chain. This
results in the interoperability of information systems of collaborating parties in
the procurement process. Access to the assets are only granted to stakehold-
ers that are associated to the task. Therefore, only a single version of an asset
exists that cannot be illegally modified, or tampered by any malicious, or corrupt
stakeholder in the procurement process.
Enabling Stakeholders Engagement: The current procurement process

depicted in Fig. 1 does not show how stakeholders such as citizens are actively
engaged in the procurement process. Based on our proposed framework, the
citizens engage in the process by eliciting requirements included in a project.
The call for tender shows the service requirements of the project and bids are
submitted by contractors based on the requirements contained in the tender.
As depicted in Table 2, to engage citizens in the procurement process, an addi-

tional on-chain activity must be implemented such that citizens are able to vote
on project requirements that are prioritized in the call for tender. The result of
a vote is stored as an asset on the blockchain and the stakeholders involved are
represented by the MDA and concerned citizens.
Enabling Project Auditability and Monitoring: The current procurement

process does not show any activity resulting in transparent monitoring and an
evaluation of completed projects. This is another main source of corruption in
the existing process, since projects are not properly monitored and payments
are issued to contractors that already failed to execute according to the require-
ments listed in the project tenders. Therefore, an additional on-chain activ-
ity is required to render the evaluation of completed projects more democratic
and transparent. Using blockchain-enabled smart-contracts, citizens can track
projects based on the requirements on the tender and vote ’success’ when the
executed projects successfully satisfy the requirements in a tender. Otherwise,
the project is considered as failure. As per Table 2, further actions can be taken
by the MDAs based on the citizens’ project assessment result.
7 Conclusion
This research explores the existing public procurement processes to understand
the overall structure, complexities and challenges that need to be faced in propos-
ing a workable blockchain-based framework. Twelve high-level stakeholders and
experts we interview for this purpose. The main challenges that we identify are
corruption and a lack of transparency within the procurement process. An in-
depth analysis reveals the underlying structural- and communication issues. On
this basis, we recommend an implementation framework that aims at interop-
erability of all the silo systems of the involved organizations. Thus, all assets
associated with crucial tasks are stored on a blockchain and accessed via the
collaborating parties – creating more openness, transparency and trust.
As a further outcome, we discover that the current procurement process does
not adequately support citizen engagement. For this issue, we propose an addi-
tional on-chain activity so that citizens can vote on project requirements that
are prioritized during the call for a tender stage. Finally, we seek to find answers
to the important aspects of project monitoring, evaluation and auditability. Our
respondents mention that most of the budgeted projects are only poorly exe-
cuted, or not completed at all. With respect to this, we propose an additional
on-chain activity that renders the evaluation of the completed projects more
democratic and transparent – by giving citizens access to track projects based
on the tender requirements and allowing them to give feedback about the success,
or failure based on these requirements.
A limitation of this research is the generalization power given the focus on
one e-procurement case of Nigeria. Secondly, the cost of implication for the pro-
posed blockchain-based system is also not fully considered, especially additional
costs associated to blockchain activities, i.e., commonly referred to as transac-

tion fee. As future research, we consider investigating the factors and challenges
that deepen, or affect citizen involvement in the usage of blockchain technology.
Secondly, the aspect of security and privacy for blockchain technology is not
fully considered in this research.
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Blockchain Technology for Empowering
Patient-Centred Healthcare: A Pilot Study
Themba Makubalo, Brenda Scholtz(&) ,

and Temitope Oluwaseyi Tokosi
Nelson Mandela University, Port Elizabeth, South Africa

Brenda.Scholtz@mandela.ac.za
Abstract. Patient-centred care allows patients to have complete autonomy in

managing their health information and encourages patients to be proactive.
Unfortunately, most patients do not have access to their complete health
information as they are stored across the various institutions that they have
visited over their lifetime. The purpose of this paper is to report on an inves-
tigation into developing a mobile system for patient-centered healthcare using
blockchain technology. A design science research approach was used to design,
develop and evaluate a prototype that implemented a three-tier architecture
using blockchain. Formative evaluations of the prototype revealed that the
system could successfully support patient-managed healthcare. The implications
of this project would be changing the way patients and healthcare practitioners
interact with each other by improving the quality of clinical encounters by
allowing patients access to their health information, sharing the information with
healthcare practitioners and both parties collaborating in the development of a
treatment plan.
Keywords: Blockchain Healthcare Patient-centred
1 Introduction
South Africa plans on implementing the National Health Insurance (NHI) scheme to
provide cost effective access to healthcare for all citizens. Once the scheme is in place,
it is believed that the focus of the healthcare industry will shift towards preventative
care and health promotion. This would require the industry to become patient-centred.
Paper-based filing has major risks such as being vulnerable to damage by elements
such as fire and water and medical records being lost [7]. In addition, backups are time
and resource intensive and security of paper-based filing is limited to locked storage,
with minimal capabilities of logging access to medical records. Various types of
electronic records exist, each having a different purpose [13]. For example, an elec-
tronic medical record (EMR) typically contains detailed patient encounter information
such as an encounter summary, medical history, test results, and allergy details. EMRs
are owned and managed by professionals from a single institution. An electronic health
record (EHR) is an aggregated collection of a patient’s health information collected
from multiple professionals at multiple institutions [19]. It ensures that a patient’s
complete medical record is available to an authorised practitioner during patient

https://doi.org/10.1007/978-3-030-44999-5_2
16 T. Makubalo et al.
encounters. No country in Africa has been successful in implementing a nationwide

EHR system [21]. EHR and EMR are used interchangeably in the literature but the term
EHR is used to refer to all electronic records for health information in this study.
2 Literature Overview
Paper-based filing has major risks such as being vulnerable to being damaged by
elements such as fire and water; medical records being lost and creating backups
requiring time and intensive resources [7]. The security of paper-based filing is limited
to locked storage, with minimal capabilities of logging access to medical records.
A major issue with paper-based filing is illegibility. Illegibility causes delays in treating
patients as time is wasted by trying to understand what is written, contacting the author
or redoing the procedure to reproduce the results. The problems associated with paper-
based filing are solved with electronic records. Electronic records such as EHR use
secure information systems to store and access patient health information and to ensure
that the information contained is up-to-date and available when needed [13].
The challenges of implementing EHR systems are a lack of consistent supply of
electricity, governmental support and the required infrastructure [21]. Despite these
challenges, various vendors in SA have attempted to implement their own EHR sys-
tems, built on differing architecture which fail to interoperate with each other [21].
Disinterest stems from the belief that measurable benefits (such as finances) are better
realised within their own organisation. Thus, to gain the benefits of an EHR system,
patients are limited to clinical encounters with organisations that utilise the specific
EHR system. This devalues the effectiveness and efficiency of patients managing their
own healthcare. The biggest challenge preventing the adoption of EHR systems in the
health industry is the resistance from practitioners [22].
An Accenture study on SA patients clearly indicated that electronic records are
viewed as being more reliable than paper-based records [13]. It was indicated by 51%
of respondents that time was wasted when having to recount their medical history to all
the practitioners that they visited. Surprisingly, those with medical aid are willing to
spend up to R100 extra per month to have their health records maintained electronically
[13]. Muchangi and Nzuki [24] revealed that patients are not confident in using EMR
systems that do not comply with established standards as they fear that their medical
confidentiality and security might be compromised. Currently, the SA government
lacks legislation and regulations regarding EMR implementation which has led to
misuse and poor compliance by organisations [21]. Until the government develops
standards for EMR, common guidelines must be followed in developing such systems.
Various technologies can be utilised to create patient-centred healthcare systems
but blockchain offers a unique solution. Blockchain makes use of features (security,
stability, fault-tolerance) to allow a network to remain fully functional even if a node
has failed [16]. For example, each time a transaction occurs, a transaction request is
transmitted to all the nodes, making each node aware of the fact as well as the time the
event took place. Nodes then validate the authenticity of the block through a majority
consensus and then several transactions are put together into a block. The block is then
inserted into the ledger by linking to the last block that was inserted into the ledger.
Blockchain Technology for Empowering Patient-Centred Healthcare 17
Thus, as blocks are continuously inserted to the ledger, a long series of blocks is
formed, hence the term blockchain. Each block is marked with a timestamp and a hash
of the previous block, preventing alterations from being made to the previous block
[10]. An example of blockchain is the cryptocurrency Bitcoin.
Centralised systems exhibit at least one of the following shortcomings: instability
due to having a central point of failure, security shortages due to being more vulnerable
to central attacks and greater potential of unethical operations due to the presence of a
central authority [16]. Decentralised systems do not have a central authority. Instead,
authority is shared amongst each computer (node), with each of them having equal
authority [25]. Distributed systems divide computations into smaller computations to
be performed by multiple nodes. Distributed and decentralised systems are highly
secure as a central point to attack is lacking. This feature also makes them stable and
fault-tolerant. Since each node has equal authority, unethical operations are unlikely to
be performed [16]. Blockchain makes use of these features and benefits to allow the
network to remain fully functional even if a node has failed.
The purpose of this paper is to report on an investigation into patient-centered
healthcare and the potential of blockchain technology for supporting this system. Its
contribution is the development of a blockchain technology and lessons learnt that can
support other research into patient-centered healthcare.
The structure of the paper is as follows: The next section provides an overview of
the design methodology adopted in the research. Section 4 illustrates the proposed
requirements and design of the prototype whilst Sect. 5 discusses the design and
development thereof. In Sect. 6 the pilot study protocol is explained. The formative
evaluation that was conducted is highlighted in Sect. 7. In Sects. 8 and 9 a discussion
of the findings and conclusions are presented.
3 Methodology
The project made use of the Design Science Research (DSR) methodology as proposed
by [3]. This methodology creates new knowledge in a given domain through the design
and creation of an innovative system that solves relevant problems or achieves sub-
stantial improvements [18]. In this study, DSR was used to examine the shortcomings
of existing EHR systems and to design a mobile system that utilises blockchain
technology. The five steps of DSR were iteratively conducted namely, problem
awareness, suggestion, development (circumscription), evaluation and conclusion
(operation and goal knowledge). A prototype was designed and developed as a proof-
of-concept and the usability of the system was formatively evaluated in a pilot study.
4 Proposed Design
Documentation analysis is a requirement elicitation technique that collects, reviews and

analyses existing documentation to gather requirements [14, 15]. These two activities
formed part of the problem awareness stage of DSR in this project.
4.1 System and Data Requirements

The system requirements were identified from a literature review and an extant systems
analysis of existing systems and then grouped into core and support components. The
requirements of the first core component was to facilitate the storage of and access to a
patient’s health-related information. This information consists of a patient’s personal
information, medical practitioner information and health information. Personal infor-
mation includes full name, date of birth, family history, emergency contact person(s),
allergies and medical aid. The practitioners’ information includes the full name of the
practitioner, the profession, the medical practice number, place of work, years of
experience and any malpractice claims. Information related to the patient’s health
consists of diagnoses, prescriptions, treatment plans and medical test results.
The requirements for the second core component is to facilitate medication
adherence for patients. The purchase of prescribed medication should be logged. The
data generated from the medication adherence component should be aggregated and
form part of a patient’s health information. The system should be able to interface with
an external medication website that provides details of active ingredients, pricing etc.
The support component should facilitate communication between the two parties
(patients and medical practitioners), which is achieved through a personal health
community (PHC). Using a PHC gives patients control over who is a member of the
community. This prevents any unwanted entities from contributing or collecting
information for their own purposes. This component should also provide functionality
for an Online Health Community (OHC). OHCs are an example of how social media
can be incorporated into healthcare [20]. OHCs unite individuals with a shared goal or
interest in healthcare. OHCs comprise of patients with a condition (such as ALS
patients), a group of practitioners with a shared medical interest (such as neurologists),
or a mixture of both. OHC members interact using modern communication technolo-
gies such as blogs, chats, forums, and wikis. OHCs can be classified into open and
closed communities. Open OHCs are public and its contents can be accessed by
anyone. All members of the community can contribute to its content.
For the data design, the data classes were based on those of the Fast Healthcare
Interoperability Resources (FHIR) standard, which is a draft standard describing data
formats and elements (known as “resources”) and an API for exchanging electronic
health records [4, 5]. The standard was created by the health level seven international
(HL7) healthcare standards organisation.
In the extant systems analysis conducted in this paper, six systems were reviewed.
Nine criteria were used in reviewing each system namely database, multiple users,
communication, notifications, data sharing, flexible scheduling, community type, visual
aids and statistics and charts. AidIT was the only system identified that provides data
storage and access and is a mobile EMR system that allows patients to manage their
records and facilitates the exchange of these records between patients and practitioners
[8]. The AidIT system provides patients with a personal health folder that organises a
patient’s data into five separate categories namely: the patient’s personal information
(e.g. address, date of birth, photograph and information regarding his/her insurance
profile); the patient’s general medical history (e.g. past injuries, chronic conditions,
allergies and healthcare encounters); the patient’s past examinations and relevant
diagnoses along with ordered lab tests and their results; the patient’s current and past
medication prescriptions, along with the quantity and dosage instructions required for
each medication; and the patient’s care plan. The patient’s care plan is designed by the
patient’s practitioners as a list of actions to be carried out by the patient. AidT’s
shortcomings includes non-functionality for tracking and monitoring a patient’s
adherence to their medication schedule. In addition, EMR presentation does not indi-
cate what is important and professionals can amend prior medical records which can
create inconsistencies.
4.2 System Architecture

The system used a three-tier architecture, which consists of three layers: the applica-
tion, storage and logic layer. The benefits to using a three-tier architecture is to provide
security, performance and code maintenance [2]. The architecture is illustrated in
Fig. 1.
The application layer is where users (patients and professionals) interact with the
system to perform tasks such as registering to the system and posting messages. How
the information is presented to users is also handled in this layer. The storage layer was
split between a database and a blockchain network. The variability, relevance (null
voids) and design of blockchain complexity of the structure of health records can limit
how they would be stored in a blockchain environment. Each node in a blockchain has
a replica of all information stored in the ledger. It would be impractical to have each
node store all the health records as they can consume a considerable amount of space,
require intensive bandwidth usage and would be wasteful on network resources.
Fig. 1. System architecture.

Rather, in the adopted design, the blockchain functions as an access-control

manager for health records. Only the personal and professional information of patients
and professionals is stored on the blockchain and the patients’ health data is stored on a
database with the blockchain having encrypted index pointers to the data contained in
the database.
The logic layer is spread across the separate components (application, database and
blockchain network). For this layer to function seamlessly, the three components must
communicate with each other effectively, which is achieved by using a combination of
APIs, and private-public key encryption protocols.
5 Design and Development
Design is iterative in nature, cycling through design–evaluation–redesign activities

[15]. In DSR, iteration is an important part of the process. In this study the design and
development of the system (the artefact), was iteratively designed, developed and
evaluated. Two alternative wireframe prototype designs were proposed. A walkthrough
evaluation was conducted on both wireframes by an expert reviewer as proposed by
[1]. AdobeXD was chosen to prototype the two alternative designs as the software is a
free, simple to use platform that allows for designing high fidelity wireframes that can
be interacted with to simulate the system’s usage. The feedback received indicated that
the first wireframe was too cluttered while the second wireframe had a professional feel
and made better use of hand gestures for navigation. The second wireframe design was
therefore selected for further development and sample screenshots are shown in Fig. 2.
A second walkthrough of the second wireframe was undertaken by a second expert
reviewer. The primary feedback received was to limit the viewing of the professionals’
information to only those that have been referred to by one of the professionals in their
community. The choice of expert reviewers was because of their availability within
short notice as opposed to a typical end-user (patient) and medical practitioner which
requires lengthy ethics clearance application and approval.
Android was the chosen mobile platform for developing the system because it has
the largest market share of smartphones [6], and allows for a wide audience to be
reached. Java was selected as the programming language since the Android develop-
ment kit is best suited to Java’s libraries and Java’s previous release for mobile
environments makes it well suited for developing for different devices [11]. The
medical information is stored in a MongoDB database, which is a NoSQL document-
based database that stores its records in a JSON-like document where fields in each
document may differ [23]. Flexibility in the structure of a document is required for the
system as some data may not always be present in certain circumstances; such as there
being no end date in a period object. The FHIR API, which the system makes extensive
use of, provides support for mapping its data objects to JSON files, and vice-versa.
Sub-options on main
menu.
Diagnoses are grouped by

health communities
Swipe to move to
next item
Fig. 2. Wireframe design.
6 Pilot Study
The first iteration of developing the system began with developing the two wireframes
and the second wireframe was selected for implementation. The selected wireframe was
able to artificially simulate how the final system could work and provided a good
reference point for the development of the system. The second iteration followed soon
after selecting the development environment. The major changes from the first iteration
were the use of floating action buttons, making extensive use of native mobile features
and incorporating labelled tabs for grouped items and efficient login credential per-
sistence. Floating action buttons perform a primary action on a given screen [12]; these
buttons appear in front of the screen’s content for clear visibility and use menu icons
that the user is familiar with to assist in identifying what the button’s purpose is.
Android’s native contacts and calendar features were utilised as a service to sim-
plify adding emergency contacts and including reminders for medication adherence.
Efficiently persisting the login credentials of the user was accomplished by incorpo-
rating Google’s smart lock feature which is accessible by using permissions on Android
smartphones. Persisting user credentials is very important, as the system will make use
of blockchain addresses and private keys as the credentials. Blockchain addresses and
keys are very lengthy and stored as hexa-decimal values which are not user-friendly.
Thus, the burden of having to remember login credentials is absorbed by Google smart
lock from the user. The updated system after these changes were made and the benefits
are for registering and creating a new medical record while smart lock is for registration
and login.
The third iteration occurred during the implementation of the blockchain related
aspects. Notifying users of important events (include invites to a community; receiving
messages and medication schedules, being informed of non-adherence to medication)
were a problem. The solidity development environment supported functionality for
logging events, such as medication adherence and invites, which play an integral part
of the notification functionality; not all blockchain networks support this functionality
(logging events). The workaround to this was to restrict the medication schedule to a
patients’ native calendar; thus, removing the functionality of viewing a patient’s
adherence to the medication schedule. A second solution workaround is using the QR
codes which was embedded with the smart contract’s details and used to send invites to
a patient’s PHC. The QR codes could also be used to save a user’s blockchain cre-
dentials for when they first register on the systems database.
7 Formative Evaluation
A formative usability study is an almost scientific process where test users evaluate the
system by interacting with it in a controlled environment [1]. Users are given a specific
set of tasks to accomplish, preferably without the assistance of the facilitator.
7.1 Evaluation Objectives

The goal of the evaluation was to assess the user interaction of the system to identify
any shortcomings that could be modified to provide an engaging experience for the
user. Evaluation of the system served three objectives. Firstly, to identify which
functionalities of the system were implemented correctly or cause the system to fail
completely. The second objective was to quantify the usability of the system and gain
feedback from the evaluators. The third objective was to use the feedback to make
improvements to the system. The tasks to be completed by the users cover all the
system’s requirements. These tasks were chosen to evaluate functionality complete-
ness, navigability, users’ subjective satisfaction and user performance; such as com-
prehension and learnability. The users could directly interact with the system’s
interface by tapping buttons, swiping to move between screens or scrolling to view lists
or enter data.
7.2 Evaluation Methodology

An expert panel of two participants was used; both were researchers in the field of
Computer Science. An expert panel utilises participants who were specifically chosen
to be part of the formative study [15]. The first expert was a post-doctoral researcher
with a PhD in Computer Science and the second expert was a doctoral candidate. The
evaluation was conducted inside a computer laboratory, which is a controlled envi-
ronment allowing for the capturing of data in an accurate way without the users being
distracted or interrupted by external factors, while also ensuring that the predefined
tasks are performed and completed within a reasonable time frame. The participants
were separated from each other and only interacted with each other when necessary.
Each expert was provided with an Android smartphone to complete the tasks. One
expert completed tasks related to the practitioner use cases and the other the tasks
related to a patient’s use cases.
The instrument used was the Post-Study System Usability Questionnaire (PSSUQ)
as proposed by Lewis [9], which is a comprehensive questionnaire that provides a host
of insightful information from analysing the results of the usability study. PSSUQ is
comprehensive in that it provides a set of selected questions and the user does not have
to add in extra comments if he/she does not want to, since the questions provide
sufficient information. The questionnaire is reliable, free and addresses the usability
characteristics of system usefulness, information quality, interface quality and overall
satisfaction [17]. Additional questions were included to obtain the experts’ views of
interacting with the system. PSSUQ was the more available questionnaire during the
study period because of its ability to meet the researchers study objective. A new
questionnaire known as the mHealth app usability questionnaire (MAUQ) was recently
developed by [26] after the completion of this study and so could not be used.
Dummy blockchain accounts were created and provided for each expert so that they
were able to register their details on the system. Additional patient and practitioner
accounts were provided for the experts in case of a failure of registration, creating and
joining a community. The background, goals and tasks of the system were explained to
the panel and they were encouraged to ask questions. Support were provided to the
participants if they struggled to complete a task, and a note was made of which tasks
required assistance.
8 Results
The results revealed that the primary concern for the system were the register (prac-
titioner), accept community invite and update details use cases. The code that performs
these use cases needs to be re-examined and may require recreating the circumstances
for the failure to identify the cause of the problem and then making relevant changes to
solve the problem without requiring massive changes to the remaining aspects of the
system. The majority of the errors made occurred when the participants attempted a
new task without a reference point as to how to successfully complete it; this is also
where the facilitator was required to assist the participants in completing the task,
which increased the task time. However, as the participants got used to the system,
fewer errors were made, and the task times were reduced when attempting tasks that
have similar steps, indicating that the system can be learnt over time.
The user satisfaction results indicated that the user interface for the patient use cases
had higher satisfaction levels than that of the practitioner use cases. The patient expert
perceived the consistency in the layout of the system’s user interface to be the most
helpful component in successfully completing tasks and found the use of icons helpful
in understanding the meaning of some of the information presented to the screen. The
practitioner expert perceived the system to provide poor user satisfaction due to the
user interface being dis-organised and the icons being too domain specific resulting in
some confusion. The practitioner expert also found it hard to keep track of the current
position in the system which resulted in errors being made. The panel both mentioned
that the system takes too long to respond, and that more feedback should be provided to
the user when performing actions.
The major problems related to providing clarity on how to navigate the system to
complete tasks, a lack of feedback from the actions the participants performed and the
system’s slow response time. The slow response of the system was due to having to
query both the blockchain network as well as the database that stores the data. The
smart contract hosted on a blockchain network contains the indices of the patient’s
medical records which are stored in the database. Thus, the smart contract is first
queried to obtain the correct indices and then the indices are used to retrieve the
medical records from the database. Converting the data from its representation in the
data layer to its representation in the system layer, and vice-versa, also contributed to
the lag in response from the system.
The system design made use of tabs, whereby, when a screen that requires data
from the database is opened, a query to obtain all the necessary data is performed. This
affected the community screen the most as all the patient’s medical data must be
queried before displaying the screen. A redesign of the system should thus restrict the
queries to only be executed when necessary. The system’s layout needs to be improved
to emphasise frequently performed tasks by making the components used to complete
those tasks the most prominent on the screen. Related functionality needs to be grouped
together to avoid complex navigation steps being performed by users.
The system’s redesign emphasised the incorporation of dialogs to the layout of the
user interface while reducing the focus of using tabs. Dialogs provide a convenient
method for solving most of the issues affecting the system. Dialogs are modal windows
that appear at the forefront of a system’s content to provide users with important
information or requesting decisions that need to be made [12]. By utilising dialogs
instead of tabs, only the selected type of medical information will be retrieved from the
database; thus, reducing the response time as well as saving the amount of memory
required to store the retrieved data. Also, all options will be clearly seen by users
instead of having to scroll through tabs to get to the appropriate screen.
9 Discussions and Future Research
Having piloted the system and taking notes of issues experienced by the expert panel,
future research study will conduct a summative usability evaluation of the system as
well as provide a discussion of the results. Summative evaluations assess the success of
the system accomplishing its functional requirements [17]. Unlike a formative evalu-
ation, test users are given a list of all the tasks that can be performed using the system,
which serves as a primary criterion for evaluating the system. The results will be
discussed in future research output(s) where the blockchain technology app will be
applied to a broader community of a larger population.
For future research and improvements, this system will be tested again on a sample
population of larger size within an academic institution community. This will enable
the researcher(s) assess users’ satisfaction with an understanding of what patients’ and
medical practitioner’s perceptions are of the system. All ethical considerations,
applications and approvals are in processing for this second test.
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Exploring the Disruptiveness
of Cryptocurrencies: A Causal Layered
Analysis-Based Approach
Matti Mäntymäki1(&), Milla Wirén1, and A. K. M. Najmul Islam2

1
Turku School of Economics, Turku, Finland
{matti.mantymaki,milla.wiren}@utu.fi
2
Department of Future Technologies, University of Turku,
20014 Turku, Finland
najmul.islam@utu.fi
Abstract. The purpose of this study is to explore whether the diffusion of

cryptocurrencies represents a disruptive change and what is the potential mag-
nitude of this change. To this end, we take disruptive innovation theory as our
point of departure to scrutinize cryptocurrencies as an instance of socio-
technical change. We employ Causal Layered Analysis to develop our four-layer
analytical framework to conceptually examine the changes pertained by the
diffusion of cryptocurrencies. We provide examples of changes company-level,
industry-level as well as societal changes where cryptocurrencies have played a
central role. On a company level, cryptocurrencies provide a cost-efficient
means for cross-border money transfer and thus pose a significant threat to the
existing intermediary-based business models. On an industry level, many central
banks are experimenting with crypto- or digital currencies. On a societal level,
cryptocurrencies play an important role in particularly when the traditional
institutions and societal structures collapse. For example, in Venezuela’s recent
political and economic crisis, cryptocurrencies contributed to the development
of a parallel financial system when the bolivar practically lost its value. Our
study provides an analytical framework to systematically evaluate the potential
disruptive nature of cryptocurrencies as well as other blockchain-based
technologies.
Keywords: Blockchain Cryptocurrencies Disruption Disruptive

innovation Causal Layered Analysis
1 Introduction
Since the inception of Bitcoin in 2009 [1], thousands of cryptocurrencies (also known
as Altcoin) have emerged that use the blockchain technology [2, 3]. Five most valuable
cryptocurrencies, Bitcoin, Etherum, XRP, Bitcoin Cash, and EOS have a total market
cap of more than 200 billion USD1. The rapid development of blockchain or distributed
ledger technologies has paved way for various Financial Technology (FinTech)
1
Top 100 Cryptocurrencies by Market Capitalization https://coinmarketcap.com.

https://doi.org/10.1007/978-3-030-44999-5_3
28 M. Mäntymäki et al.
innovations. Alongside venture capitalists and FinTech startups, major banks and stock
exchanges have rolled out blockchain-based products and services. Furthermore,
according to Barontini and Holden [4] several central banks have established explo-
rative as well as experimental blockchain-based initiatives as a part of the prospect for
central bank-issued crypto- or digital currencies.
All in all, there is vivid debate among practitioners and academics if, or to what
extent, applications of blockchain such as cryptocurrencies will have a disruptive
impact on the global financial sector, central banks, or the dominant role of traditional
currencies [5–10]. At the same time, however, it is largely unclear what qualifies a
change to be disruptive [11–13], i.e. how to conceptually and theoretically distinguish
between disruptive and more evolutionary change.
As a result, the research question this study addresses is two-fold: (1) does the
diffusion of cryptocurrencies represent a disruptive change, and (2) what is the potential
magnitude of this change? To this end, we build on disruptive innovation theory [14–
17] to scrutinize cryptocurrencies as an instance of socio-technical change [18–22] and
conceptually explore its disruptiveness through the Causal Layered Analysis [23–26].
With this paper, we make two main contributions: first we use our CLA-based
analytical framework to discuss and conceptually scrutinize the disruptive potential of
cryptocurrencies. Second, we discuss and present a conceptual distinction between
normal and disruptive change that potentially allows identifying disruptive potential
ex ante.
The paper proceeds as follows: in the second section we discuss the concept of
disruptive change. Thereafter we present and discuss the CLA as a method for ana-
lyzing ongoing socio-technical change. The fourth section focuses on cryptocurrencies.
In the fifth section we discuss the disruptiveness of cryptocurrencies through our CLA-
based analytical framework. The sixth and final section concludes the paper.
2 Disruptive Change
The concept of disruption entered the management literature from innovation studies,
as Christensen was puzzled about why do successful companies sometimes fail
seemingly overnight [15]. The resulting answer sketched the overview of what has
since become known as disruptive innovation theory. In brief, the theory posits that:
(i) incumbents ignore the arrival of innovations that enter the market from niche
position (originally from the low-end), (ii) incumbents overshoot their offering aims
leaving room for simpler and easier offerings, and (iii) incumbents invest in sustaining
innovations that fit their existing profitability, but ignore investing in potential new
openings that would require new, sometimes even cannibalizing business models to
become profitable [12, 16, 17, 27, 28].
Reflecting the lack of conceptual clarity surrounding what is disruptive and what
type of change qualifies as disruption, Kilkki et al. [11] define disruption as “An agent
is disrupted when the agent must redesign its strategy to survive a change in the
environment. From the perspective of the system, disruption is an event in which a
substantial share of agents belonging to the system is disrupted” (p. 276). In the realm
of digital disruption, Skog et al. [29] dig deeper: they define digital disruption as
Exploring the Disruptiveness of Cryptocurrencies 29
“The rapidly unfolding processes through which digital innovation comes to funda-
mentally alter historically sustainable logics for value creation and capture by
unbundling and recombining linkages among resources or generating new ones. Skog
et al. further conceptualize digital disruption to pertain three constitutive elements,
namely digital innovation, digital ecosystem, and value logics. They define digital
innovation as “process of combining digital and physical components to create novel
devices, services or business models, bundling them to constitute and enable market
offerings, and embedding them in wider sociotechnical environments to enable their
diffusion, operation and use” (p. 433). Digital ecosystems in turn are “sociotechnical
networks of interdependent digital technologies and associated actors that are related
based on a specific context of use” (p. 433). Finally, they define value logics as
“foundational rationales for designing, bundling and embedding a digital innovation to
fruitfully create and capture value” (p. 434).
The focus of the disruptive innovation theory is on the market events and
incumbents. The disruption is identified only ex post, through the wake of destroyed
businesses. With respect to scrutinizing the actual disruptive agent, the theory con-
tributes little: in their review of the status quo of the theory, Christensen et al. ended up
in “…defining ‘disruptiveness’ as a relative, not absolute, phenomenon. In other words,
a given innovation can be disruptive to one firm but sustaining to another firm”
[17, p. 1050].
This relative nature of disruption was taken further by Schuelke-Leech [13], who
explored the magnitude of disruption and proposed a two-level approach: the first order
disruptions impact localized markets, whereas the second order disruptions emerge as
enough of the networked first order disruptions diffuse to impact the whole market.
Nevertheless, also this approach is still retrospective and does not directly facilitate
anticipatory assessment of disruptive potential. In particular, we argue that disruptive
change can pertain changes that take place in more than two levels. To take a multi-
level perspective to disruptive change, we employ CLA [23, 24, 26] as the theoretical
framework through which to scrutinize the disruptiveness effect of cryptocurrencies.
3 Causal Layered Analysis of Socio-Technical Change

3.1 Causal Layered Analysis
Previous research in futures studies has explored the possibility of forecasting dis-
continuities on the macro level [30], the social disruption intertwined with the diffusion
of disruptive technological innovations [18], or the possibility of utilizing diverse
foresight methods in identifying disruptions [31–33]. Against this backdrop, our
approach to distinguishing disruptive change from normal change in the context of
cryptocurrencies answers the call for understanding the multi-level nature of disruption
[13]. We employ a specific futures research analytical tool, Causal Layered Analysis
(CLA), which enables assessing the layered nature of diverse phenomena.
CLA [23, 34] is an analytical tool that enables viewing a phenomenon from four
different perspectives conceptualized as four analytical levels. Since its introduction,
the CLA has been widely adopted as an analytical aid in theorizing and as a useful tool
in workshop environments, utilized in analyzing complex phenomena in a variety of

fields [31, 32, 35–37]. The analytical levels of CLA are traversed up and down to
understand the phenomenon on each level in addition to tracing the linkages in between
them.
The first analytical level of CLA is litany. It is the imminent appearance of a
phenomenon, quantitatively approachable, an issue easy to shape into a headline. For
example, “Terrorism is a constant and evolving threat” [36], or “Traffic jams” (adopted
from Inayatullah 2003). The litany can also be an entity like United Nations [37], or the
election of Donald Trump as the president of the US [38]. While the viewpoints on the
issue may differ, the phenomenon on the litany level can be easily recognized.
Moreover, on the litany level the changes and solutions are fast and seemingly simple.
For example, a litany level solution for traffic jams could be reducing the number of
cars.
The second level of CLA is called systemic causes. Systemic causes is also the
level of most analytical endeavors. For example, terrorism may be analyzed to result
from lack of sufficient threat detection or to be resolved through more widely spread
Western democratization [36]. Moreover, on a systemic causes level, traffic jams in
turn are caused by improving living standards enabling the ownership of private cars to
more individuals, or the flaws in the city planning and road infrastructure [35].
Systemic causes can be approached from several paradigmatic perspectives: posi-
tivist, constructivist, critical and utilizing diverse theoretical frameworks from insti-
tutional theory to Marxism, actor-network-theory, among others. Compared to the
litany level, identifying the systemic causes is more complex. Respectively, the solu-
tions on a systemic are complex and require more time and effort.
The third level in CLA is worldview. The worldview level stems from postmodern
approaches to philosophy and sociology [23]. It takes the impact of discourses seri-
ously and zooms into the ideologies, assumptions – to the realm of taken-for-granted
that shapes social action [25]. On a worldview level, traffic jams are a consequence of
industrialization, which not only mandates the ownership of a car as a symbol of social
class, but also dictates work hours, which result in many people being on the streets at
the same time. Fundamentally this level explores the mechanisms of meaning, the why
of social action. Changes on this level, for example the development of industrial
working hours or changes in symbolic value of a private car, are characteristically slow
and rarely a result of intentional action [26, 35–38].
The fourth level is called myth/metaphor. The fourth level goes even deeper into
meaning, and explores its origins: where do the ideologies and worldviews emerge
from? The proposed answer in CLA draws from the primitive reactions, ‘gut feelings’,
shared collective images that are difficult to even shape into conscious explanations.
For example, the myths/metaphors attributed to having a private car can stem from
people’s innate needs for experiencing autonomy and competence (e.g. Deci and Ryan
[39] or claiming a private space [40]. While the changes on the myth/metaphor level
changes can be very difficult to identify and conceptualize, the fact that CLA
acknowledges the existence of this level may help recognizing and understanding
events that unfold on the other three levels of analysis [31, 35–37].
3.2 CLA of Disruptive Change

To develop our CLA-based framework for distinguishing disruptive change from
normal change we take the definition of disruption by Kilkki et al. [11] as our starting
point: “An agent is disrupted when the agent must redesign its strategy to survive a
change in the environment. From the perspective of a system, disruption is an event in
which a substantial share of agents belonging to the system is disrupted” (p. 276).
These definitions reveal two essential questions: what needs to happen for an agent to
need to “redesign its strategy to survive? What needs to happen for a notable number of
agents in a system to need to do the same? While there are other social, economic and
environmental issues that may have an impact, here we view the role of technology.
In discussing the emergence of technology-driven social disruption, following Dosi
[41], Carlsen et al. [18] note that the concept of technology includes two dimensions:
first, the knowledge embedded in a field, like engineering, digital technology or
biotechnology, and secondly the technological artefacts solidifying the technological
knowhow into material realizations. This provides us with two levels of technological
advances: developments in technological artefacts, and advances in the field level
technological knowledge.
Dosi [41] elaborates on two additional levels of technological advances. According
to Dosi, there are advances that change the paradigm of a given technological field
within a given utility and advances that render that whole utility irrelevant through
more widespread changes in the needs met with technologies. The examples of the first
type of paradigm change include the shift from analogic music recording technologies
to digital recordings and the subsequent transformations in distributing music. The
second type of paradigm changes consists of major shifts that accompanied for example
industrialization; the technologies essential in farming-based societies gave way to
technologies necessary in industrial societies.
As a result, we incorporate these insights from the literature to the four levels of
CLA to build our analytical framework (Table 1).
Table 1. CLA-based framework of the magnitude of socio-technical change

Level in CLA Unit of the Technological objects of change Magnitude of
impact of change
change
Litany Technological New artefacts, incremental innovation, Normal change
artefacts radical, but bounded innovation
Systemic Socio- Radical innovation that impacts Firm(s) level
causes technical infrastructures, standards, regulation, disruption
systems formal institutions
Worldview Meaning Technological landscape, paradigm level Field/industry
change within utility, informal institutions level disruption
Myth/metaphor Origins of Taken-for-grantedness of paradigm, Macro-level
meaning change of utility needs societal
transformation
On the level of litany, the technological developments are represented in new

technological artefacts resulting from either incremental innovation [15] or such
boundedly radical innovations, which primarily replace one artefact with another,
without impacting the overall structures or behavior. An example of the latter is for
example the launch of the iPhone – while it displaced the then dominant mobile phone
providers and shaped the subsequent use of phones, its diffusion built on established
infrastructures and already adopted behavior. These technological innovations on the
level of artefacts are by themselves not enough for initiating disruption, but merely
represent the normal change – even in highly competitive market settings.
When the technological artefacts are radical enough to cause changes on the
structures or in the behavior of a notable share of individuals, they have the power of
supplanting such individual firms that are reliant on the structures or behavior being
changed. Additionally, also the developments within a given field of technology, in the
constitution of its knowhow, have a similar impact. These impacts can be represented
in changes in the infrastructures, standards and regulations [42]. In short, these changes
are systemic level changes and as such have the potential to disrupt a number or firms
dependent on the preceding institutional settings.
On the level of worldview, the magnitude of disruption encompasses not only
individual firms but industries and whole fields of operation. This requires paradigm
level changes within the fields of technological knowledge: the shift from analog to
digital era being a notable example [42, 43]. On this level the technological and social
changes are firmly intertwined: the technological affordances drive changes not only in
behavior, but also in the informal institutions, and vice versa – the changes in the
informal institutions further strengthen the development trajectories of technology.
Finally, on the level of myth/metaphor, the whole of what is taken for granted
changes. However, as the changes on this level unfold slowly, driven by the conver-
gence of diverse social, economic, technological and environmental trajectories, the
concept of disruption does not apply: the concept of disruption entails a level of
surprise, and while we do not here delve the time dimension of disruption, slowly
unfolding change, while changing the socio-economic-technological systems pro-
foundly, is incompatible with the current use of the concept.
4 Cryptocurrencies
Cryptocurrencies are digital assets that are featured with strong cryptography and can
be used as a medium of secure exchange [44]. They allow fast and secured peer-to-peer
transactions with minimal processing fees without an intermediary such as a bank. In
contrast with the traditional currencies that are controlled by central banks, cryp-
tocurrencies use decentralized technology, especially blockchain [45]. Bitcoin, released
in 2009 is the first cryptocurrency that used blockchain to record financial transactions
[1]. Bitcoin was developed as a decentralized digital currency to revolutionize the
traditional intermediary-based financial industry. Due to the popularity of Bitcoin,
many other digital assets similar to Bitcoin were created using blockchain [2]. As of
October 2019, Coinmarketcap lists altogether 2354 cryptocurrencies.
The rate of the creation of cryptocurrencies is defined by the technical system or

algorithm and is hence publicly known. In the centralized banking system, central
banks control the supply of the currency by printing new money. However, cryp-
tocurrencies have been designed in such a way that the production will decrease by
time for some cryptocurrencies. Moreover, a cap is set on the total amount of the
currency that would be ever produced for most cryptocurrencies. For example, the cap
is 21 million for Bitcoin [46]. Therefore, government, central bank or any other cen-
tralized authority cannot decide creating new units of the currency.
Use of cryptocurrencies is permissionless – that is one does not have to ask anyone
to use them [3]. Transactions using cryptocurrencies are pseudonymous in nature and
so as the accounts or addresses. The cryptocurrency account or address contains
nothing but random characters. Thus, it is possible to check the flow of transactions,
but connecting them to real world identities is not possible.
The rapid growth and diffusion of cryptocurrencies has created significant eco-
nomic activity. For example, there is a fast-growing market for investors, as well as
opportunities for new businesses such as mining hardware manufactures. The market
hype around initial coin offerings (ICO) and tokenization has made cryptocurrencies
widely known as a form of crowdfunding2.
5 Disruptiveness of Cryptocurrencies
When scrutinized through the four levels of change provided by CLA, we can see that
cryptocurrencies have challenged traditional currencies in number of ways. Impor-
tantly, there are indications that the monopoly of central banks in issuing currencies
and controlling the monetary system has been challenged. Table 2 below summarizes
the results of our conceptual analysis.
Table 2. Diffusion of cryptocurrencies analyzed through CLA

impact of change
change
Litany Technological Rapid increase in the number of cryptocurrencies Normal change
artefacts Explosion of peer-to-peer transactions
Market hype around Bitcoin
Systemic Socio- Incumbent financial institutions experimenting with Firm(s) level
causes technical and adopting blockchain-based technologies disruption
systems Emergence of services for cross-border money
transfer, erosion of incumbents’ business
Regulation for cryptocurrencies emerging
(continued)
2
https://www.cnbc.com/2018/07/13/initial-coin-offering-ico-what-are-they-how-do-they-work.html.
Table 2. (continued)
impact of change
change
Worldview Meaning Central banks experimenting with their own crypto-/ Field/industry
digital currencies level disruption
Central bank’s monopoly in issuing money
challenged and questioned
Myth/metaphor Origins of Cryptocurrencies provide means to fight Macro-level
meaning hyperinflation of the traditional currency (Venezuela) societal
and establish a parallel economic system transformation
Decentralized technologies enabling new forms or
organizing and agency
On the level of litany, cryptocurrencies have been gaining popularity for peer-to-
peer transactions. This has been partially driving by certain actors need to avoid tra-
ditional financial institutions since they typically provide information for governmental
authorities. In addition, new cryptocurrencies are created at a rapid pace. Investors have
been investing in cryptocurrencies with the hope for profits. Taken together, the
cryptocurrency market has been constantly evolving since the birth of Bitcoin. As
cryptocurrencies promise to remove central authority in the transaction, it can be seen
as a threat to banks and other financial institutions, which act as the middlemen in
transactions. Therefore, some governments have even banned cryptocurrencies. For
example, ICOs were banned in many countries despite their popularity. Even trading
cryptocurrencies is illegal in many countries such as China3.
On the level of systemic changes, the growth of cryptocurrencies have started to
challenge established companies or organizations. For example, in international money
transfer, cryptocurrencies enable very cost-efficient peer-to-peer transactions and thus
has the potential to decrease transaction costs by eliminating, or cutting the fees of
established middlemen facilitating transactions.
Second, blockchain technologies such as cryptocurrencies typically record the
transactions in a distributed ledger which cannot be changed. Therefore, it ensures trust
and security without a need for a middleman involved in the transaction. Due to the
anonymous nature of cryptocurrencies, it is easier for example to avoid taxation when
one uses cryptocurrencies for transactions. Therefore, regulatory bodies interfered to
regulate cryptocurrencies in the past years [47]. Blockchain, the underlying technology
behind the cryptocurrencies has gained popularity in many other areas such as
healthcare and supply-chain [48, 49]. Therefore, it has already become evident that
cryptocurrencies have the potential for firm level disruption.
With respect to the worldview level of CLA, we argue that the changes associated
with cryptocurrencies represent what CLA considers worldview level. This argument is
supported by the fact that banks, central banks, and other financial institutions have
3
https://www.coindesk.com/south-korea-will-maintain-ico-ban-after-finding-token-projects-broke-
rules.
been looking for possibilities to use private or consortium blockchain as well as

offering their own crypto- or digital currencies due to the possible disruption caused by
cryptocurrencies.
Lastly, there is some signs that cryptocurrencies can contribute to macro-level
societal changes that CLA classifies to represent the myth/metaphor level. The changes
at this level are driven by the convergence of diverse social, economic, technological,
and environmental trajectories. For example, cryptocurrencies, particularly Dash and
Bitcoin have played a role in the recent economic and political turmoil in Venezuela.
For example, due to the hyperinflation, price of one cup of coffee increased 373,233%
in just 12 months. As a result, people have increasingly turned to the digital assets
cryptocurrencies4. Many people converted their bolivars to Bitcoin or other cryp-
tocurrencies to preserve their financial assets. Moreover, salaries have been increas-
ingly paid in cryptocurrencies instead of bolivars. In fact, amidst the crisis, the
Venezuelan government also launched its own cryptocurrency, the petro, believed to be
backed by oil in order to fight the economic crisis. Taken together, the adoption of
cryptocurrencies in Venezuela has skyrocketed and is seen as a way to fight the
economic crisis due to the hyperinflation that collapse the value of the bolivar.
Furthermore, the emergence of blockchain technology and cryptocurrencies can be
viewed as examples of the emergence of decentralized forms of organizing and thus an
alternative to centralized control and authority (cf. [50]).
6 Discussion and Conclusion
This study was set out to explore (i) whether the diffusion of cryptocurrencies repre-
sents a disruptive change, and (ii) what is the potential magnitude of this change? To
meet this objective, we built on disruptive innovation theory [15, 17] (Christensen
1997; Christensen et al. 2018) to scrutinize cryptocurrencies as an instance of socio-
technical change [13, 20–22] and employed Causal Layered Analysis [23, 26] to
conceptually examine its disruptiveness.
Our contribution is twofold. First, we contribute to the evolving blockchain and
cryptocurrency literature (e.g. [2, 10]; b) by evaluating the disruptive potential of
cryptocurrencies with our four-layer analytical framework. In particular, our approach
can be used to more systematically analyze the potential and impact of blockchain-
based applications and services. As a result, we specifically contribute to the debate
whether blockchain-based technologies ability to disrupt existing business models.
Second, we contributed to the disruptive innovation and disruptive change literature
(e.g. [17] by using CLA as the foundation of our analytical framework, we describe the
potential disruptiveness of an innovation using four layers. This provides a more
detailed description of disruptiveness than the dominant two-level approach [13].
The study has a number of limitations that need to be acknowledged. At the same
time, we view these limitations as immediate avenues for future research. First, this
study is conceptual in nature. Therefore, future research could collect empirical
4
https://www.bbc.com/news/business-47553048.
evidence to verify the applicability of CLA approach in the context of cryptocurrencies.

Second, we focused only on one specific use case of blockchain technology and
instance of potential disruptive change, i.e. cryptocurrencies. Thus, future research
could test the applicability of our CLA-based analytical framework in other applica-
tions of blockchain technology as well as entirely different contextual domains – also
within the field on information systems studies.
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Fourth Industrial Revolution
SMME Readiness for Smart Manufacturing
(4IR) Adoption: A Systematic Review
Lucas Gumbi(&) and Hossana Twinomurinzi
University of South Africa, 28 Pioneer Avenue, Florida Park,

Roodepoort, South Africa
58563199@mylife.unisa.ac.za, twinoh@unisa.ac.za
Abstract. Smart manufacturing, Industry 4.0 and Smart Factory are phenom-
ena regarded as a key necessity for Small, Medium and Micro Businesses
(SMMEs) worldwide. Even though these 4th Industrial Revolution (4IR) phe-
nomena are generally used interchangeably, this paper sought to identify how
SMME readiness for smart manufacturing has been investigated through a
systematic review. The systematic review was conducted through the lens of
Nooteboom, and Tornatzky and Klein’s research on technological innovation in
SMMEs based on Rogers’ diffusion of innovations theory. The findings reveal
that there is little to no research on smart manufacturing in relation to SMMEs in
low-income countries particularly the African continent. The results also show
that smart manufacturing is still an emergent phenomenon with disparate defi-
nitional challenges. These definitional challenges make the adoption of smart
manufacturing innovations a challenge in resource-constrained contexts; but
similarly present an opportunity for new definitions and theories in such con-
texts. The little research often treats SMMEs homogenously and as such misses
their important heterogeneous (sector or industry specific) nature. Few research
studies investigate SMME awareness (adequate knowledge) or make explicit the
benefits (relative advantage) of smart manufacturing. Even fewer studies are
explicit on the smart manufacturing technologies that are relevant for different
SMME sectors. Smart manufacturing is identified as incompatible with SMME
characteristics, that is SMMEs lack expertise/skills to comprehend the com-
plexity of smart manufacturing, and also lack financial and human resources to
implement smart manufacturing. Given that awareness, relative advantage,
complexity and compatibility are critical barriers for SMME smart manufac-
turing readiness/adoption, there is a critical need for research to focus on these
factors in particular for the context of resource constrained low-income country
environments.
Keywords: Smart manufacturing Industry 4.0 SMMEs 4th Industrial

Revolution 4IR
1 Introduction
Smart Manufacturing is an emerging 4th Industrial Revolution (4IR) phenomena as a

result of the convergence of various Information and Communication Technologies
(ICT) that improve manufacturing factors such as productivity, quality, delivery and

https://doi.org/10.1007/978-3-030-44999-5_4
42 L. Gumbi and H. Twinomurinzi
flexibility [1–4]. Smart manufacturing relates to enabling industries and their manu-
facturing ecosystems to connect and adopt novel efficiency gains along their value and
supply chains [5]. Smart Manufacturing as a new technological innovation is also seen
as a key driver of improved manufacturing operations [6, 7] and a catalyst of manu-
facturing intelligence [8].
However, despite all the mentioned benefits, SMMEs are not ready for the adoption
and implementation of smart manufacturing as compared to larger firms [9–12]. Jun
et al. [9] attribute this to the SMME environment, their underdeveloped capabilities,
and practical limitations such as cost and personnel. Muller and Voigt [10] suggest that
the challenge is with SMME business model constraints, while Luff [12] and Safar
et al. [11] highlight the issue of lack of resources as the primary constraint.
There have been other systematic reviews [5, 13–18] to understand the factors
inhibiting smart manufacturing adoption and implementation by SMMEs. Those
reviews focused on different dimensions [5, 13–16] and contextual perspectives [17,
18]. For example, Mittal et al. [5, 13, 14] focused specifically on maturity models,
while Hamdi [16] and Moeuf et al. [15] focused on Enterprise Resource Planning
(ERP) and organisational dimensions respectively. Nowotarski and Paslawski [17], and
Sommer et al. [18] focused on Germany and the construction sector.
In this paper, the objective is to understand the level of SMME readiness/adoption
for smart manufacturing and how this has been researched from the perspective of
innovation. The rationale for the research objective was derived from Nooteboom [19,
20] and Tornatzky and Klein’s [21] work on SMMEs underpinned by Roger’s diffusion
of innovations theory [22]. Building on the diffusion of innovation theory [22],
Nooteboom [19, 20] identified the first stage of the SMME adoption process as
awareness; adequate knowledge about the innovation to be adopted. While awareness
is generally a given for large firms and technology-oriented SMMEs, it is a key barrier
for technology-following and non-technological SMMEs with regard to readiness for
adoption [19, 20, 23].
The adoption and diffusion of new technological innovations is contingent on three
characteristics: the relative advantage (benefits) of the technological innovation, the
complexity of the technological innovation and the compatibility of the technological
innovation [21]. Relative advantage is the degree to which an innovation is perceived
as being better than the idea it supersedes, complexity is the degree to which an
innovation is perceived as relatively difficult to understand and use, while compatibility
is the degree to which an innovation is perceived as consistent with the existing values,
past experiences, and needs of potential adopters [21].
The systematic review specifically focuses on the context of the research (low-
income or high-income country), the awareness (adequate knowledge), benefits (rela-
tive advantage), the technological innovations and readiness/adoption as important
dimensions of interest. Based on the objective this review differentiates itself from
previous similar reviews [5, 13–18].
The paper therefore sought to find answers from the review for the following
research questions (RQ):
RQ1: What is the state of awareness (adequate knowledge) of SMMEs in relation to
smart manufacturing?
SMME Readiness for Smart Manufacturing (4IR) Adoption: A Systematic Review 43
RQ2: What are the benefits of smart manufacturing in relation to SMMEs?

RQ3: Which technologies are seen as key to the concept of smart manufacturing in
relation to SMMEs?
RQ4: What is the state of smart manufacturing readiness and adoption by SMMEs?
The rest of the paper is structured as follows, Sect. 2 presents the review
methodology. Section 3 presents the results of the review and the research gaps. The
conclusions, limitations and future work are presented in Sect. 4.
2 Methodology
The study followed Lage and Junior’s [24] systematic review protocol, and used the
reporting approach of Amui et al.’s [25]. The SLR considered publications, which
followed the formal introduction of Industry 4.0 that is from 2011 onwards. The time
period for article selection was October 2018 to January 2019, while the analysis of the
articles was from February 2019 to July 2019. A schematic representation of the
adopted review protocol is shown in Fig. 1 below.
Methodology Framework for the analysis of results
Identify the main

Develop a structured results of the articles
Identification of the research articles classification and coding based on the coding
framework system
Coded table
with all the
articles
Construction Identification Inclusion Providing a brief

of the of the and 1. Context summary of each
search terms data exclusion 2. Focus article’s main
sources criteria 3. Method of research objectives and results
4. Sector
5. Dimensions
6. Continent
Analyse the gaps as Framework with the

well as the gaps, contributing
opportunities and to a future research
challenges for future agenda
Fig. 1. A schematic representation for the adopted methodology and results framework for this
study
2.1 Identification of the Research Articles

The first step was identifying the research articles through; (1) the construction of the
search terms, (2) identifying the relevant data sources and (3) inclusion and exclusion
criteria.
2.2 Construction of the Search Terms

The construction of the search terms was primarily derived from RQ1, RQ2, RQ3 and
RQ4. These search strings were constructed based on the Unit of Analysis (SMMEs),
Technology Artefact (Smart Manufacturing/Industry 4.0/Smart Factory) and Phenom-

enon of Interest (Adoption/Trends/Benefits/Technologies/Issues). The full details of the
33 constructed search strings are presented in Appendix 1 found on http://dx.doi.org/
10.13140/RG.2.2.19652.17285.
2.3 Identification of the Data Sources

Smart Manufacturing (industry 4.0) is based on the convergence of various tech-
nologies and the integration of multiple disciplines and domains such as mechanical
engineering, electrical engineering, computer science and other related fields [1, 26].
The multidisciplinary nature of smart manufacturing meant that the review needed to
perform the search in similar multidisciplinary research databases. The study therefore
chose the four that are most commonly used by multidisciplinary researchers [27–33];
Web of Science (WoS), Academic Search Premier (ASP), ScienceDirect and Google
Scholar.
2.4 Inclusion and Exclusion Criteria

Using the constructed search terms, 279 articles were identified from the four databases
(Fig. 2) in the first iteration. This first iteration was based on the following inclusion
criteria:
• Articles that mention smart manufacturing or industry 4.0 or smart factory within
their content or title
• All industries or sectors (not just manufacturing)
• Peer reviewed journal or conference articles
• Articles written in English
In the second iteration, after removing duplications from different databases, 177
articles were excluded based on the review of titles and abstract. These articles were
excluded based on the following exclusion criteria:
1. Smart Manufacturing AND Adoption
Sciencedirect : 115 articles

Inclusion criteria
Search terms
Google Scholar : 98 articles

Articles = 279
Results from
database queries
Academic Search Premier : 41 articles
Web of Science : 25 articles
33. SMEs AND Smart Factory AND Adoption Duplications in search results,
title and abstract review
Exclusion criteria: 177 articles
excluded
Full text analysis (102 articles)

Exclusion criteria: 72 excluded
articles
30 Research study articles
Fig. 2. A schematic representation of the inclusion and exclusion process

• Articles that merely mention some of the search terms, but do not solely focus on
smart manufacturing, industry 4.0 or smart factory concepts
• Articles focusing on one specific application of a particular technology in relation to
smart manufacturing or industry 4.0 or smart factory
• Articles that do not focus on SMMEs
• Articles that merely mention SMMEs
In the final round of the iteration process, 72 articles were excluded based on the
analysis of the full text of the articles. The remainder of the articles (30 peer reviewed
journals and conference papers) were determined to be relevant for this review (See
Appendix 2 Table 10 on http://dx.doi.org/10.13140/RG.2.2.19652.17285 for the arti-
cles selected for this review). The primary exclusion criteria was the following:
• Articles that do not discuss any of the four study dimensions (awareness: adequate
knowledge, benefits, technologies and readiness/adoption) discussed in Sect. 1
within their content
2.5 A Structured Classification and Coding Framework

To enable a structured and effective analysis of the body of knowledge contained
within the sourced articles, a modified classification and coding framework utilizing
numbers and letter codes to classify the articles was utilized (Table 1). This framework
is adopted from Amui et al. [25] who developed it based on other systematic review
efforts [34–38].
Table 1. Classification and coding framework

Classification Description Codes
Context High-income countries 1A
Low-income countries 1B
Not Applicable 1C
Focus Smart Manufacturing (SM) as the main theme 2A
Industry 4.0 (I4.0) as the main theme 2B
Smart Factory (SF) as the main theme 2C
SM/I4.0/SF used interchangeably 2D
Method Qualitative 3A
Quantitative 3B
Theoretical 3C
Empirical 3D
Case studies/interviews 3E
Survey 3F
Sector Manufacturing 4A
Other Sectors 4B
Not Applicable 4C
(continued)
Classification Description Codes
Dimensions Awareness(Knowledge) 5A
Benefits 5B
Technologies 5C
Readiness/Adoption 5D
Origin (Continents) America 6A
Europe 6B
Asia 6C
Oceania 6D
Africa 6E
3 Analysis and Discussion of Findings
The thirty selected research articles were coded according to Table 1, with the resultant
coding results shown in Table 2 below.
3.1 Context and Origin

The majority of the articles focused on high-income countries (1A) in comparison to
low income countries (1B) as shown in Table 2. The majority of the research studies in
relation to smart manufacturing (Table 2) originated from Europe (6B) conducted by
German universities and research institutions. Only one study by a Moroccan uni-
versity originated from the African (6E) continent [16]. See details in Appendix 2
Table 11 on http://dx.doi.org/10.13140/RG.2.2.19652.17285.
The findings suggest that there is a research gap in this regard, and therefore a
research opportunity for smart manufacturing for SMMEs in low-income countries,
specifically in the African continent. The resource constrained environments of low-
income country contexts often results in completely new and contrasting technological
innovations as has been shown in the mobile money sector in low-income countries [39].
3.2 What’s in a Name: Smart Manufacturing vs 4IR

In this study, no article used smart manufacturing (2A) and/or smart factory (2C) as the
main theme on their own (Table 3). Both these terms were used interchangeably with
Industry 4.0 as shown in Table 3. Industry 4.0 (2B) is also not used interchangeably in
this study and seems to be the most preferred term (Table 3). This could be as a result
of the majority of the researchers/studies emanating from Germany. The findings
suggest that the manufacturing 4IR discourse has primarily been through the lens of
Industry 4.0 concept applied in a non-contextual approach to country specific problems
and strategic initiatives [16, 40]. However, due to definitional differences of these terms
(smart manufacturing/industry 4.0/smart factory) [5], there is a research gap and a
related opportunity to contextualize 4IR concepts such as smart manufacturing to
country specific problems and strategic initiatives.
Table 2. Results of the codification framework
Authors Context Focus Method Sector Dimensions Origin (ConƟnents)
# 1 Mi al et al. (2018a) 1C 2A 2B 2C 2D 3C 4A 5D 5A 6A
# 2 Ganzarain and Erras (2016) 1A 2B 2C 2D 3D 4C 5D 5A 6B
# 3 Mi al et al. (2018b) 1C 2A 2B 2C 2D 3C 3E 4A 5D 5C 6A
# 4 Mi al et al. (2018c) 1C 2A 2B 2D 3C 3E 4A 5D 5C 6A
# 5 Hamidi et al. (2018) 1B 2B 2C 2D 3B 3F 4C 5D 5C 5A 6C

# 6 Wang et al. (2016) 1A 2B 3D 4A 5D 6B
# 7 Moeuf et al. (2018) 1C 2B 2C 2D 3C 4C 5D 5C 6B
# 8 Dassis et al. (2018) 1C 2A 2B 2D 3E 4C 5D 5A 6B
# 9 Andulkar et al. (2018) 1A 2B 2C 2D 3A 3B 3E 3F 4C 5D 5C 5B 5A 6B
# 10 Hamzeh et al. (2018) 1A 2A 2B 2D 3F 4A 5D 5B 5A 6D
# 11 El Hamdi et al. (2018) 1B 2A 2B 2D 3C 3F 4A 5D 5A 6E

# 12 Wienbruch et al. (2018) 1A 2B 3C 3D 4A 5D 5A 6B
# 13 Dassis et al. (2017) 1A 2B 3E 4A 5D 5A 6B
# 14 Bär et al. (2018) 1A 2A 2B 2C 2D 3A 3C 3E 4A 5D 5C 5B 6B
# 15 Jones et al. (2018) 1A 2B 2C 2D 3E 4A 5D 5C 5A 6B
# 16 Colombo et al. (2015) 1A 2B 2C 2D 3D 4C 5D 6B

# 17 Issa et al. (2017) 1A 2B 3D 3E 4A 5D 5C 6B
# 18 Faller and Feldmüller (2015) 1A 2B 3D 4A 5D 6B
# 19 Wank et al. (2016) 1A 2B 3D 3E 4C 5D 6B
# 20 Jäger et al. (2016) 1A 2B 2C 2D 3E 3F 4C 5D 6B
# 21 Polat and Karakuş (2018) 1A 2B 2C 2D 3E 4A 5D 5A 6C
# 22 Nowotarski and Paslawski (2017) 1C 2B 2C 2D 3C 4B 5D 6B

# 23 Sevinç et al. (2018) 1C 2B 3C 3E 3F 4A 5D 6C
# 24 Müller et al. (2018) 1A 2A 2B 2D 3A 3B 3E 4A 5D 5B 5A 6B
# 25 Ludwig et al. (2018) 1A 2B 3E 4C 5D 6B
# 26 Kleindienst and Ramsauer (2015) 1C 2B 3C 3E 4A 5D 6B
# 27 Müller et al. (2017) 1A 2A 2B 2D 3A 3E 4C 5D 5A 6B

# 28 Sommer (2015) 1A 2B 3C 3E 4C 5D 5A 6B
# 29 Modrak et al. (2018) 1C 2B 3C 3E 4C 5D 5C 6B
SMME Readiness for Smart Manufacturing (4IR) Adoption: A Systematic Review
# 30 Müller and Voigt (2018) 1C 2B 3B 3F 4C 5D 5C 5B 6B

47
Table 3. Usage of the 4IR terms

4IR concept Code Used as a Used as main No. of
main theme only theme and articles
interchangeably
Smart 2A x x
Manufacturing (SM)
Industry 4.0 (I4.0) 2B √ x 12
Smart Factory (SF) 2C x x
SM & I4.0 2A + 2B x √ 6
SM & SF 2A + 2C x x
I4.0 & SF 2B + 2C x √ 9
SM & I4.0 & SF 2A + 2B + 2C x √ 3
3.3 Research Methods

The majority of the articles utilized case studies/interviews (3E) as research methods
(Table 2). The case studies/interviews were in most cases used as part of the mixed
research methodology approach to support conceptual/theoretical research (3C) articles
(Table 2). Further analysis on the types of research methods and how they were utilized
in the reviewed articles is shown in Table 4. The findings illustrate the need to create
new substantive research theories that can contextualize smart manufacturing research
to relate better to context specific needs.
Table 4. Research methods

Research methods Qualitative Quantitative Theoretical Empirical Case Survey No. of
3A 3B 3C 3D studies/interviews 3F articles
3E
Single research x x 3 4 4 1 13
method
Mixed research x x 9 3 13 6 17
method
Qualitative 4 x x x x x 4
Quantitative x 4 x x x x 4
3.4 Economic Sector

While the majority of the articles (4A) focused on the manufacturing sector, a sig-
nificant number of articles (4C) studied SMMEs in a generalized manner (Table 5).
Although SMMEs share a number of similarities, they are heterogeneous in nature as
they operate in different sectors [41]. The findings suggest that more sector specific
research needs to be done with regards to SMMEs.
Table 5. Economic sector

Economic sector Code No. of articles
Manufacturing 4A 16
Other sectors 4B 1
Not applicable 4C 13
3.5 Dimensions
To answer the framed research questions posed in Sect. 1 (introduction), the four
dimensions (1) awareness (adequate knowledge), (2) benefits (relative advantage),
(3) technologies and (4) readiness/adoption (awareness, relative advantage, complexity
and compatibility) shown in Table 1, were analyzed in accordance with the codification
results of Table 2.
Smart Manufacturing: Awareness (adequate knowledge)
RQ1 sought to establish the state of awareness (knowledge) of SMMEs in relation to
smart manufacturing. While the majority of the studies (16 articles) did not mention or
discuss this dimension, those articles that did mention/discuss (14 articles) this
dimension did not provide any substantive details in relation to the awareness
dimension (Table 6). See more details with regard to further analysis in Appendix 2
The findings indicates that there is little comprehensive research focusing on
investigating SMME levels of awareness in relation to smart manufacturing. Given that
the awareness stage has very critical and significant implications to smart manufac-
turing readiness/adoption based on the innovations theory [19, 22], there is a critical
need for research to focus on the awareness of SMMEs in relation to the opportunities,
challenges and demands of smart manufacturing.
Table 6. Awareness
Dimension: awareness Code No. of Articles
SMMEs lack awareness of smart manufacturing 5A 10
SMMEs have adequate knowledge of smart manufacturing 5A 4
Not discussed/mentioned 5A 16
Smart Manufacturing (industry 4.0): Relative Advantage (Benefits)

RQ2 sought to identify the benefits (relative advantage) of smart manufacturing in
relation to SMMEs. The majority of the research studies did not look into the relative
advantage dimension to identify explicitly or implicitly any potential benefits of smart
manufacturing for SMMEs (Table 7). Only 5 articles discussed and or identified the
relative advantage of smart manufacturing (See details in Appendix 2 Table 13 on
http://dx.doi.org/10.13140/RG.2.2.19652.17285).
The findings points to the need for research studies to focus on explicitly identi-
fying the practical relative advantage of smart manufacturing for SMMEs based on
concrete and comprehensive research.
Table 7. Benefits (relative advantage)

Dimension: benefits (relative advantage) Code No. of articles
Potential benefits for SMMEs explicitly identified 5B 5
Not discussed/mentioned 5B 25
Smart Manufacturing (industry 4.0): Technologies

RQ3 sought to identify technologies that are seen as key to the concept of smart
manufacturing in relation to SMMEs. The majority of the research studies identified
and discussed smart manufacturing technologies from a general applications context
and not specific to SMMEs or how they relate and or can be applied in SMME context
(Table 8). Only 10 articles identified technologies that are seen as key to the concept of
smart manufacturing in relation to SMMEs (See details in Appendix 2 Table 14 on
http://dx.doi.org/10.13140/RG.2.2.19652.17285).
The findings reveals a research gap in identifying specific smart manufacturing
technologies that are relevant to SMMEs from a sector or industry perspective. This
research gap leaves SMMEs exposed and vulnerable to smart manufacturing anecdotes
and sales pitches. The availability of empirically proven research on smart manufac-
turing technologies per sector and or industry would assist SMMEs which usually do
not have the resources to do feasibility studies.
Table 8. Technologies
Dimension: technologies (key to SMMEs) Code No. of articles
Smart manufacturing technologies for SMMEs identified/discussed 5C 10
Not discussed/mentioned 5C 20
Smart Manufacturing (industry 4.0): Readiness/Adoption

RQ4 sought to understand the state of smart manufacturing readiness and adoption by
SMMEs based on the innovations theory [19, 22]. Readiness and adoption of smart
manufacturing by SMMEs is contingent on four key dimensions (1) awareness (ade-
quate knowledge), (2) relative advantage (benefits), (3) complexity and (4) compati-
bility [19, 22]. Only a few research articles looked into the issue of awareness
(Table 6), relative advantage (Table 7) and complexity as shown in Table 9, while
90% of the research articles indicates that smart manufacturing is currently incom-
patible with SMME characteristics due to lack of expertise, skills and resources
(Table 9). See detailed analysis of complexity and compatibility in Appendix 2
The findings reveal that, research gaps in relation to understanding the impact of
awareness, relative advantage and complexity needs to be addressed to be able to assess
the state of smart manufacturing readiness and adoption by SMMEs. The findings,
further reveal that compatibility seems to be emerging as one of the major factors
negatively affecting smart manufacturing readiness/adoption for SMMEs. This situa-
tion may have far reaching implications in the context of low-skilled and resource
constrained low-income countries.
Table 9. Adoption/readiness
Dimension: adoption/readiness No. of Percentage (total
articles articles)
SMMEs have adequate knowledge of smart 4 13
manufacturing
Potential benefits for SMMEs explicitly identified 5 17
Smart Manufacturing is complex for SMMEs to 11 37
understand
Smart manufacturing is incompatible with SMME 27 90
characteristics
4 Conclusion, Limitations and Future Work
The primary objective of this work was to understand the level of SMME
readiness/adoption for smart manufacturing and how this has been researched from the
perspective of digital technologies innovation guided by four research questions (in-
troduction section). Firstly, the findings suggest that smart manufacturing research on
SMMEs is limited in low-income countries and also not contextualized to context
specific demands such as sector and or industry specific challenges and preconditions.
These includes smart manufacturing technology applications and how they relate or can
be applied in SMME context. Secondly, the findings suggest that the issues of SMME
awareness, relative advantage and complexity of smart manufacturing DT innovation
have received very little research attention. This is critical for readiness/adoption in
relation to technology-following SMMEs [20]. Lastly, SMME characteristics (lack of
skills, expertise and resources) are incompatible with smart manufacturing. This ren-
ders technology-following SMMEs not ready for the adoption of smart manufacturing.
Future context specific research investigating smart manufacturing in settings such
as resource constraint low-income countries, non-technology based sectors/industries
such as the manufacturing and technology-following SMMEs is recommended. More
research to evaluate the impact of SMME awareness, relative advantage, complexity
and incompatibility of smart manufacturing for former non-technology (but now
technology-following) SMMEs should also be considered in future studies.
The systematic review is limited in its time horizon and its emphasis on low-
income/high-income context. Further research is needed that uses other regional
aspects.
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Using Theories to Design a Value Alignment
Model for Smart City Initiatives
Anthea van der Hoogen(&) , Brenda Scholtz ,

and Andre P. Calitz
Department of Computing Sciences, Nelson Mandela University, Summerstrand,

Port Elizabeth 6019, South Africa
{anthea.vanderhoogen,brenda.scholtz,
andre.calitz}@mandela.ac.za
Abstract. Smart city initiatives are widely becoming part of the world agenda
to address crises and to identify new initiatives for countries to manage
resources while providing better living conditions for all citizens. The purpose
of this study was to design a model to support the alignment of value in Smart
City initiatives. To address this purpose, a systematic literature review
(SLR) was conducted to find what Smart City initiatives have been addressed in
empirical studies, and what dimensions and factors are linked to these initiatives.
The SLR also identified the stakeholders in a Smart City, and what their roles
should be linked to these initiatives. Six theories were identified and used to
undergird the researcher’s understanding of the domains of Smart Cities, value
and alignment. The concepts from these theories were then used with the SLR
findings to design a conceptual model for Smart City initiatives. The proposed
Value Alignment Smart City Model (VASC) can be used to plan or assess Smart
City initiatives. The main contribution is the alignment of value amongst
stakeholders to support the success of such initiatives. Further research is
required to investigate adopting the model and empirically evaluate it.
Keywords: Dimensions Factors Stakeholder roles Value Alignment

Theories
1 Introduction
Even though there is no consensus by researchers regarding the definition of a Smart

City, many agree on certain aspects that can help with the understanding of what Smart
City studies are about [1]. The common component of Smart Cities reported is ICT
solutions that address economic, social and environmental issues to contribute to a better
quality of life for the citizens [1–3]. It is found that addressing Smart City concepts and
trends through initiatives can help to reach a cohesive understanding amongst cities in
the world who are trying to overcome similar or different problems [1, 3]. The feasibility
of Smart City initiatives is driven from the point of view that it is depending on Big Data
and the Internet of Things (IoT) [1, 4]. Smart city initiatives should further incorporate
technologies such as sensors where data can be collected and analysed so those who
need the information can make informed decisions and manage administrative tasks [5].

https://doi.org/10.1007/978-3-030-44999-5_5
56 A. van der Hoogen et al.
Conventional and futuristic Smart City initiatives can still be classified or fit in the
six dimensions namely Smart People, Smart Governance, Smart Economy, Smart
Environment, Smart Mobility, and Smart Living [6]. These dimensions are said to
characterise what a smart city should include and for each dimension there are factors
that characterise the dimension’s success [7]. A study on Smart City definitions
identified certain factors on the importance of a Smart City and the information flow
between the factors [7]. Their definition will be adopted for this study and states that:
“A Smart City is based on intelligent exchanges of information that flow between its
many different subsystems. This flow of information is analyzed and translated into
citizen and commercial services. The city will act on this information flow to make its
wider ecosystem more resource-efficient and sustainable. The information exchange is
based on a smart governance operating framework designed to make cities sustain-
able”. Many studies have investigated endless lists of initiatives, factors and tech-
nologies in Smart City research fields. Some studies have also addressed instruments
for assessing the alignment of value and the practices of creating value [8–10].
However, few studies have assessed the perceived value by stakeholders amongst these
initiatives according to the theories found for Smart Cities, theories for value and
theories for alignment. The research question this study will investigate is “What
appropriate theoretical concepts can be used that will help to build a conceptual model
to support the alignment of value in Smart City initiatives?”.
The data value chain is seen as an important component within the conceptual
model to ensure that data for each initiative can be identified for all the stakeholder
interest. The rest of the paper starts with the research design (Sect. 2) followed, by
findings from the dimensions and factors of a Smart City (Sect. 3). The stakeholders
are perceived as a critical component in Smart City (Sect. 3.3). For this reason, it is
even more important to identify the value created for each stakeholder that can ensure
alignment between all the stakeholders’ interests (Sect. 4). The proposed Value
Alignment Smart City model (VASC) includes the components that can form part of a
Smart City to achieve success in projects (Sect. 5). Finally, conclusions and future
research are provided (Sect. 6).
2 Research Design
The research approach used to answer the research question was a systematic literature
review (SLR) [11]. The journal articles, conference papers and reports were selected
from Google Scholar, Google, and Research Gate. Only studies that cited real examples
of Smart City initiatives were considered in the review. White papers and reports were
excluded from the SLR. Only papers that were published between 2011 and 2018 were
included, since it was shown by [12] that Smart City research started to boom from
2010 onward. The SLR started with the identification of nine Smart City dimensions
from 15 initial studies (Sect. 3.1). The keywords were derived from the research
question of this study and included “smart city framework”, “smart city initiative”, and
“smart city dimension”. The second round of the SLR included the identification of 39
related factors across all nine dimensions only from empirical studies included in the
first round and the findings are summarized (available on request). The second round
Using Theories to Design a Value Alignment Model 57
eliminated non-empirical studies and the final list of 12 studies was used as part of the
analysis (available on request). The third round of the SLR helped to identify 58
stakeholder types across four stakeholder roles namely: Enabler; Provider; Utiliser and
User. The final list of stakeholder types was reduced to 30 types after eliminating any
duplications across the studies included in the analysis (available on request).
Finally, theories from the three domains namely Smart Cities, Value, and Align-
ment were investigated (Table 1). Six theories were identified as relevant and used
together with the SLR findings to guide the selection of the components for the VASC
model. A summary of these theories and the related components are listed in Table 1.
Table 1. Theoretical concepts informing the VASC model

Domain Theoretical concepts Component of the VASC model
Smart Hexagonal Dimension Original dimensions: Smart People; Smart
Cities Theory [6, 13] Governance; Smart Economy; Smart Environment;
(SLR) Smart Mobility; and Smart Living
Strategic Priority Areas Extra dimensions: Smart Policy; Smart
Theory [14] Organisation; and Smart Technology-and-ICT
Infrastructure
Triple Helix Model Stakeholder roles and types
Theory [15]
Value Complex Value Five phases of benefits realisation for all
Typology Theory [16] stakeholders
Data Value Chain: data gathered and converted into
beneficial information across all areas within a Smart
City
Alignment Strategic Perspective of Strategic initiatives of Smart City projects aligned
Alignment [17–19] to all components of the model
Structural Alignment Alignment of roles/responsibilities of Smart City
Theory [19, 20] structures for all stakeholders
The Hexagonal Dimension Theory (HDT) was selected from the Smart City
domain and proposes the first six dimensions for the VASC model [6, 13]. The HDT is
based on models discussing the analysis, relationships, and indicators of the six Smart
City dimensions from [6]. Indicators that should be used for assessment to help
determine how Smart Cities are ranked are proposed by [13, 22]. Three additional
dimensions were selected as part of the VASC model, based on the Strategic Priority
Areas Theory (SPAT) [14]. The additional dimensions in this study are Smart Policy;
Smart Organisation, and Smart Technology-and-ICT Infrastructure [23]. The Triple
Helix Model Theory (THMT) [15], emphasises the importance of the core stakeholders
roles and types such as academia, industry, and government, which are key component
of any national or multi-national innovation strategy and therefore any Smart City
initiatives. The Complex Value Typology Theory (CVTT) was used to guide the
researcher’s understanding of value [16]. In this theory, value can be viewed as the
nature of the benefits incurred by the stakeholders. Therefore the five phases of
benefits’ realisation [24], are important to be able to identify the potential benefits of all
stakeholders in a Smart City initiative. Since one of the key elements of all the tech-
nologies involved in a Smart City is the data, the data value chain is extremely relevant
for providing value to the stakeholders or for assessing where value is realised. The
Strategic Perspective of Alignment (SPA) theory was used to guide the researcher’s
understanding of alignment and the Structural Alignment Type (SAT) theory was
incorporated to align performance of Smart City initiatives between IT strategy and the
organisational strategy [25]; as reported in [17–19]. SAT is a type of alignment based
on a systematic view of a structure to ensure that strategic goals are achieved [20, 21].
The importance of having structures in place for a Smart City is important as well as to
achieve the strategic goals within those structures because from these structures clear
roles and responsibilities can be aligned between the stakeholders of Smart City
initiatives.
3 Findings: Smart City Dimensions and Factors
In this section, the term dimension(s) will be used to describe the list of dimensions
highlighted in Sect. 3.1. Any other aspects that are further used to describe these
dimensions will be referred to as factors and these are described in Sect. 3.2.
3.1 Dimensions
The first round of the SLR resulted in the findings summarised in Table 2 relating to
dimensions referred to in the empirical studies reviewed. The importance of consid-
ering the dimensions in a Smart City initiative was confirmed and that measures should
be in place to ensure that cities continue to find smarter ways of dealing with challenges
[7, 26]. The studies are listed in chronological order (Table 2). The ‘x’ in Table 2
represents the dimensions that are applied or mentioned in the relevant empirical study
as a contributor in a Smart City and the frequency (f) of citations for each dimension is
provided. The first six dimensions (D1–D6) of Smart Cities were identified by [22] and
[6] and are Smart People, Smart Governance, Smart Economy, Smart Environment,
Smart Mobility, and Smart Living. These were extended by three dimensions (D7–D9)
proposed by [23], namely Smart Policy, Smart Organisation, and Smart Technology-
and-ICT Infrastructure. Each dimension in the VASC model (Fig. 1) was classified as
either a core dimension or a support dimension. Smart People (D1) and Smart
Technology-and-ICT Infrastructure (D9) are classified as support dimensions to the
other core dimensions (D2-D8). This classification was based on the description of
Porter’s value chain according to the support activities or functions in an organisation
[27], where the well-known support functions in an organisation include IT and Human
Resource Management. The only studies that reported on all nine dimensions were [28]
and [29]. Smart economy and smart living were the top two dimensions reported on
(f = 11). Smart people, smart policy and smart technology-and-ICT infrastructure are
the second-highest dimensions reported (f = 10). The dimensions that were least
reported on within its context of being applied within Smart Cities are smart mobility
and smart organisation. Smart People (D1) is the first important dimension identified by
several Smart City studies [6, 23, 28–33]. This dimension recognises that people who
are stakeholders can contribute to a Smart City’s success. The second last row in
Table 2 indicates the total number of studies per dimension where “x” number of
factors are found, i.e. not all dimensions have factors linked to each per empirical
study.
Table 2. Comparison of studies of Smart City dimensions (Author’s construct)
Some of the factors related to people are the level of qualification, affinity to
lifelong learning, social and ethnic plurality, creativity, and synergies through part-
nerships and collaborations. The second dimension is Smart Governance (D2), which
was identified as an important dimension that includes factors that drive a Smart City
such as participation in decision-making, public and social services and transparent
governance [6, 23, 28–31, 34]. The third dimension commonly cited in Smart City
studies is Smart Economy (D3) [6, 23, 28–32, 35, 36]. This dimension refers to
activities that encourage innovation, entrepreneurship spirit, productivity and interna-
tional embeddedness. Seven studies reported on the importance of Smart Environment
(D4) as a dimension [6, 23, 28, 29, 31, 33, 35]. This discussion relates to factors such
as: attractiveness of natural conditions, environmental protection policies and being
able to have sustainable resource management, and ensuring that a city is future proof
(i.e. sustainable) by having a sustainability strategy to address social-economic,
political and environmental aspects of a city. Interestingly, sustainable resource man-
agement and a future proof city were reported in the same seven studies as important
for a Smart City. Smart Mobility (D5) is the dimension that focuses on factors
involving sustainable, innovative and safe transport systems that are accessible locally,
nationally and internationally [6, 28–30, 34]. The sixth dimension (D6) is Smart
Living, which includes factors such as cultural facilities, health conditions, individual
safety, housing quality and education facilities. Smart Policy (D7) is the dimension that
highlights the importance of a close relationship between a Smart City initiative and the
city’s policy and the importance of an innovative policy [28–30, 32, 34–38].
The Smart Organisation dimension was identified as the eighth dimension (D8),
and is important since organisational culture and innovative leadership and manage-
ment can influence the success of a Smart City [23, 28–30, 32, 33, 37]. The ninth
dimension (D9) is Smart Technology and ICT-infrastructure and includes all the smart
technologies that are used in a Smart City used for the collection and analysis of all
related data. This is only possible when there is easy access and availability in the ICT-
infrastructure [23, 28–30, 32–35, 37, 38].
3.2 Factors
Dimensions and factors should be incorporated in studies of Smart Cities, but provision
should be made for other factors to be included when gathering data and findings of
studies [22]. Each dimension of a Smart City can be categorised and ultimately mea-
sured in terms of a number of factors. From the second round of the SLR process, 39
factors (F1 to F39) were identified; however the details could not be included due to
space constraints but are available on request. The studies of [39] and [2] were
excluded from this analysis as they did not provide empirical evidence of the factors;
therefore they are highlighted in Table 2.
A total of 12 empirical studies were therefore included in the analysis of the 39
factors. The first 31 factors identified for the first six dimensions were proposed by [6]
and confirmed by other studies [23, 28–38], and the remaining eight factors were found
in other studies (details available on request).
3.3 Stakeholder Roles and Types

Arguments show the utmost importance to involve all stakeholders in Smart City
initiatives, to address the challenges of these initiatives [34, 37], and to lead to suc-
cessful innovative solutions [23]. Stakeholders such as citizens, end-users, IT experts
and policy experts are key to the architecture of a Smart City [30]. Understanding the
needs and wants of all stakeholders will improve the citizen-government relationship
[23]. A significant challenge faced by Smart Cities is to efficiently articulate the
relationship between these stakeholders and the city management [29]. Four key roles
for stakeholders were identified in [40], namely: enablers, providers, utilisers and users.
Enablers create a vision, allocate resources, provide strategic leadership, and promote
networking. Providers engage academics and professionals as innovators, provide
innovative research and design (R&D) methods, augment knowledge and manage
knowledge distribution systematically. Utilisers create suitable products and services,
set small-scale objectives derived from the vision, learn new practices to produce
accessible knowledge and innovate. Users participate in experiments, empower citizens
through co-creation and produce place-based experience. The third round of the SLR
identified 58 relevant stakeholder types cited in 15 studies (Table 3). In these studies,
common stakeholders were recognised, however on occasions different terms were
used to refer to similar stakeholder types in Smart Cities. The studies are listed in
chronological order in Table 3. Six stakeholders namely, governments in other juris-
dictions, non-profits, companies, schools, universities, and citizens were identified by
[23]. Five stakeholder types were identified by [39], namely users, the public,
administration, vendors and government. One study [41] argues that all investors
(public and private) are important stakeholders. Residents and workers are amongst the
stakeholders found in a Smart City [2]. It was evident in [31], that citizens are key to be
engaged in Smart City projects to establish their needs, but industrial stakeholders are
also important as they give the recommendations needed for new businesses. To create
a sustainable city, the participation from stakeholders such as public government,
NGOs, private companies and individual citizens is required [35]. Three stakeholder
types were reported in [29], citizens, government, and businesses. The authors in [33],
agree that citizens and government are key stakeholders. Stakeholders influencing
privacy of Big Data such as data controllers, data processors, and third parties should
be considered in a Smart City [38]. Open data is part of Smart Cities and the people that
are involved with open data projects are stakeholders and can be used to brainstorm
innovative ideas [36].
Table 3. Stakeholder types (Author’s construct)

Study Stakeholder types (n = 58)
[37] Governments; Firms; Non-profits; Citizens
[30] End-users; IT experts; Policy/service domain experts; Public managers
[23] Governments in other jurisdictions; Non-profits; Companies; Schools; Universities;
Citizens
[39] Users; Public administrations; Vendors; Government
[41] Investors (public and private)
[2] Residents/Citizens; Workers
[31] Citizens; Industrial stakeholders
[28] Performance evaluators
[35] Public government; Private companies; NGOs; Citizens
[29] Citizens; Government; Businesses
[38] Individuals; Data controllers; Data processors; Third parties
[36] Public officials; Independent developers; Technically savvy citizens; NGOs;
Academic communities; Media communities
[32] Industrial players; Business players; Dynamic small and medium-sized enterprises
(SMEs); Building owners; Universities; Research & technology organisations; Major
standardisation institutes; Government; Citizens; Local experts; External domain
experts
[34] Citizens; City managers; Developers; Governments
[33] Citizens; Government
They could be independent developers, technically savvy citizens, academic

communities or non-governmental organisations. The co-creation process for Smart
City solutions, identified by [32], reiterates the importance of the involvement of all
stakeholders (industrial and business players to external domain experts) and the
alignment of value to achieving Smart City success. City managers and government
should provide easy accessibility and interactions for users such as developers and
citizens to open datasets [34] since this should help these users to understand the
datasets and to identify ways toward sustainable open data systems.
An analysis of the definitions taken from [40] for each role was used to classify
each stakeholder type according to the most relevant role. This analysis resulted in the
initial list of 58 stakeholder types being reduced to 30 common types (T1 to T30)
across the 15 studies and the four stakeholder roles (available on request). For example
company types such as private, public, firms and SMEs were combined into one type.
Two stakeholder types (city mayor and think tanks/incubators) were not identified in
the studies in Table 3 but were added to the final list based on the argument of [40] that
they are equally important stakeholders. Citizens as stakeholders were reported in 11 of
the 15 studies, making this the most popular type reported. Six studies reported gov-
ernment and four studies reported companies as important. It is clear that when a city
wants to co-create smart solutions, many different types of stakeholders have to be
considered.
4 Alignment of Value for Benefits Realisation
The previous sections related to the SLR findings, it is evident that the dimensions,
factors and stakeholders of a Smart City should be used to assess the benefits of a Smart
City initiative. However, existing Smart City studies do not explore whether or not the
benefits of initiatives are realised or whether stakeholder value is considered or aligned.
It is argued that what one stakeholder might view as a successful or valuable initiative
may not be considered as successful or valuable to another stakeholder. In order to
finalise the model so that value can be considered, the value theory of [15] was
incorporated, which equates the assessment of benefit to the concept of value [16]. For
example, “human wants, needs, and interest that are served by their realisation” [16].
In another study of value, the authors showed the factors influencing value co-
creation established by [42] and also applied by [24]. They proposed an integrated
process model for co-realisation of value, and they used a government case study in
Norway to validate their approach to co-realisation of IT value in a collaborative
setting. In the study of [24] the value co-creation process incorporated five phases for
benefits realisation to co-create IT value. Their study contributed to value theory and
showed that these phases are appropriate for new, major service development in the
Norwegian government. This phased approach can be adopted in Smart City initiatives
to achieve alignment of stakeholder value. The first phase is Phase 1-Articulate benefits
whereby the key benefit areas, Key Performance Indicators (KPI) and goals are
identified and articulated amongst all stakeholders. Potential benefit areas for new
services in a Smart City were also explored. Based on the THMT and studies, as many
stakeholders from the roles and types should be considered and should collaborate on
services in a Smart City. The second phase is Phase 2-Plan benefits realisation where
the registrar (i.e. Smart City project manager) assists the service owners (i.e. stake-
holders) in elaborating their ideas into a detailed benefits plan with action steps to
ensure that the benefits will be realised. In Phase 3-Implement plan, the service
stakeholder has to implement the plan according to the benefit plan from Phase 2. In
Phase 4-Measure benefits realised, the service stakeholder has to measure the benefits
according to the measurements from the benefit plan in Phase 2 and report these to the
registrar. Lastly, Phase 5-Evaluate benefits gaps and needs is where the registrar
evaluates all the reports from all service stakeholders and decides on corrective mea-
sures to be taken where delays in services are evident.
5 Discussion and Proposed Model
The proposed VASC model is shown in Fig. 1 and represents the important compo-
nents of a Smart City to achieve the success of a Smart City project or initiatives. The
model was designed based on the SLR findings and the six theories, relating to the
domains of Smart Cities, value, and alignment. The first component is the nine
dimensions of a Smart City (see Fig. 1). Each dimension has several factors for
determining the success of the dimension (available on request). The second compo-
nent is the four stakeholder roles, which is a key component, since if the stakeholders
are not considered no Smart City initiative will be successful. In order to ensure the
value or benefits derived from such initiatives, five phases should be followed and are
included as the third component of the model.
Fig. 1. VASC model

Finally, any Smart City initiative is dependent on the information flow that supports
it. Information flow is described as a “series of steps needed to generate value and
useful insights from data” [43]. To obtain value from a Smart City initiative, the data
value chain is therefore a crucial consideration and is the last component in the model.
The data value chain includes the entire data life-cycle and involves data acquisition,
analysis, curation, storage and usage so it can be used for decision making by relevant
stakeholders.
6 Conclusions
Smart City research has made strides to making it easier to identify smarter ways of
addressing real-world problems, especially with regards to the pressures of urbanisation
and resource depletion. However, consensus on the definition, required components
and value for Smart Cities has yet to be reached. The theoretical perspectives explored
in this study can assist researchers to move closer to such consensus. The SLR con-
ducted focused on seeking empirical studies of Smart City projects and reviewed
theories that can help to address the gaps in knowledge relating to value in Smart
Cities.
The study contributes to showing real-world examples in Smart Cities, and pro-
vides a comprehensive lists of factors that can be classified for each dimension. A gap
in previous research was evident relating to value alignment for Smart Cities, and this
study fills this gap. The contribution is the proposed VASC model, which can be used
to address how value can be aligned within a Smart City for all stakeholders and
dimensions. The study was limited to secondary data and future research should
therefore investigate the adoption of the model in Smart City initiatives.
Acknowledgement. “This work is based on the research supported wholly/in part by the
National Research Foundation of South Africa (Grant Numbers: 116779)”.
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Complementary Partnerships for SMEs:
A Relational Capability Maturity Model
from an Ecosystem Perspective
Caro Els1, Sara Grobbelaar1,2(&) , and Denzil Kennon1

1
Department of Industrial Engineering, Stellenbosch University,
Stellenbosch, South Africa
sssgrobbelaar@sun.ac.za
2
DST-NRF Centre of Excellence in Scientometrics and Science,
Technology and Innovation Policy (SciSTIP), Stellenbosch University,
Stellenbosch, South Africa
Abstract. Inter-organisational relationships have been receiving increased

attention in the context of the fourth industrial revolution. Technological
advances in connectivity and digitisation are enabling vertically and horizontally
integrated networks. The highly technical and dynamic environment in which
various types of relationships exist requires a high level of cooperation and
transparency between partners. The importance for Small and Medium Sized
Organisations (SMEs) to develop and improve their relational capabilities is
widely acknowledged. This research paper thus presents a tool and methodology
that will enable SMEs to assess and improve these capabilities within the
organisation. This paper aims to identify those requirements and practices
described in the literature as conducive to sustainable relationship formation and
development. A Relational Capability Maturity Model (RCMM) is proposed as
a tool that will be able to address the requirements across the various functions
of the organisation.
Keywords: Inter-organisational relationships SMEs Relational Capability

Maturity Model Relational capabilities
1 Introduction
Strong technological advances in connectivity and digitisation, are enabling integrated

networks of firms, objects and systems. Transparent and flexible ecosystems are
forming, cultivating dynamic, collaborative and symbiotic relationships between firms.
These ecosystems are shaping new manners to create value. Increasingly, value is being
created not only within firms, but rather within the rich interactions between them
[1, 2]. The ecosystem perspective provides a powerful lens through which the trans-
formation in the business landscape can be viewed, by emphasising the growing
importance of relationships, partnerships, networks, alliances and collaboration [2].
‘Ecosystems in a business context’ is a concept derived from the biological sci-
ences. Just as biological ecosystems consist of various interdependent species, business

https://doi.org/10.1007/978-3-030-44999-5_6
68 C. Els et al.
ecosystems similarly consist of a variety of interdependent organisations. These

dynamic and co-evolving communities create and capture new value through sophis-
ticated models of collaboration and competition [2, 3]. Multiple players of different
types and sizes are brought together to serve markets in ways that are beyond the
capacity of any single organisation or any traditional industry.
The complementarity between partners have been identified as a core theme
towards ecosystems value creation [4]. Shared value creation provides complementary
benefits to the partners and complementary benefits are what is at the core of a sus-
tainable partnership [5]. Small and large firms have complementary strengths and
weaknesses in terms of research and development (R&D). The flexible structures and
agile operations of SMEs are especially suitable for the early stages of the innovation
process where ideas are created and conceptualised [5, 6]. SMEs have a relative
advantage in learning and knowledge creation in emerging and risky areas [7]. Large
firms on the other hand, have existing structures that are suitable for testing, docu-
mentation and operation processes that are found at the later stages of innovation [5].
The deep specialisation of SMEs can complement the service offering of large firms
where they do not have the internal expertise. Large firms can in turn, expose SMEs to
the critical resources and capabilities required to realise innovating ideas [2, 7].
Complementary benefits can also be found in the product or service offering of the
individual firms. New and specialised capabilities are often considered a prerequisite to
enable growth to new areas. While large firms usually focus on the products and services
with major potential, they are able to access new capabilities from specialist firms, with
less capital investment required on their own part [2, 5]. For SMEs, this means that they
are able to move into the markets of the large firm without acquiring additional capa-
bilities [8]. The advantage of partnerships with firms who have chosen to specialise in
those activities, is that these firms are likely to perform the activities better. As a result,
every activity is being performed by a tightly focused firm [2]. Their first-mover
advantage will be enhanced, enabling them to increase their market share [8].
Another very important benefit from a partnership is in the form if organisational
support. SMEs often have growth constraints due to undeveloped organisational
structures and a lack of management skills [9]. Larger firms often offer their smaller
partners resources such as marketing, distribution, manufacturing or training, as well as
industry related know-how and expertise [10]. Large firms may even open up their
contact networks to smaller partners and reference customers in the emerging industry.
The reputation of the large firm usually has a positive impact on the credibility of their
smaller partners. Increased credibility means that the cost of acquiring new customers
or partners and sustaining existing ones will reduce [11].
Large firms often pressure smaller partners to increase its competitiveness contin-
uously to produce high quality services or products. SMEs would often receive
customer-triggered relationship requirements, resulting in the need to customise tech-
nologies and systems specifically to suit their partners [5, 12]. While these adaptations
imply considerable, often non-transferable, investments by one or both parties, it
simultaneously provides learning opportunities. The knowledge that SMEs acquire
throughout the unique projects can be transferred to other partnerships or developed to
products. In this regard, partnerships are seen as a key resource access to valuable
organisational, technical and market knowledge held by key customers. This knowledge
Complementary Partnerships for SMEs: A Relational Capability Maturity Model 69
can then be used to improve and upgrade products and services, production facilities and
organisational units and mechanisms [11].
For SMEs to be able to exploit the opportunities from ecosystems, the nature of the
support available to SMEs require a shift in focus. The highly technical and dynamic
ecosystem environment require a high level of cooperation and transparency between
partners [13]. As a result, the establishment of partnerships and the development of
trust simultaneously becomes increasingly critical and complex. For SMEs, who are
traditionally known to suffer from severe resource constraints, creating partnerships
with larger firms are becoming even more challenging [14, 15]. Partnerships between
small and larger firms are often asymmetrical, and SMEs are mostly not equipped to
deal with power imbalances due to their lack of resources [5].
For SMEs to be able to establish more sustainable partnerships, they require
technical, organisational, and managerial capabilities that can address the challenges
presented by dynamic environments and changing relationship requirements [10].
These relational capabilities enable firms to relate to other firms more successfully,
contributing to both their own knowledge and to that of their relationships [16]. This
paper aims to identify those requirements and practices described in the literature as
conducive to sustainable relationship formation and development.
2 Methodology
The context of this research is centred predominately on SMEs, which can be con-
sidered to be a complex system of cultural, process, and technological components that
interact with each other [17]. The research in this paper therefore followed the con-
structivist philosophical perspective, and was conducted primarily through an
exploratory approach. Jabareen’s (2009) conceptual framework analysis (CFA) method
formed the foundation upon which the RCF was developed, with specific procedures
modified according to the nature and requirements for this study. The CFA method is
commonly used to build conceptual frameworks from multiple bodies of knowledge
that belong to different disciplines [18]. Due to the ability of the CFA method to clarify
conceptual linkages between different domains it was deemed an appropriated method
to guide the development of the RCF. The six phases of the CFA method is sum-
marised in Table 1.
Table 1. CFA methodology, adapted from Jabareen (2009)

Phase Description Section
Phase 1: Extensive Read and categorise data from the spectrum of Section 3
reading and categorisation multidisciplinary literature regarding the
of data phenomenon in question [18]
Phase 2: Identifying Read and reread the relevant data to discover Section 3
concepts concepts that are considered to be relevant to
partnerships in the context of this study in
some way
(continued)
70 C. Els et al.
Phase Description Section
Phase 3: Deconstructing Identify the main attributes, characteristics and Section 3
and categorising concepts assumptions of each concept, and categorise
the concepts accordingly
Phase 4: Integrating Integrate and group together similar concepts Section 4
concepts to reduce the number of concepts
Phase 5: Synthesis Synthesise the concepts into a theoretical Section 4
framework through a repetitive and iterative
process
Phase 6: Validate Validate whether the proposed framework and Not
framework its concepts make sense not only to the included in
researcher but also to other scholars and this paper
practitioners
Phase 1 was completed through a systematised literature review to provide an

exhaustive review of the literature that is currently available [19]. The advantages of
this method are mainly seen in its rigour and transparent process [20]. Data was
collected from Scopus. The search was completed by using a combination of the
keywords “business ecosystem” and “SME”. The search delivered a total of 38 doc-
uments, which was then filtered through a series of criteria. After the initial screening
process the final 22 documents were critically analysed (See Table 2).
Table 2. Systematized review criteria

Criteria Description
Search engine Scopus
Latest search date 31 May 2017
Search terms “SME” + “business ecosystem”; “Small business” + “business
ecosystem”; and “Small firm” + “business ecosystem”
Publication types Academic journals and conference papers
included
Publication types Magazines and news articles
excluded
Other excluding Foreign language papers; inaccessible papers; papers not relevant to
criteria topic; and repetitive papers
After the initial screening process the final 22 documents were critically analysed.
The data analysis criteria were broken up into two sections namely (1) descriptive
statistics, and (2) qualitative criteria.
Through Phase 2, an in-depth review of the research domain has resulted in a
comprehensive theory base which contains a large amount of implicit knowledge that
needs to be made explicit. Through this review, 114 concepts have been identified that
are deemed relevant to the main research objective of this study. Following Jabareen’s
(2009) CFA method as described in Table 1, each of these concepts was deconstructed
into its main attributes and characteristics. This was done by labelling each of the
concepts with a relevant theme that describes the attributes, characteristics of and
assumptions around each. After each of the concepts has been deconstructed, Jabareen
(2009) explains that the concepts should be categorised accordingly. Following the
theme allocation of each concept, the concepts that share similar themes were grouped
together (Phase 3).
Phase 4 of the CFA method requires the concepts that have similarities to be
integrated and grouped together. The concepts were integrated by grouping together the
themes that had the strongest interrelations. This phase resulted in five main themes,
each addressing a critical relational issue related to SMEs in dynamic business
ecosystem environments. These themes include (1) goal congruency, (2) trust,
(3) collaboration, (4) flexibility, and (5) learning.
Phase 5 of Jabareen’s (2009) CFA method requires the concepts to be synthesized
into a conceptual framework. This means that the 37 relational capabilities were
consolidated into a conceptualization that will enable firms to identify and improve
these capabilities. The framework development therefore constitutes two parts. The first
which concerns the appropriate structuring into a conceptual framework, and the
second which concerns an appropriate methodology needed to use the framework.
3 Themes and Related Relational Capabilities
While the themes identified represent the requirements that SMEs must be able to meet
in their B2B relationships if they operate in business ecosystems, it is necessary to
convert each theme into the organisational means through which these relationship
requirements can be addressed. The organisational means, referred to as relational
capabilities, thus identify certain internal capabilities that SMEs would require to
satisfy the relationship requirements. In total, 37 relational capabilities were identified,
these are also included in Table 3.
Table 3. Summary of main themes and related relational capabilities

Theme Description Relational capabilities
Goal In B2B relationships, partners work together towards reaching a (a) Establish shared relationship
congruency common goal [21–24]. The level of goal congruency refers to the vision and goals;
possibility for both firms to achieve their goals simultaneously [25]. (b) Establish organisational vision
According to Cuevas, Julkunen and Gabrielsson (2015), goal and goals;
congruency can be viewed as a prerequisite for developing (c) Developing partnering strategy;
relationships of trust. If partnerships are goal congruent, the firms will (d) Identify potential partners;
view joint action as mutually beneficial [26] (e) Uphold external reputation;
(f) Attract complementary
partners; and
(g) Obtain market knowledge
(continued)
72 C. Els et al.
Theme Description Relational capabilities
Trust Trust is widely associated with successful B2B relationships. (a) Establish trustworthiness
Cooperation between partners, as well as the willingness for future through behaviour;
collaboration, can arise directly from a strong relationship of trust. (b) Assign boundary spanner;
Conversely, conflict and uncertainty can be seen as a direct (c) Measure relationship
consequence of lack of trust [27, 28] performance;
(d) Create and sustain unique
value offering;
(e) Balance investment in
relationships;
(f) Asses relationship risk; and
(g) Manage intellectual property
Collaboration B2B relationships are increasingly involving the sharing of resources, (a) Interpret and contextualise
allowing firms to create and share mutual benefits [29]. Firms with partner diversity;
complementary capabilities and expertise are connected, providing (b) Understand partner
the opportunity for mutually complementary action in pursuit of a requirements;
common goal [30] (c) Identify mutual opportunities;
(d) Adapt to relationship;
(e) Create joint knowledge; and
(f) Leverage external resources
Flexibility B2B relationships are becoming increasingly agile and adaptive as (a) Maintain adaptable and
they have the need to support faster and more flexible responses to flexible organisational structure;
constantly changing customer needs. Due to the dynamic business (b) Enable product/process
environment, B2B relationships need to be resilient and anti-fragile in experimentation;
order to display self-organising, flexible qualities that are capable of (c) Encourage interdisciplinary
reconfiguring and overcoming shocks and disruptions [2] knowledge;
(d) Enable individual reflective
capacity;
(e) Allocate internal resources to
relationship;
(f) Balance relationship portfolios;
and
(g) Establish contracting policy
Learning Knowledge and data is created and exchanged between partners, (a) Manage internal tacit
offering various opportunities for firms to learn and increase their knowledge;
own internal knowledge. Firms must be able to integrate new data (b) Manage internal
and knowledge within their systems and incorporate it into their communication and information
internal processes [31] flow;
(c) Manage tacit knowledge
between partners;
(d) Define communication
channels between partners;
(e) Externalise data and
information;
(f) Capture, store and retrieve data;
(g) Analyse data;
(h) Establish data exploitation
strategy;
(i) Create data security
architectures; and
(j) Determine relationship
functional requirements
4 A Relational Capability Maturity Framework
While there are various ways to measure process capabilities, the topic of capability
improvement often refocuses on the content and guidelines of maturity modelling.
Maturity models are well-known and widely used tools that enable users to assess the
current state of maturity of capabilities in a certain domain. Maturity models further
enables users to identify the strengths and weaknesses of those capabilities, and sug-
gests an improvement plan to increase overall performance.
The concept of maturity can be traced back to quality management when Crosby
(1979) introduced the idea of maturity stages building on each other [32]. One of the
most recognised and most widely used maturity models today is the Capability
Maturity Model Integration (CMMI®). The CMMI has its roots in the original
Capability Maturity Model® for software (SW-CMM®), which was developed in 1986
in response to a request from the federal government for a method to assess the
capability of their software contractors. The Software Engineering Institute (SEI) de-
veloped a process maturity framework that would help organisations improve their
software processes [33, 34]. The SEI defined the CMMI as “a reference or process
model of mature practices in a specified discipline, used to improve and appraise a
group’s capability to perform that discipline” [35].
The structure of the framework developed in this article needs to address multiple
dimensions of relational capability throughout various parts of an organisation. Fur-
thermore, complex interrelations exist between the relational capabilities. For this
reason, it was decided to construct the framework along two dimensions, the organi-
sational construct and the relational construct. The structure is largely based on the
structure of the Innovation Capability Maturity Model (ICMM) as developed by [36].
The ICMM guides its users to address the maturity of innovation capability, while
considering the multiple dimensions of innovation, and the different parts of the
organisation that is affected. The model is also designed with the applicability and
practicality factor in mind. Relational capabilities share various fundamental aspects
with innovation capabilities in the sense that it is multi-dimensional, dynamic and
complex. The ICMM is consequently considered to be a suitable reference to structure
relational capabilities. The structure that forms the Relational Capability Framework
(RCF) is displayed in Fig. 1.
4.1 Structure Outline

The framework is structured along three dimensions. The dimensions include
(1) Relational Capability construct, (2) Organisational Construct and (3) Relational
Capability Maturity. The three dimensions are summarised in Table 4.
74 C. Els et al.
Organisational Construct
en &
n
em tio
se s &
t
tiv &
ag isa
es on
ec gy
es
s
an n
oc cti
bj e
M rga
O ra t
n
Fu
O
St
Pr
Relationship Opportunities
Relational Capability Construct
Relationship Learning
Relationship
Lifecycle Relationship Development
Relationship Environment
Interaction Process
Organisational learning
Learning
Data
Strategic Intent
Organisational
Processes and value offering
Structure
Resources
Fig. 1. RCF structure, adapted from [36]
Table 4. Three dimensions of the RCF

Relational capability construct
Relationship lifecycle Relationships are not static, it rather evolves through a series of stages. This
capability area refers to the practices, procedures and activities that are executed at
the initiation of the relationship, through the growth phases of the relationship and
the continuous interaction in the relationship
Knowledge and The transfer of knowledge between partners and the subsequent learning within the
information organisation is a fundamental part of B2B relationships. This process area
addresses the capabilities to identify, acquire and manage knowledge. Also
included is the organisations ability to capture, manage and utilise valuable data
that is accumulated in the relationship
Organisational The infrastructure, resources, strategy, policies and management necessary to
structure support the relationships, and knowledge and information requirements
Organisational construct
Strategy & objectives The management response to uncertain environments, it includes the mission,
vision and objectives. It provides targets and goals for the processes to steer the
organisation in a particular direction
Organisation & The formal structure and governance of the organisation that is defined with the
management purpose of fulfilling the strategy and objectives
Function & processes The activities that are performed within the organisation that drives the
organisation closer to fulfilling its objectives
Relational Capability Maturity [37]
Level 1: Initial Processes are mostly ad hoc and chaotic. A stable environment to support
processes are not provided
(continued)
Level 2: Managed The need for relational capabilities have been identified and defined. Foundation to
implement processes have been created. Process adherence is periodically
evaluated
Level 3: Defined Practices, procedures and tools have been defined and implemented. Outputs are
consistent
Level 4: Measured Focus is managing and improving process performance. Activities and resources
are integrated and aligned within organisation. Processes are continuously
monitored and evaluated
Level 5: Optimised Synchronisation and institutionalisation of activities and processes. Organisation
continually improves its processes based on a quantitative understanding of its
business objectives and performance needs
4.2 Relational Capabilities

The relational capabilities are at the core of the RCF. These capabilities were therefore
categorised into the structure as it has been described in the previous section. The
resulting two-dimensional face of the framework is displayed in Error! Reference
source not found. Each of the capabilities was assigned an Organisational construct
area and a Relational construct item which best defines the capability. For example,
based on its representative code (RL/SO1), capability ‘Establish shared relationship
vision and goals’ is assigned to the Strategy and objectives area as it addresses the
direction in which the relationships are steered. At the same time, it is assigned to the
Relationship opportunities item, as it involves searching and identifying new oppor-
tunities, as well as determining the possible implications of these opportunities. The
remainder of the capabilities are distributed in a similar manner. Each of the remaining
relational capabilities were similarly categorised into the structure of the framework
(Table 5).
Table 5. Relational capability requirements categorised into construct

Organisational construct Strategy & objectives Organisation & Function & process
management
Relational construct
Relationship Relationship RL/SO1 – Establish shared RL/OM1 – Interpret and RL/FP1 – Identify mutual
lifecycle opportunities relationship vision and goals contextualise partner opportunities
diversity
Relationship RL/SO2 – Create and RL/OM2 – Allocate RL/FP2 – Adapt to
development sustain unique value offering internal resources to relationship
RL/SO3 – Leverage external relationship
resources
Relationship RL/SO4 – Develop RL/OM3 – Obtain RL/FP3 – Identify
environment partnering strategy market knowledge complementary partners
RL/OM4 – Uphold RL/FP4 – Attract
external reputation complementary partners
Interaction RL/SO5 – Establish RL/OM5 – Assign RL/FP5 – Define
process contracting policy boundary spanner communication channels
between partners
(continued)
76 C. Els et al.
Organisational construct Strategy & objectives Organisation & Function & process
management
Relational construct
Knowledge & Relationship KI/SO1 – Understand KI/OM1 – Manage KI/FP1 – Create joint
information learning partner requirements intellectual property knowledge
KI/OM2 – Manage tacit
knowledge between
partners
Organisational KI/SO2 – Manage internal KI/OM3 – Determine KI/FP2 – Manage internal
learning tacit knowledge relationship functional communication &
requirements information flow
Data KI/SO3 – Establish data KI/OM4 – Externalise KI/FP3 – Create data
exploitation strategy data & information security architectures
KI/FP4 – Capture, store &
retrieve data
KI/FP5 – Analyse data
Organisational Strategic intent OS/SO1 – Establish OS/OM1 – Establish OS/FP1 – Enable
structure organisational vision and trustworthiness through individual reflective
goals behaviour capacity
OS/OM2 – Balance
relationship portfolios
Processes and OS/SO2 – Maintain OS/OM3 – Encourage OS/FP2 – Enable product
value offering adaptable and flexible interdisciplinary process experimentation
organisational structures knowledge
Resources OS/SO3 – Balance OS/OM4 – Assess OS/FP3 – Measure
investment in relationships relationship risk relationship performance
5 Conclusion
This paper presents a model that describes the relational capabilities of small firms at
three levels of detail. The 36 identified relational capabilities relates to the various
aspects of the organisation through the organisational construct, providing a holistic
view of the challenges associated with B2B relationships. At the same time, the
granularity of the model allows that capability issues to be addressed incrementally and
in part. The nature of the model is thus suitable for SMEs, for whom large, expensive
and time-consuming projects are often not a feasible option. Future research to evaluate
the maturity of the capability requirements in a wide range of firms is proposed. This
would highlight the capability requirements as a firm develops. The aim is to enable
owner-managers to improve their relational capability requirements proactively, and
ultimately improve their ability to establish and sustain beneficial partnerships.
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The Role of Digital Connectivity in Supply
Chain and Logistics Systems:
A Proposed SIMPLE Framework
Maciel M. Queiroz1(&) and Samuel Fosso Wamba2(&)

1
Universidade Paulista (UNIP), São Paulo 04026002, Brazil
maciel.queiroz@docente.unip.br
2
Toulouse Business School (TBS), Toulouse 31068, France
s.fosso-wamba@tbs-education.fr
Abstract. Industry 4.0 and its related-cutting edge technologies are generating
unprecedented changes and bringing complex challenges in practically all types
of business. In this context, new concepts such as digital connectivity, inter-
connection, and interoperability emerged as highly disruptive approaches for
logistics systems and supply chain management (SCM). To shed more light on
these complexities and see how companies organized in a SCM model can
adopt, implement and operate in a digital connectivity model, this study pro-
poses a framework, namely SIMPLE. To develop the framework, we employed
a literature review approach, focusing on recent studies published in journals.
After the literature analysis, six dimensions related to digital connectivity in
supply chains and logistics emerged, namely Smart, Innovative, Measurable,
Profitable, Lean, and Excellence (SIMPLE). This framework brings opportu-
nities for future studies, while providing important insights into the dynamics of
digital connectivity in logistics and supply chains. Therefore, these SIMPLE
framework dimensions should enable the actors involved in organizations’
operations to interact adequately and harmoniously so as to maximize the value
generated in the network.
Keywords: Digital connectivity Hyperconnected Interoperability

Interconnection
1 Introduction
The digital age has imposed several challenges to the organization’s logistics systems
and their supply chain management (SCM) [1, 2]. In this new context, digital supply
chains [1] are fundamental to organizations that seek to achieve efficient processes,
create business value, and gain a competitive advantage in a sustainable approach. This
environment has given rise to new methods such as digital connectivity, intercon-
nection, and interoperability [3], which have emerged as paradigms to be fully grasped
by SCM stakeholders, which have to develop new strategies to implement critical
technologies and integrate them with the SCM field [4]. The concepts of intercon-
nection and interoperability clearly define the level of digital connectivity [3] of an

https://doi.org/10.1007/978-3-030-44999-5_7
80 M. M. Queiroz and S. Fosso Wamba
organization, and consequently, of the way it manages its supply chains. Intercon-
nection in SCM refers to the connection enabled by different technologies in which
supply chain partners can obtain information (mainly in real-time) from customers and
SCM members and share such data while maximizing value by taking into account the
personalization requirements [5].
In this study, we consider the logistics systems as a subset of SCM, according to
Council of Supply Chain Management Professionals (CSCMP) “Supply chain man-
agement encompasses the planning and management of all activities involved in
sourcing and procurement, conversion, and all logistics management activities.
Importantly, it also includes coordination and collaboration with channel partners,
which can be suppliers, intermediaries, third party service providers, and customers.
In essence, supply chain management integrates supply and demand management
within and across companies” [6]. Thus, in logistics, interoperability refers to the
interaction between SCM members that is rendered possible by the use of several
technologies and that fosters information sharing and the utilization of exchanged
information in a set of processes [3].
However, the existing literature on digital connectivity [1, 3, 7–9] is scarce,
especially in developing frameworks applicable in the logistics and SCM contexts [1].
That is, the unprecedented move in digital connectivity in the fields of logistics and
SCM is yet to lure the interest of a significant number of scholars, as the related
literature is still at its infancy stage, coupled with the inexistence of a framework that
could help to better understand this technology, especially in the aforementioned
specialized areas. This study is an attempt to enable an understanding of the various
aspects of the digital connectivity at different levels (e.g., operational, tactical and
strategic), and to attain this goal, it proposes a framework, namely SIMPLE.
2 Background
2.1 Industry 4.0 and Cutting-Edge Technologies that Leverage

Connectivity
Industry 4.0, also known as the 4th Industrial Revolution or Advanced Manufacturing
[10], and its leading technologies are provoking significant disruptions on the firm’s
business model. This term (Industry 4.0) was coined at the 2011 Hannover Fair, from a
German Government project aimed to revitalize the country’s industry [11]. With
almost ten years of age, Industry 4.0 has not yet gained consensus among scholars and
practitioners when it comes to a unified and acceptable definition of the concept [12]. In
this study, Industry 4.0 refers to a set of cutting-edge technologies that provide con-
nectivity, interconnection, and interoperability of humans, machines, devices, and
organizations.
To support the development of the SIMPLE framework, this study highlights the
following Industry 4.0 technologies (Table 1):
The Role of Digital Connectivity in Supply Chain and Logistics Systems 81
Table 1. Example of Industry 4.0 related technologies.

Industry 4.0 Example of application Adapted
technology from
Blockchain Traceability of products in SCM [13]
Artificial Fraud detection in payment card [14]
intelligence
Big data Firm performance improvement [15]
analytics
Physical The interplay of physical, operational, and digital [9]
Internet (PI) interconnectivity of logistics systems
Internet of A framework for the analysis of the industrial internet of [16]
Things (IoT) things
Cyber-physical Production systems design based on cyber-physical systems [17]
systems knowledge tool
Digital platform Platform openness in the SCM [18]
Digital twin Application for additive manufacturing in the aircraft context [19]
Sensors Application supported by big data and IoT to sustainable [20]
smart cities
Virtual reality Virtual reality diffusion [21]
Augmented Adoption of smart glasses [22]
reality
Cloud chain Connection of supply chain members to monitoring product [23]
lifecycle
Autonomous Application in manufacturing processes [24]
robots
RFID To support digital supply chains [1]
M2M Applied to support smart transactions in the electricity [25]
market
3 Proposing the SIMPLE Framework
To develop and propose the SIMPLE framework, this study employed a literature
review approach, focusing on recent studies published in journals. We applied an
unstructured searching approach [26] using different sources, such as ScienceDirect,
Emerald Insight and Taylor & Francis database, as also the reference list of the papers
selected. Firstly, we used as keywords the variations of “digital Connectivity,” “hy-
perconnected,” “Interoperability,” “Interconnection,” and “digital supply chain.” After,
we used the reference list of the articles to identify other papers. After the literature
analysis, six dimensions related to digital connectivity in supply chains and logistics
emerged, namely Smart, Innovative, Measurable, Profitable, Lean, and Excellence
(SIMPLE).
3.1 Smart
This dimension refers to smart applications that are used not only in internal logistics
systems but also in supply chains. An example of smart applications could be explained
by the use of blockchain technologies [27] to support the organization’s transactions
efficiently, which in turn improves the collaboration and cooperation between the
members of the SCM by a tamper-proof system [28]. The “Smart” dimension has the
following main sub-dimensions:
• Develop smart logistics/SCM capabilities by using cutting-edge technologies in the
operations: it means that organizations need to develop and integrate cutting-edge
technologies into their operational processes. This involves internal and external
digital supply chain efforts [1].
• Provide integration and real-time interaction with key SCM members: for an
organization to achieve effective connectivity integration through its SCM opera-
tions, it should resort to cutting-edge technologies like blockchain to enhance real-
time interaction and visibility [29, 30].
• Create integration and leverage interplay between robots and humans: smart
concepts are built on SCM activities only when robots and humans work in sym-
biosis [31]. To this effect, humans should develop their own education and skills to
maximize operations with robots [32].
3.2 Innovative
Innovation should be a mandatory competency for any organization. In the context of
digital connection and interoperability, innovative solutions represent a significant
opportunity for making several improvements [3]. For instance, innovation in the
digital age has been supported by several ICT approaches, as smart cities [33] appli-
cations (e.g., the possibility of a transportation system more connected [33]). Also, with
physical internet concepts, the interconnection and interconnectivity of the organiza-
tion’s logistics systems and their supply chain will be more innovative [34]. This
dimension has the following elements:
• Implementation of cutting-edge technologies in logistics and supply chain activities:
The innovation processes required for implementing a particular cutting-edge
technology is not trivial [4]. That is, different efforts and several partners, as also
human skills are necessary [4] to achieve success or minimize the failures.
• Improve the logistics and SCM processes by key technologies and spread in the
network: critical technologies need to support improvements not only in internal
processes [35], but also throughout the whole SCM channels [36].
• Create new products/services as a result of the connectivity’s interaction in the
SCM: the interaction that is brought about by connectivity should contribute to
creating innovative products and services by means of SCM. For instance, the
interplay between IoT-wearable operations, an example of connectivity, is crucial to
provide smarter worker care services [37].
3.3 Measurable
The level of interoperability [3] is an essential aspect of the digital supply chain efforts
and results. It indicates the efficiency generated by cutting-edge technologies in a smart
approach, as well as the results achieved in the SCM. For instance, big data applica-
tions can enable measurable information to support transportation operations [38]. The
following aspects are required:
• Design indicators for intra-organizational and operational performance in logistics
by means of digital connectivity strategies: considering the challenging landscape
imposed by the digital connectivity, organizations need to develop reliable key
performance indicators [39] in all business perspectives, especially within the SCM.
• Apply indicators to measure SCM operational performance using digital connec-
tivity strategies: after the design of key indicators, the next challenge is to imple-
ment them [40]. This implies that traditional measures are not sufficient [41] to face
the digital connection age.
• Manage a set of key indicators about the improved processes across the supply
chain networks: to follow the digital connectivity results and improve the decision-
making process, a performance measurement system (PMS) [40] is fundamental.
3.4 Profitable
The connectivity in the SCM context can have a substantial impact on the organiza-
tion’s [42], and consequently, affecting their profitability performance. Recent literature
had highlights that connectivity supports the creation of internet services [43] and,
consequently, could impact an organization’s profitability [44]. To understand and
manage these effects, the SCM members need to develop the following activities:
• Minimize logistics costs supported by interconnection and interoperability across
the SCM: Interconnection and interoperability can minimize the costs through the
entire SCM, and this may involve, for instance, PI to deliver solutions [9].
• Leverage the operational performance gains enabled by relationships in supply
chain networks and generated by interconnection and interoperability: Intercon-
nection and interoperability are fundamental for creating value in the SCM. For
instance, cooperation between SCM members can rely on interoperability to
achieve business success [45].
• Increase profit performance with interconnection and interoperability within the
supply chain networks: Interconnection and interoperability can impact positively
on the organization’s profitability. In other words, the more interactions between
supply chain members are performed, the more profit performance could be
achieved [46].
3.5 Lean
Lean initiatives in the logistics and supply chain connectivity should be achieved by the
implementation of a vast of cutting-edge technologies to support sustainability
achievement [35]. Hence, the “lean” dimension has the following elements:
• Promote connectivity and develop a lean relationship with cleaner stakeholders:

the lean relationship in this study refers to the collaboration between SCM members
that is rendered possible by cutting-edge technologies, with a high level of
responsiveness to support strategic partnerships. For instance, with IoT, lean pro-
cesses in the SCM could be facilitated [46].
• Implement different types of technologies that will be used to support lean opera-
tions: lean technologies in the SCM can minimize waste of resources and inven-
tories through the network while improving efficiency through the reuse of
resources [47]. It is therefore clear that different types of technologies could have a
good effect on production systems sustainability, and they include IoT and plat-
forms to resource management, AI, and M2M, among others [35].
• Implement sustainable connectivity strategies that improve the society’s well-being:
sustainable connectivity strategies are related to the technologies implementation
that leverage connectivity without bringing (or at least minimizing) the side effects
to organizations and society. That is, the implementation of cutting-edge tech-
nologies could bring some negative impacts to society [48]. A case in point has to
do with the risks of cyber-attacks associated with any technology and their side
effects for the society.
3.6 Excellence
There is not a proper definition of connectivity excellence in the literature. In our
context, connectivity excellence refers to the best practices associated with technology
adoption and implementation that support real-time interactions and enable hyper-
connected members in different layers of the SCM to maximize multiple values
simultaneously. The connectivity excellence was considered in the framework due to
its influence on the other dimensions as also be simultaneously influenced by these
dimensions.
• Leverage efficient and effective processes through the SCM: with innovative tech-
nologies, the traditional SCM is shifting to digital supply chains [1], thereby
transforming and remodeling practically all processes to gain efficiency in the
network. For instance, the connectivity can lead to improved flexibility, optimized
interactions with suppliers around the globe, and real-time inventories, among
others [1].
• Optimize the level of services, interconnection and interoperability in the SCM
using suitable technologies: cutting-edge connectivity is expected to significantly
improve the level of services. For example, product embedding sensors would
enable real-time analysis of operations and thus help optimize transaction efficiency
and speed in process delivery, among others [1].
• Improve/generate competitive advantage supported by interconnection and inter-
operability: if all the dimensions of the SIMPLE framework interact harmoniously,
the organization will be able to improve or generate competitive advantage.
Otherwise, digital connectivity will not be operating in an optimized way. For
example, by using interoperability approaches, organizations could operate effi-
ciently in collaborative networks, reflecting on capturing value and business
opportunities [3]. Figure 1 highlights the SIMPLE framework.
Fig. 1. SIMPLE framework.
Regarding the aforementioned characteristics of the SIMPLE framework, the fol-

lowing propositions emerge:
P1. The SIMPLE framework or part of its elements is positively associated with the
organization’s logistics and supply chain connectivity performance.
P2. The interconnection and interoperability maturity level of an SCM member is
positively associated with the SIMPLE framework implementation quality or part of its
elements.
P3. The adoption and diffusion of the SIMPLE framework or part of its elements
are positively related to the competitive advantage of an SCM member.
Thus, taking account of the elements as mentioned earlier of the SIMPLE frame-
work, it can be seen that it could help in information sharing and cost reduction. That
is, with leveraging the information sharing [3] by the digital connectivity, the logistics
systems and SCM should be more responsiveness, by operating with members in a
more collaborative way [1]. The SIMPLE framework offers elements in terms of
operational, tactical, and strategic levels to provide insights to organizations capture
value considering the digital connectivity age.
4 Concluding Remarks, Implications, Limitations and Future

Research
In this work, the SIMPLE framework was introduced in order to understand more
profoundly the digital disruptions in logistics and SCM business models, in the digital
connectivity era. The main contribution of this study resides in that it proposes an
original framework to support and provide organizations with key insights into digital
connectivity in the logistics and supply chain domain. The SIMPLE framework
highlights that thanks to its six dimensions (smart, innovative, measurable, profitable,
lean, and excellence), organizations can maximize their value in the network, provided
that they manage such elements carefully while considering their internal and external
capabilities. Therefore, these SIMPLE framework dimensions should enable the actors
involved in organizations’ operations to interact adequately and harmoniously to
maximize the value generated in the network.
Furthermore, this work has implications from both the practitioners and theoretical
perspectives. From a managerial perspective, the SIMPLE framework could be a
starting point to managers and decision-makers who want to better understand the
importance of an integrative tool for improved awareness and enhanced digital con-
nectivity strategies. In terms of theory, the SIMPLE framework brings opportunities to
scholars as they may want to develop empirical studies about this framework’s
adoption, implementation, and generalization across supply chains. Also, the three
propositions that are being suggested herein could be used to develop a conceptual
model to empirically test the framework. Due to the nascent status of the SIMPLE
framework, the main limitation is concerned with its effectiveness in broader supply
chain contexts. Therefore, opportunities for future studies may include analyzing the
same framework in other industries, countries and social contexts worldwide.
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A Strategic Organisational Perspective
of Industry 4.0: A Conceptual Model
Stefan Smuts(&) , Alta van der Merwe , and Hanlie Smuts
Department of Informatics, University of Pretoria, Pretoria, South Africa

sbsmuts@gmail.com, {alta,hanlie.smuts}@up.ac.za
Abstract. The so-called fourth industrial revolution or Industry 4.0 (I4.0), with
its potentially disruptive technologies, is changing the way we socialise, live
and work and provides opportunities for organisations to innovate and disrupt.
Although organisations are acknowledging the emergence of I4.0 and realise the
importance of being ready for its impact, better understanding is required of the
potential of I4.0 and its holistic impact on organisations. In this paper, we
conducted a systematic literature review to identify all I4.0-related organisa-
tional aspects, such as an I4.0-relevant strategy, digital business model inno-
vation, technology investment optimisation, workforce management
complexity, digital eco-systems, technology-centric convergence, virtual model
and physical environment linkage, value chain digitalisation and product port-
folio innovation. Furthermore, we presented these I4.0 organisational aspects
identified in a conceptual model based on the components of organisational
strategic alignment. By using such a conceptual model, organisations can ensure
that both optimisation and new opportunities enabled by I4.0 are leveraged and
that a relevant, strategically aligned approach to I4.0 may be considered.
Keywords: Industry 4.0 Fourth industrial revolution Strategic alignment

Organisational context Conceptual model
1 Introduction
The term Industry 4.0 was formalised in 2011 in Germany at the Hannover Messe [1–
3]. Industry 4.0 or the fourth industrial revolution is marked by a fast change in
technologies that are changing the way we socialise, live and work [4]. Disruptive
technologies emerging from I4.0, such as the internet of things (IoT), internet of
services and cyber-physical systems (CPS), present new ways in which organisations
can conduct business [5]. Organisations require a detailed strategic and technological
plan to optimise the benefits of I4.0 and to become digital organisations [6, 7].
Although the term I4.0 is used in an organisational context, there is no accepted
definition for I4.0 [4, 7–10]. Bär et al. [4] classified I4.0 as a rapid change in tech-
nology, whereas Geißler et al. [11] associated I4.0 with certain technological
advancements such as IoT and CPS. Badri et al. [1] and Lezzi et al. [12] take a different
view and propose that I4.0 refers to the unity of the manufacturing industry with so-
called smart technologies such as IoT and CPS. Further definitions of I4.0 include
“cutting-edge and disruptive technologies” [13], “end-to-end digitisation of all physical

https://doi.org/10.1007/978-3-030-44999-5_8
90 S. Smuts et al.
assets and processes” [14] and “sum of all disruptive innovations derived and imple-
mented in a value chain to address the trends of digitalization” [8]. We need to
understand what the unique I4.0 organisational aspects are and consider how these
unique aspects affect strategic alignment in organisations. Therefore, the focus of this
paper is on contributing to the discourse on what I4.0 is from an organisational per-
spective, by considering the following research question: “What are the unique I4.0
organisational aspects and how do these unique aspects affect strategic alignment in
an organisation?” We reflect on this research question by considering an overview of
I4.0, by understanding the nature of I4.0 in an organisational context and by consid-
ering the impact of strategic alignment.
In this paper we firstly provide an overview of literature in Sect. 2, followed by the
research approach in Sect. 3. In Sect. 4 we present a discussion on the data analysis
and findings, while Sect. 5 details the contribution of the study. Section 6 concludes
the paper.
2 Background
Scholars report on four major industrial revolutions. As early as the 18th century, the
first industrial revolution occurred [5]. With the introduction of steam-powered
machines, production was decoupled from the physical limitations of humans. In the
19th century, the introduction of electricity created faster and more compact machines,
leading to the second industrial revolution. The third industrial revolution was marked
by the development of electronic circuits leading to assembly lines becoming more and
more automated. Automation presented opportunities for optimisation of machines and
processes [5]. The I4.0 is a relatively new concept first mentioned in Germany in 2011
and contrary to the other three industrial revolutions, its impact is not yet fully known
[2, 7, 9]. The focus on connectivity and communication makes I4.0 intrinsically dif-
ferent from the other three industrial revolutions [15]. In Sect. 2.1 we give a short
introduction on what I4.0 is, followed by Sect. 2.2, where we consider the organisa-
tional context of I4.0, and Sect. 2.3, in which we discuss strategic alignment.
2.1 Overview of I4.0

The world is experiencing revolutionary advances in science and technology [16]. In a
progressively digital world, organisations have invested significantly in technologies to
keep ahead of competitors and potential disruptors [17]. First-order disruption includes
localised change within a market, where a particular technology is disruptive. Second-
order disruption influences many industries and substantially changes societal norms
and institutions, where technologies disrupt social interactions and relationships,
organisational structures, institutions and public policies [18]. The aim of I4.0 is to
realise improved operational efficiency and productivity [19]. This could be achieved
through features such as digitisation, optimisation, production customisation,
automation and adaptation [19, 20]. Furthermore, human-machine interaction enables
enhanced value-added services, automatic data exchange and communication [20].
These features are also strongly associated with industrial value-adding processes,
A Strategic Organisational Perspective of Industry 4.0: A Conceptual Model 91
knowledge management, internet technologies and advanced algorithms [20] and

applied across three areas of impact, namely integration of value chains (e.g. IoT, cloud
computing, etc.), digitisation of offerings (e.g. augmented reality, smart sensors, big
data analytics), and digital business models and customer access (e.g. authentication,
artificial intelligence, etc.) [21, 22].
2.2 Organisational Context of I4.0

In order to realise I4.0 alignment, organisations need to manage multiple internal and
external factors to enhance business value and create a sustainable competitive
advantage [23]. Specific factors include horizontal, vertical and digital integration and
areas of standardisation enabling organisations to connect to one another easily [24].
Organisations will have to manage multiple complexities, namely complex systems, as
it is required to develop and apply new models and methods [25]; comprehensive
infrastructure consisting of a high-quality information network and internet connec-
tivity; security and privacy, enforcing data protection [12]; work organisation and
design, as the roles of the employees change [26]; new and relevant legal frameworks
[1] and the effective use of resources [24]. Organisational performance in this new era
requires managing teams of highly specialised technical experts, as well as employees
trained to operate in the new technological revolution, with specific profiles that are
currently non-existent [27, 28]. In the next section we consider strategic alignment in
organisations.
2.3 Strategic Alignment in Organisations

Organisations employ strategic planning to define direction and to guide decisions on
resource allocation to pursue their strategy [29, 30]. Strategic planning provides a sense
of direction, outlines measurable goals in an organisation and guides day-to-day
decisions [29]. Furthermore, strategic planning is concerned with the definition of
changes that may be informed by changing market conditions, competitor activity and
technology advancement – typically aspects encompassed by I4.0 [29, 31]. For
organisations to manage all the multiple internal and external factors described in the
previous section strategically, strategic alignment must be achieved at both enterprise
and departmental level [32], across four domains of strategic choices, namely strategy
execution, technology potential, competitive potential and service level [31]. Strategy
execution refers to business strategy as a driver of both organisational design choices
and information system infrastructure, while technology potential involves the articu-
lation of an information technology strategy in support of the selected business strategy
[31, 32]. Competitive potential as alignment perspective is concerned with the
exploitation of emerging information technology capabilities that affect key attributes
of strategy, such as distinctive competencies, and it has an impact on business scope,
such as new products and services, and business governance, which includes the
development of new forms of relationships [31, 32]. The service level focuses on
establishing a world-class technology organisation within an organisation and focuses
on the effective use of IS resources, as well as responsiveness to the fast-changing
demands of end-users and customers [31, 32]. Achieving and sustaining strategic
92 S. Smuts et al.
alignment in organisations are influenced by a rapidly changing operating environment

enabled by I4.0 aspects such as workforce skills and change capacity, business process
automation, multiplicity of digital business models, and the variety and expectations of
different customer segments [30, 32]. Therefore, I4.0 aspects must be considered across
all four domains of strategic choices to achieve strategic alignment [29, 31].
3 Research Approach
The objective of this paper is to present the unique I4.0 organisational aspects,
including the way in which these unique aspects affect strategic alignment in an
organisation. In order to achieve the objective, a systematic literature review (SLR) was
conducted to identify the components of a guiding conceptual model [33, 34]. The aim
of an SLR is to gather, evaluate and synthesise the existing body of completed and
recorded work produced by researchers, scholars and practitioners [34]. An SLR must
be conducted based on a rigorous, stand-alone and systematic methodological approach
[33, 35]. Specifically, we followed the methodological approach suggested by Boland,
Cherry and Dickson [36], consisting of three main stages: planning the review (defining
the research objectives and the review protocol), conducting the review (selecting the
primary studies and extracting the data) and reporting the review (disseminating the
report) [35, 37]. Technical reports, books and specific scientific databases were chosen
for the SLR process. The databases presented in Table 1 provided access to high-
quality peer-review content and were therefore chosen for the SLR. I4.0 is known by
many terms, including 4IR and the ‘fourth industrial revolution’. To include all ref-
erences to I4.0, the search terms were chosen as: ‘4ir and “strategic alignment” and
organisation’, ‘“fourth industrial revolution” and “strategic alignment” and organisa-
tion”’ and ‘“I4.0” and “strategic alignment” and organisation”’. Using all the search
terms listed and only including sources from 2011 onwards, as this was the date when
the term I4.0 originated, a result set of 301 papers was identified, as shown in Table 1.
Table 1. Total number of papers found per database

Database Total papers found matching Total after first inclusion and exclusion
keywords criteria
ScienceDirect 97 32
SpringerLink 64 22
EBSCOhost 31 16
IEEE Xplore 9 5
Emerald 100 29
Insight
Total 301 104
The initial research studies extracted (301) were screened by applying specific
criteria such as non-English studies, anecdotal or opinion-based papers, unobtainable
papers and duplicate studies that formed part of the result set. Inclusion criteria
consisted of peer-reviewed publications and technical reports relevant to the research

question. After the initial search, as well as the application of inclusion and exclusion
criteria, 104 publications were selected (Table 1 last column). We concluded a detailed
screening of abstracts and analysis of the full text of the prospective papers, after which
35 papers were coded and themed. Sixty-nine papers were excluded based on criteria
such as studies not associated with the research question, theses or dissertations and a
keyword mismatch, e.g. where both “industry” and “4” appeared in a paper, but in an
unrelated context.
4 Data Analysis and Findings
The aim of this paper is to consider the unique I4.0 organisational aspects and to reflect
on the impact of these unique aspects on strategic alignment in organisations. Themes
and main themes were identified in the selected studies through a two-step process:
firstly, descriptive codes were used to identify themes [38] and secondly, open coding
was used to identify emerging main themes [39]. Table 2 depicts the emerging themes
and main themes, as well as the reference.
The first emerging theme is external drivers, i.e. drivers external to the organisation
related to the job market and the particular market and industry sector. It is
acknowledged that I4.0 may create new jobs and change current jobs to the extent that
employees must either be retrained or upskilled. Job market disruptions may enforce
greater worker independence, require increased workforce cognitive load, necessitate
workforce augmentation and emphasise increased autonomy. Another external factor is
global market and industry sector disruption. Organisations are forced to meet the ever-
changing demand of consumers and must navigate the transformation of the market,
industry and business sectors. Traditional markets and industries are challenged by
innovations and an increased rate of change in technology. At a strategic level,
organisations need to consider an I4.0-relevant strategy. Such a strategy brings about a
potential competitive advantage gain, additional organisational value creation, organ-
isational agility enablement and strategic objective optimisation. New technology
changes the rules of the global market and therefore organisations are empowered to
create new business value. As organisations embrace the new strategies and agility,
there may be an organisational structural alignment trade-off where particular internal
structures need to be revised to carry out the I4.0 relevant strategy. The business value
theme highlights opportunities for business improvement, whether it is internally
focused (increased effectiveness and efficiency) or related to digital business model
innovation (harnessing I4.0 technologies). Internal effectiveness and efficiency
improvement are fundamentally based on the value capitalisation of knowledge held in
the organisation, while digital business model innovation may inherently be based on
technology investment optimisation. The workforce emerging theme is internally
focussed and deals specifically with the transformative and disruptive nature of I4.0 on
the workforce of an organisation. The impact of this includes not only environmental
innovation potential, productivity improvement, required skills, and education align-
ment, but also management complexity and workforce well-being. Complexity is
94 S. Smuts et al.
created as managers must now manage teams with different skills, in agile and fast-
paced environments requiring socially sustainable work systems, as well as agile
environmental change response. As there is greater emphasis on collaboration and
transparency, organisations must consider workplace ergonomics, workforce flexibility
and motivation, change appetite and the impact on governance. Digital technologies
enable environments in which workforce productivity can be improved through
automation with a consequent impact on role and responsibility definition. Further-
more, productivity changes require a different skill mix, demanding essential problem-
solving, critical thinking and design thinking abilities.
Table 2. I4.0 aspect themes and sub-themes extracted

Main theme Theme References
External drivers Job market disruption [5, 22, 40–44]
Market and industry disruption [1, 4, 13, 14, 26, 42–47]
I4.0 relevant Competitive advantage gain [4, 6]
strategy Organisational agility enablement [5, 7, 22, 26, 45]
Organisational structural alignment trade- [26, 45, 46]
offs
Organisational value creation [26, 45]
Strategic objective optimisation [6, 7, 12, 14, 42, 46]
Business value Business opportunity improvement [4, 7, 12, 45, 48]
Digital business model innovation [4, 5, 7, 8, 11, 13, 22,
26, 42, 46, 47]
Increased entrepreneurial activity [43, 47, 49]
Knowledge management value capitalisation [10, 25, 42]
Technology investment optimisation [40, 45]
Workforce Work environment innovation [1, 13, 25, 41, 45]
Workforce education alignment [1, 13, 22, 25, 44, 46]
Workforce management complexity [1, 5, 7, 13, 22, 25, 41,
42, 44, 46]
Workforce productivity improvement [12, 25, 41]
Workforce skills qualification [1, 5, 25, 40–44, 46]
Workforce well-being improvement [5, 41]
Technology Digital eco-systems [3, 7, 8, 12, 13, 22, 25,
46, 48, 50–52]
Information technology security [42]
consideration
Technology-centric convergence [5, 12, 15, 25, 26, 42]
Virtual model and physical environment [1, 7, 22, 25, 41, 50]
linkage
(continued)
Main theme Theme References
Customer value Customer experience differentiation [4, 26, 46]
Customer-organisation interaction [4]
improvement
Process Process optimisation [3, 4, 7–9, 22, 25, 40,
42, 44–46, 53–55]
Value chain digitalisation [1, 4, 45, 48]
Data Big data management [3, 9, 13, 22, 25, 42, 51,
53]
Data-driven decision-making [1, 8, 10, 12, 25, 42, 53]
Product and process big data generation [11, 12]
Organisational Human-centric design transformation [7, 8, 25, 40, 41, 53]
change Organisational culture change expectations [44]
Tension impact of emerging versus legacy [7, 26]
infrastructures
Product Product customisation [3, 45, 50]
Product portfolio innovation [3–11, 13, 40, 42, 43,
46, 48, 50, 53]
From a technology perspective, digital eco-systems are enabled where strategy,

channels, people and technology are connected within an organisation or across mul-
tiple organisations in the eco-system, emphasising security implementation concerns.
As the digital technologies inform change, transformation may be based on technology-
centric convergence, especially in instances where there is a blurring between virtual
and physical worlds (digital twins) or where the digital world is translated to the
physical one (3D printing). Customer value, the manner in which it is defined and how
organisations view it, is centred on customer experience and the interaction between the
organisation and the customer. Exceptional customer experience not only creates sat-
isfied customers, but also leads to a competitive advantage gain. As more organisations
adapt to I4.0, differentiating factors between organisations are dependent on customer
experience, as improved customer satisfaction attracts more customers and retains
existing ones. I4.0 presents opportunities for organisations not only to optimize their
processes, but also to digitise their entire value chain. Changes such as manufacturing
process automation and digitisation can boost manufacturing efficiency. Technologies
of I4.0 can enable innovation and adoption of business processes, as well as automation
of work processes. Digitisation of products, processes and systems allows organisations
to gain better insight into their business operations, leading to accuracy and precision
improvements, preventive step monitoring and automation of information technology
innovations. Integration with the processes of other organisations becomes possible,
creating improved cross-function and eco-system collaborations. Better processes lead
to the evolution of business analytics and implications for lean practices.
96 S. Smuts et al.
Large volumes of data are one of the key characteristics of I4.0. Big data man-
agement enabling data-driven decision-making, as well as product- and process-related
big data generation, requires organisations to build capabilities to process vast amounts
of data. Not only must big datasets be collected by an organisation, but these datasets
also need to be converted, harnessed and interpreted in near-real time in order to
generate relevant insights. Furthermore, process- and product-related data analysis
informs process automation opportunities, enabling advantages such as service level
improvement, inventory reduction and shorter time to market. Technologies such as
CPS and IoT can be used to monitor production lines and product quality. However,
organisations must be aware of the impact on computational power that data-driven
decision-making requires, as well as the governance, security and management of such
collected data. Organisational change has an impact on several levels; firstly, the
organisation must migrate from legacy technology to future technology with conse-
quent impacts on processes, products, data and the workforce. New technologies create
new avenues for organisations to pursue new and better products through product
customisation and product portfolio innovation. Organisations must cater not only for
the needs of the individual customer, but also encourage customer collaboration as well
as creating opportunities for quality, customised products. Such flexible product
portfolios offer a competitive edge, while product design, planning and production are
becoming more customised as well. Product lines experience short production lifecycle
changes often enabled by robotisation. However, this will require organisation of wide-
ranging changes in manufacturing operations and technology, providing opportunities
for product and device miniaturisation, production of products via advanced ICT and
product-tracking possibilities.
5 An I4.0 Conceptual Model
Using the themes derived during the thematic analysis (Table 2) and the strategic
alignment domains (Sect. 2.3), the I4.0 aspects derived were arranged in a conceptual
model from an organisational perspective depicted in Fig. 1.
The conceptual model is built across the four domains of strategic choices, namely
strategic execution, technology potential, competitive potential and service level
(Sect. 2.3). The strategy execution domain employs business strategy as a driver of
both organisational design choices and information systems infrastructure. Under
strategic execution, organisations must focus on external factors, I4.0-relevant strategy
and business value. Organisations need to be aware of any I4.0-induced external
factors that can affect the organisation. Factors such as job market disruptions or
market and industry disruption may present great opportunities for growth. As
organisations change to I4.0-ready organisations, they need to be guided by an I4.0-
relevant strategy. This strategy ensures future sustainability of an organisation in a
global market potentially disrupted by I4.0. New processes, technology and markets
have redefined business value in an I4.0-driven society. Organisations must reconsider
business value, whether the focus is outward towards the customer or based on internal
optimisation and automation, and adjust strategies accordingly.
Fig. 1. Strategic organisational perspective of I4.0 aspects (adapted from [31])
The technology potential domain refers to the information technology strategy that
supports the selected business strategy by considering the technologies of I4.0 and data.
The disruptive nature and technologies of I4.0 force organisations to move towards
new technologies to ensure future sustainability and competitiveness. Big data and
data-driven decision-making create new opportunities for organisations to collect,
analyse and use data. Data have a direct impact on customer value, in terms of
information collected and analysed, and inform products and processes. The compet-
itive potential domain as alignment perspective emphasises the use of emerging
information technology capabilities that influence the business scope, such as new
products and services. The product market is constantly innovating and implementing
customisation for the individual. Organisations must adapt to this demand with inno-
vations in products and processes, as well as consideration of the individual’s need.
Process organisations are continually optimised and digitised. This allows organisa-
tions to get products and services to market faster; however, organisations need to
adopt better processes to stay competitive.
Lastly, the service level domain attends to establishing a world-class technology
organisation within an organisation and focuses not only on the effective use of IS
resources, but also on responsiveness to the fast-changing demands of end-users and
customers. The technology and changes that come with I4.0 force the workforce to
adapt in terms of productivity, skills and well-being. With new technologies and
business models emerging, the focus of customer value is also shifting. I4.0 demands
98 S. Smuts et al.
greater focus on customer interaction and experience. With the disruptive nature of I4.0
having a global impact, organisations must change to stay competitive or to re-invent
themselves. Organisations must also be able to manage the tension impact of emerging
versus legacy infrastructures.
These four strategic alignment domains also present interrelationships (denoted by
arrows), as the business strategy informs the technology aspect, focusing on imple-
menting the chosen business strategy and recognising the need to address both external
and internal domains [31]. The chosen business strategy and technology opportunity
also affect decisions such as product-market offering and choices pertaining to the
organisational structure and workforce, as well as the specific rationale for the design
and redesign of critical business processes [31].
6 Conclusion
I4.0 and the advancement of digital technologies are changing the way we socialise,
live and work. I4.0 also provides organisations with opportunities to firstly optimise
and enhance internal operations and secondly, innovate and optimise business models.
It is important that organisations understand the realities of I4.0, in order to exploit its
business value in an organisational context, while maintaining strategic alignment. In
this study, the unique I4.0 organisational aspects were identified through an SLR
related to digital business model innovation, technology investment optimisation,
workforce management complexity, digital eco-systems, technology-centric conver-
gence, virtual model and physical environment linkage, value chain digitalisation and
product portfolio innovation. In order to apply these I4.0 organisational aspects, we
propose a conceptual model guiding organisations on how these unique aspects affect
strategic alignment in an organisation. By applying the proposed conceptual model of
I4.0, a strong vision, support- and development plan and path to I4.0 can be created. By
understanding such a view of I4.0, organisations can ensure that interrelationships are
managed and that a relevant, fit-for-purpose approach to I4.0 may be considered in a
strategically aligned manner.
As the study proposes a conceptual model, further research may be conducted to
test the proposed strategic alignment model in an organisational context and real-world
scenario.
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SMART City and Economy: Bibliographic
Coupling and Co-occurrence
Libuše Svobodová1(&) and Dorota Bednarska-Olejniczak2

1
University of Hradec Kralove,
Rokitanskeho 62, 50003 Hradec Kralove, Czech Republic
libuse.svobodova@uhk.cz
2
Wrocław University of Economics,
Komandorska 118-120, 53345 Wrocław, Poland
dorota.olejniczak@ue.wroc.pl
Abstract. Rapid development of advanced technologies and their use bear

crucial influence on Smart City development. Smart economy ranks among key
Smart City components. The rising awareness of the importance of Economy in
Smart cities becomes a widely discussed issue and gets reflected in professional
literature. The aim of the paper is to map and analyse the state of usage of
current topics and terms “SMART city” and “economy” and their bibliographic
coupling and co-occurrence on Web of Science. The analysis focuses on pub-
lished documents and their citation, use of journals for publishing of articles,
authors that have the most articles, number of published documents in countries.
The reoccurrence of the most often used key words in the articles will be
analysed. Analysis was done in March 2019 via VOSviewer software. The
highest number of articles is presented in Smart economy in smart cities, Journal
of cleaner production and Cities. USA and India are the countries with highest
number of articles. Smart city, Cities, Smart cities, Governance, Innovation, Big
data, Economy and Urbanization are the most often used keywords.
Keywords: Bibliographic coupling Co-occurrence Economy SMART city
1 Introduction
The introduction and literature review briefly describes the potential of the study in a
broad context and highlights the importance of the discussed topic. The purpose of the
work and its significance are defined in this chapter. The current state of the research is
reviewed carefully and key publications are cited. Then principal conclusions are
formulated reflecting the main goal of the paper.
In the globalized world, there is growing concern about economic growth and
economy. Development of technologies and use of ICT brings a lot of benefits to
society, economy, citizens, companies, cities and next stakeholders. A lot of people use
advanced technologies in their daily lives. Technologies are not used only by citizens,
companies, but also by governance and cities. The phenomenon of Smart Cities has
been experiencing a rising interest in the academic sphere in recent years. The first

https://doi.org/10.1007/978-3-030-44999-5_9
SMART City and Economy: Bibliographic Coupling and Co-Occurrence 103
article on Smart Cities that appeared in the Web of Science database was ‘Smart cities -
The Singapore case’ by Mahizhnan [4]. With 81 citations it is nowadays one of the
most cited article on selected topic.
Graham and Aurigi [2, 3] appeared in 1997 the concept of a smart city. The
possibility of using ICT tools for communicating with residents was one of the impulse.
Next one was collecting data or using this data to manage the city. To state one
universal definition of the concept of a smart city is difficult. The report entitled Smart
Cities—Ranking of European Medium-Sized Cities [5] defined the idea of ‘smart city’
quite broadly. According to report “smart city is a city well performing in a forward-
looking way in six characteristics [economy, people, governance, mobility, environ-
ment, and living], built on the smart combination of endowments and activities of self-
decisive, independent and aware citizen”. Caragliu et al. [6] defines smart city with the
conditions “when investments in human and social capital and traditional (transport)
and modern (ICT) communication infrastructure fuel sustainable economic growth and
a high quality of life, with a wise management of natural resources, through partici-
patory governance.”
Hall et al. [31] in 2000 indicated that “a city that monitors and integrates conditions
of all of its critical infrastructures, including roads, bridges, tunnels, rails, subways,
airports, seaports, communications, water, power, even major buildings, can better
optimize its resources, plan its preventive maintenance activities, and monitor security
aspects while maximizing services to its citizen”. Therefore, ‘smart city’ in this defi-
nition was associated with the use of ICT to support the delivery of public services.
“Unquestionably, cities are complex systems and the rapid urban growth that brings
traffic congestion, pollution, and increasing social inequality may turn the city into a
point of convergence of many risks (economic, demographic, social, and environ-
mental)” [7].
“Smart cities provide major economic, social, and productivity benefits to all
stakeholders. But without the right vision, plans, talent, and funding in place, smart city
programmes will not reach their full potential” [1].
The issue of Smart Cities has been solved for several years. Many of the cities that
have been considered successful in terms of Smart Cities will continue to have con-
siderable place for improvement. In this topic are mostly solved technological issues,
but economic view of point is not solved so often.
2 SMART City x Economy
“Historically, cities are considered as the highest forms of economic and sociocultural
achievements in human civilization, and the location of non-primary economic activ-
ities” [8].
“When the devices start becoming smarter, it inevitably leads to a smarter
ecosystem of devices. The extension of such a development forms something that is
called a smart city – A whole city that uses electronics to keep the area running at high
or peak efficiency. A recent whitepaper from ABI Research concludes that smart cities
will see an overall economic development of 5% annually, which translates to almost
$20 trillion in a decade. This again validates that smart cities are a great investment that
can impact the economy in a positive way” [9].
104 L. Svobodová and D. Bednarska-Olejniczak
Deloitte presents three key differentiators of a smart city [10]:

• “Quality of life
• Economic competitiveness
• Sustainability
Economic competitiveness is presented as cities have long been important centers
of trade and commerce, leveraging the proximity of so many diverse citizens to help
drive an innovative economy. A smart city is a business-friendly city, ensuring that
jobs and tax revenue form a healthy economic platform.”
Cities are as “‘engines of economic growth’ and dominate local and national
economies.” Smart City System building blocks by Kumar [11] are presented in Fig. 1.
Smart People
Smart Economy Smart Mobility
Smart Environment Smart Living Smart Governance
Fig. 1. Smart City System [11]
A city has many areas in which it can be managed to transform itself into a smart
city. Six basic directions for action will enable it to direct its objectives along this route,
according to the definition of smart cities given by Boyd Cohen [12], an urban
development researcher, see Fig. 2.
Fig. 2. The six action areas of smart cities [12]
The smart economy: “it is a city that wants to position itself as a capital of the new
economy and innovation as well as a centre that draws people to it” [12].
3 Methodology and Goal
Steps of the research are as follows. Firstly, there is the introduction to the topic. The
methodological background brings the aim and goal of the study, description of the
study procedure and used sources. The literature review contains basic definitions and
the starting points to selected issues. The next phase deals with results from biblio-
graphic coupling and co-occurrence of selected keywords. The final phase focuses on
summarization and discussion of findings gained from the research.
The aim of the paper is to map and analyse the state of usage of current topics and
terms “SMART city” and “economy” and their bibliographic coupling and co-
occurrence on Web of Science. Focus will be given on documents and their citation,
use of journals for publishing of articles, authors that have the most articles and number
of published documents in countries. In co-occurrence will be analysed the most often
used keywords in the articles. The previous studies basically focus only on a certain
perspective. Visual bibliometric analysis on connected topics smart cities and economy
was not founded. This study employed scoping review techniques to dissect the status
quo for SMART city and economy. Our search of scientific and research sources
focused on scientific sources. The bibliometric mapping study method by Leung et al.
[32] and scoping review technique by Arksey and O’Malley [33] were adopted in this
review-based article.
The number of co-occurrences and total strength of the co-occurrence links with
other keywords for each of the selected keywords were generated in VOSviewer. Co-
occurrence is the term used to describe the proximity of keywords in the title, abstract,
or keyword list in publication (Van Eck and Waltman [34]) to find connections so that
the research topic can be identified (Wang et al. [35]). The link indicates the strength of
their occurrences. These methods were used also by Maskuriy et al. [36].
Two terms were searched 15th of March 2019 in the Web of Science database.
“SMART city” AND “economy” were put into query. There were 275 articles found in
all publications. There were 147 articles in journals and book chapters found in total.
Then there were 128 findings in Proceedings papers, 3 in editorial material and 2 in
reviews. Only articles in journals and book chapters were included into the next
evaluation (Fig. 3).
Web of Science
TOPIC-("smart city") AND
("economy") = 275 arƟcles
Limited
arƟcle +
book
chapter
= 147 arƟcles
Fig. 3. Selection of documents in bibliometric analysis

In case of searching the term “economics” instead of the term “economy” only 22
articles were found. Due to this reason, the term “economy” was used in the query in
the next evaluation. Full record and cited references were saved as Other Reference
Software and uploaded to VOSviewer. The analysis that is presented in this paper was
made via VOSviewer. Analysis is made between selected sources if it is not written in
another way in the text.
The article is established on secondary sources. The secondary sources provide
information about smart city and economy, information gained from professional lit-
erature and databases and from professional press, from web sites, discussion at pro-
fessional seminars and conferences related to smart cities and economy. Then it was
necessary to select, classify and update accessible relevant information from the high
number of published materials that provide the basic background about the solved issue.
4 Results
Graphs and tables that represent the outputs from VOSviewer are shown in this chapter.
Into evaluation were taken such criteria that are interesting in publishing of the articles.
The highest number of citations on document, the most often used journal for pub-
lishing this topic, authors that published the highest number of the articles, in which
country is the most often solved this issue. The last one solved issue are the most often
set keywords connected with the topics.
4.1 Bibliographic Coupling
Documents x Number of Citations

The minimum number of citations of a document was selected 10. Out of 147 docu-
ments, 19 documents meet the threshold. For each of the 19 documents, the total
strength of the bibliographic coupling links with other documents will be calculated.
Fig. 4. Bibliographic coupling – documents

The documents with the greatest total link strength will be selected. Some of the 19
items in the network are not connected with each other. The largest set of connected
items consists of 14 items. Results are presented in Fig. 4. Four clusters were founded.
The biggest is composed of 5 authors. Ferrara [13], Martinez-Balleste [14], Neirotti
[15], Sun [16] and Torres-Sospedra [17]. The second cluster composed of 4 authors.
Angelidou [18], March [19], Wiig [20] and Yamagata [21]. The third composed of
Khan [22], Scuotto [23] and Walravens [24]. The last one consisted of Capdevila [25]
and Tukiainen [26]. Alone are publicatons of Hens [27], Shuai [28], Das [29],
Hernandez-Munoz [30] and Mahizhnan [4]. Results of number of citations are pre-
sented in Table 1. Number of citations are taken directly from Web of Science.
Table 1. Documents x number of citations x clusters

Authors Citations Authors Citations
Ferrara 16 Scuotto 45
Martinez-Balleste 72 Walravens 23
Neirotti 396 Capdevila 22
Sun 20 Tukianinen 16
Torres-Sospedra 19 Hens 15
Angelidou 102 Shuai 22
March 35 Das 10
Wiig 10 Hernandez-Munoz 101
Yamagata 54 Mahizhnan 81
Khan 32
Sources – Journals x Documents

Minimum number of documents of a journal is 4. Of the 98 journals only 4 meet the
thresholds. Due the small number of journals were criteria reduced on 3. Only 7 from
98 sources meet the thresholds. For each of the 7 journals (see Table 2 and Fig. 5), the
total strength of the bibliographic coupling links with other sources will be calculated.
The journals with the greatest total link strength will be selected.
Table 2. Bibliographic coupling – journals (sources)

Source Documents Citations Total link
strength
Journal of cleaner production 7 19 159
Cities 7 562 154
Sustainability 5 6 88
Smart economy in smart cities 20 10 74
Telematics and informatics 3 28 58
Sustainable smart cities in India: challenges and 3 0 40
future perspectives
Sustainable smart cities: creating spaces for 3 0 31
technological, social and business development
Two clusters were found in journals (sources). By red is marked one and by green
the second one.
Fig. 5. Bibliographic coupling – sources (Color figure online)
Authors x Documents
The minimum number of documents of an author was set at four. Only 3 authors meet
the thresholds of the 403 authors. Criteria were reduced to 3 documents of an author
and 7 authors meet the thresholds. In case of further reduction to 2 documents of an
author, 37 meet the thresholds. The highest number of publications have Mboup, G.
with 6 documents. 4 documents presented Kumar, T.M. Vinod and Mwaniki, D.
3 publications published Spruijt, W., Rodgers, T., Govada, S.S. and Alizadeh, T.
Country x Documents
Minimum number of documents of a country was set at 5. 9 countries meet the
thresholds of the 53 countries. The total strength of the bibliographic coupling links with
other countries will be calculated for each of the 9 countries (see Table 3 and Fig. 6).
Table 3. Bibliographic coupling - country

Country Documents Citations Total link strength
Italy 16 452 950
Spain 16 231 815
USA 18 46 774
Peoples r. China 13 22 682
England 11 69 605
India 18 12 469
France 8 57 431
Australia 8 20 337
Russia 7 51 281
Fig. 6. Bibliographic coupling - country
The highest number of articles were written in USA and in India followed by Italy,
Spain, Peoples Republic of China and England. The highest number of citations was
done in Italy, Spain, England, France, Russian Federation and in USA.
Three clusters of countries were found in the cluster analysis. The first cluster
composed of Australia, India, Peoples R. China and USA. The second cluster com-
posed of France, Italy and Spain. The third one from England and Russia.
4.2 Co-occurrence
All Keywords
Minimum number of occurrences of a keyword was set at 6. 19 keywords meet the
threshold of the 706 keyword (see Table 4 and Fig. 7). For each of the 19 keywords,
the total strength of the co-occurrence links with other keywords will be calculated. The
keywords with the greatest total link strength will be selected.
Internet, challenges, management, infrastructure, network, trends, urban planning,
systems and sustainable development have 5 occurrences. Due better clarity will be in
graph presented keywords with 6 occurrences and more.
There were identified 4 clusters. The first one composed of 7 items: cities, growth,
Internet of things, model, open innovation, smart city and sustainability. Second
composed of 6 items: city, economy, smart cities, technology, urban governance and
urbanization. The third cluster composed of big data, future, innovation and politics.
Together are also often used terms ‘governance’ and ‘sharing economy’.
Table 4. Co-occurrence – all keywords

Keyword Occurrences Total link strength
Smart city 77 132
Cities 27 54
City 19 44
Governance 12 30
Innovation 13 30
Smart cities 21 30
Economy 9 29
Technology 8 25
Big data 11 21
Urbanization 9 21
Growth 8 19
Sharing economy 8 19
Future 6 18
Model 6 18
Politics 6 18
Sustainability 8 18
Urban governance 6 18
Internet of things 6 14
Open innovation 6 14
Fig. 7. Co-occurrence – all keywords

4.3 Limitations of the Study

Science, technology, and innovations are engines to drive growth and sustainable
development of SMART cities all over the world.
Due to the limited number of pages and depth of the research the limitations might
be found in the following areas:
• Minimum number of citations of a document was set at 10. In case that number of
citation of the document will be smaller, more documents will meet the threshold.
On the contrary, results will be not so well arranged.
• Number of documents in the journal was reduced due to the small number of
journals (sources) with many relevant articles. The criteria were reduced to 3 papers
per journal. 7 journals out of 98 sources meet the thresholds.
• Minimum number of documents of an author was set at 4. Only 3 authors out of 403
authors meet the thresholds. When the minimum number of documents by one
author is reduced to 3 documents, 7 authors meet the thresholds. In case of 2
documents per author, the number of occurrences will increase.
• Minimum number of documents of a country was set at 5. Only 9 countries out of
the 53 countries meet the thresholds. In case of a smaller number of documents, the
number of countries meeting the thresholds will increase.
• Minimum number of occurrences of a keyword was set at 6. 19 keywords meet the
threshold out of the 706 keywords. In case of smaller occurrence of a keyword,
there will be higher amount of keywords.
5 Conclusion
Bibliographic coupling and co-occurrence measure a similarity that uses citation

analysis to establish a similarity relationship between documents, authors, countries
etc. A wide variety of fields may be applied in, since it helps researchers to find related
research conducted in the past and to find the gap, nitch or necessities in the analysed
field of study.
Topic Smart city and economy is getting its importance more and more. First article
was into Web of Science included in 1999 where Mahizhnan wrote [4] that “the final
goal is not just economic growth but an enhancement of the quality of life for all
people, making Singapore not just a smart city but a quality city-state.” The next
articles were published in 2011, for ex. [30] that was with 128 citations the most cited
from the publication year. The gap was in 2012 and from 2013 till 2017 numbers of
articles in journals or book chapters were still rising on 52. It fall on 43 in 2018.
Neirotti, Paolo; De Marco, Alberto; Cagliano, Anna Corinna; et al. [15] with 378
citations with publication Current trends in Smart City initiatives: Some stylised facts
in journal Cities recorded the highest number of citations from all authors. Hernandez
Munoz et al. were cited 94 times [30], Angelidou [18] was cited 85 times and
Mahizhnan [4] 79 times in database Web of Science. Sources as Cities with 562
citations, book Future Internet: Future Internet Assembly 2011: Achievements and
Technological Promises with 94 citations, IEEE communications magazine with 60
citations, Applied Energy with 53 and Business Process Management Journal with 43
citations are the most often cited. Topic is the most often solved in Italy, Spain, USA
and India. Smart city, cities, city, governance, innovation, smart cities, economy,
technology and big data are the most often published keywords connected with topic
Smart city and economy. According to above mentioned words and done analysis is
Smart city also often connected with keywords technology, urbanization, growth,
sharing economy, future, model, politics, sustainability, urban governance, internet of
things and open innovation. The creation of smart cities is a motivator for growth, new
jobs and is a productive investment in future, leading to a sustainable and environ-
mentally friendly economy. Well-arranged pictures presented in this paper demonstrate
the research achievements in the domain of the smart city and economy, which could
help researchers, practitioners and mayors and politics to identify the underlying
impacts from authors, journals, countries, institutions, references, and research topics.
Future research will be focused on the most frequent occurrence of keywords used
in the connection of the analysed issue and their combination with more detailed
description so that a wider notion on the topic could be provided.
Acknowledgements. This paper is supported by specific project No. 2103 “Invest-ment eval-
uation within concept Industry 4.0” at FIM University of Hradec Kralove, Czech Republic. The
authors thank Anna Borkovcova for her help with the project.
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Robotic Process Automation
and Consequences for Knowledge
Workers; a Mixed-Method Study
Tom Roar Eikebrokk(&) and Dag Håkon Olsen
Department of Information Systems, University of Agder, Kristiansand, Norway

{tom.eikebrokk,dag.h.olsen}@uia.no
Abstract. This paper explores an overly optimistic and tenacious claim in the
literature that robotic process automation (RPA) will only free knowledge
workers from mundane tasks and introduce more interesting work. We explore
this claim and other consequences for knowledge workers using data from a
sequential quantitative-qualitative, mixed-method study in Norway. 88 RPA
users from different sectors and industries where first surveyed to identify dif-
ferences in utilization and effects from RPA. Then, differences were explored in
24 in-depth interviews in the public and private sectors, including financial
industry, manufacturing, and oil and gas. Results indicate that RPA is used to
either layoff or not reemploy knowledge workers, but also to empower
knowledge workers with more interesting tasks. Private sector was different
from public sector in that private, financial companies have experienced the
strongest reduction in the need for employment. RPA often lead to layoffs
indirectly, and to reduced need for consultants, especially in financial compa-
nies. In contrast, public companies use RPA more for innovations in their ser-
vice production from increased quality in data registration, handling of invoices,
and data migration between systems. We conclude that RPA is maturing as a
management tool motivated by cost reductions from reduced employment, and
we suggest propositions for further research.
Keywords: Robotic process automation RPA Knowledge work

Knowledge workers
1 Introduction
The majority of academics occupied with knowledge workers and robotic process
automation (RPA) seem to assume that automation will free knowledge workers from
highly structured routine and manual tasks (e.g. [1, 14, 15] but not lead to lay-offs. For
knowledge workers, the liberation from mundane tasks is especially important for their
productivity [8]. As a result, this would lead to empowerment of knowledge workers
who will contribute to companies through applying their convergent, divergent and
creative thinking skills rather than being made obsolete. According to Drucker, the first
requirement in increasing the productivity of knowledge workers is to find out what
their tasks are, what they should be, and which tasks should be eliminated [8]. Since

https://doi.org/10.1007/978-3-030-44999-5_10
Robotic Process Automation and Consequences for Knowledge Workers 115
even knowledge workers have mundane and repetitive tasks, it seems reasonable then,
to assume that they will also be subjected to lay-offs following automation.
Knowledge work and knowledge workers are elusive concepts since their content
often is defined as the residual after applying intelligent software via machine learning
and artificial intelligence tools [2]. As the result of dynamic changes in the capability of
these technologies, we see a growing number of examples of automation affecting
Healthcare workers, Lawyers, Accountants and Auditors, all in areas traditionally
described as characterized by knowledge work [2].
These assumptions regarding knowledge workers and lack of clarity on knowledge
work itself, represent weaknesses in the literature on the applicability and consequences
of robotic process automation. As a result, the motive for this study is to contribute to
the literature by investigating the following research questions:
How is RPA utilized to transform work in Norwegian companies and what can explain potential
differences?
What are the consequences for knowledge workers affected by automation?
The article is organized as follows. In the next section we present relevant studies in
the literature on automation and knowledge work. We then describe the combination of
methods used to provide information to answer our research questions, before we
present results and discuss potential implications for further research and practice.
2 Theory
In the literature, Robotic Process Automation (RPA) has been defined as: “A pre-
configured software instance that uses business rules and predefined activity chore-
ography to complete the autonomous execution of a combination of processes,
activities, transactions, and tasks in one or more unrelated software systems to deliver a
result or service with human exception management” [12]. Following this definition,
the result is reproduction of work done by humans by automating their tasks motivated
by cost reductions, flexibility, increased speed and resource utilization, improved
service capabilities and quality [17]. In the society, we see a growing number of
examples of automation and RPA in many industries including the financial industry
with banking, insurance and auditing [13, 18], and in public and private healthcare
[20]. This development of automation can be explained by Drucker [8] who claims that
the biggest challenge for companies in the 21th century whether business or non-
business, will be to increase the productivity of knowledge work and knowledge
workers (p. 79). Following Drucker [8], six factors define not only knowledge work,
but also knowledge workers and their productivity: their tasks can be defined, they are
autonomous and responsible for their own productivity, they are continuously inno-
vating and learning, not primarily measured on quantity but rather quality, and treated
as “assets” rather than “costs”. These factors, following Drucker, except quality, are
almost the exact opposite of what characterize manual work and the situation of the
manual worker [8].
116 T. R. Eikebrokk and D. H. Olsen
The definition of RPA above says nothing about the consequences for workers
other than that their tasks are automated. Lacity and Willcocks [14] and Lacity,
Willcocks and Craig [15, 16] are often cited in the academic and the practitioner
literature, on their argument that RPA will liberate knowledge workers from highly
structured, routine and mundane tasks so that they can focus on more interesting work.
This optimistic view of the consequences, coupled with RPA’s simplicity, where people
with no programming skills can start applying RPA after just a few weeks of training,
are probably two of the most important reasons for its growing popularity.
The general literature on automation describes a less harmonic picture. Here, the
impact of task automation is described as increasingly dramatic [17]. Jobs will dis-
appear or be redefined and new will be created [3, 7]. The driver behind automation is
associated with underlying data analytics and cognitive technologies as artificial
intelligence (AI), machine learning, big data, and natural language processing.
Development in these technologies will enable automation of unstructured tasks that
previously were impossible to automate [9]. As a result, this advancement in cognitive
technologies is also challenging the concepts of knowledge work and knowledge
workers.
Despite the positive prospects of RPA in the literature, there are few studies
available to support the claim that knowledge workers will be freed from dreary tasks
to work with more interesting tasks. Logically, when tasks are freed from the
knowledge worker, it is likely that a company instead of providing knowledge workers
with more interesting tasks, might need fewer knowledge workers and either lay them
off or not reemploy new ones following retirement. The literature has not been able to
follow pace with the advancement in technology and provides no clear guidelines on
the boundaries between work and knowledge work, or between regular workers and
knowledge workers. As a result, the concepts of knowledge work and knowledge
workers in the literature appear as residuals after cognitive technologies and data
analytics constantly push the borders of what tasks can be automated.
To sum up, the literature on RPA is scarce, unclear and lacks studies on the nature
and impact of RPA in organizations and of its human and societal consequences in
particular. As a result, we still see the widely cited but largely untested claim that
knowledge workers will walk free from the negative consequences of automation, as
being replaced or laid off. We lack empirical studies that can confirm or challenge this
claim, and thus we do not know how RPA is influencing workers through their tasks in
organizations, and whether and where automation might support humans or rather be
taking over their jobs [11]. The development in cognitive technologies calls for further
theorizing as it challenges central conceptualizations in the literature.
3 Research Approach
To answer our research questions, we chose a sequential quantitative-qualitative mixed

method research design [6, 19] with data from Norway. A quantitative survey identified
differences in the utilization of RPA that were followed up by in-dept interviews. This
elicited potential explanations for the identified differences. Additional interviews were
used to target effects of RPA on knowledge workers.
The survey was based on a literature review and input from three consultants on
RPA, to identify functions subjected to automation: financial operations, human rela-
tions, IT, customer-oriented functions, supply chain management, shared services, and
operations. The literature also identified potential effects on employment, productivity,
innovation and quality. A survey instrument was then developed and included back-
ground information, experience with RPA, number of employees, sector and industry,
type of functions automated (economy/finance, human relations, IT, customer support,
supply chain, shared services, operations, other), and effects from RPA (downsizing,
reduction in mundane tasks, reduced costs, increased productivity, increased innova-
tion, increased service quality, general satisfaction). Response format ranged from 1
(totally disagree) to 7 (totally agree). The identification of respondents used snow-ball
sampling, since no coherent database of the population exists. The responses were
analyzed using SPSS version 22.
The semi-structured interviews included 24 respondents selected after the quanti-
tative results, representing a sequential quantitative-qualitative data analysis [19]. The
interviews were then taped and transcribed, and the qualitative data related to both
research questions. Our mixed-method research strategy follows Creswell et al.’s [6]
recommendations, where the analyses should progress in different steps related to the
research questions. In interpreting the combined results, qualitative data were used to
understand quantitative data and vice versa.
4 Results
The instrument was distributed to 438 companies receiving 88 responses (20%).

37 respondents were willing to take part in a follow-up interview. The majority of
responses (65) came from private companies in the financial industry (23) and 23
responses from the public sector. Average scores indicate that downsizing is not
common (2.1–3.4) but slightly more common in the financial industry (3.4) than in
public (2.1) and private sectors (2.8). Reduction of mundane tasks is common in public
and financial companies (6.0), and cost reductions (5.2–5.8) and productivity effects
(5.6–5.9) were also reported in particular in financial companies. Innovation (5.2) and
quality improvements (6.1) were more frequently reported in the public sector. The
average satisfaction with RPA was positive and equally strong (5.8–5.9). See Table 1
for an overview.
Experience with RPA ranged from 0 and up to 8 or more years. Private sector (1.4)
and financial industry (1, 6) report longer experience with RPA than public sector (0.7).
Public sector reported less than 2 years of experience, whereas the financial industry
reported close to 4 years of experience. Private sector reported short of 3.5 years.
Table 1. Average scores on effects of RPA in public and private sector, and financial industry.
Organizations Public Private Financial
sector sector industry
Responses n x S n x S n x S
Downsizing 19 2.1 1.3 62 2.8 1.9 22 3.4 1.9
Cost reductions 19 5.2 1.7 63 5.5 1.6 22 5.8 1.5
Productivity 19 5.6 1.6 63 5.7 1.5 23 5.9 1.4
Innovation 21 5.2 1.8 63 4.9 1.7 23 4.6 1.7
Quality improvements 20 6.1 0.9 64 5.5 1.6 23 5.6 1.8
Fewer mundane tasks 20 6.0 1.3 64 5.6 1.8 23 6.0 1.7
Satisfaction with RPA 20 5.8 1.5 65 5.9 1.0 23 5.9 1.2
Experience with RPA 23 0.7 0.5 65 1.4 1.2 23 1.6 1.2
Independent samples t-test identified systematic differences, see Table 2. To fit the

exploratory purpose, p < 0.10 and a two-tailed test identified systematic differences to
be included in in-depth interviews.
Table 2. T-test to identify systematic differences between effect scores.

Organizations Public vs private sector Financial vs other
Responses Mean difference Sig. (2 tailed) Mean difference Sig. (2 tailed)
Downsizing −0.68 0.083 1.070 0.028
Cost reductions – – – –
Productivity – – – –
Innovation – – – –
Quality improvements 0.55 0.058 – –
Fewer mundane tasks – – – –
Satisfaction with RPA – – – –
Experience with RPA −0.65 0.001 0.48 0.10
Table 2 shows average scores on significant differences in effects of RPA, satis-

faction with RPA, and experience with RPA between public and private sector, and
between the financial industry and other companies in general. Downsizing is less
common in the public than private sector. The financial industry reports more down-
sizing than other companies. Quality effects are more common in public sector than in
private sector, and experience with RPA is lower in the public sector than private
sector, and longest in the financial industry.
Table 3 reports whether effects from RPA are related to the functions being
automated. Two functions were different from functions in general – economy/
accounting, and operations. Companies who automate economy/accounting functions
experience less downsizing than those who automate other functions. Companies
automating economy/accounting functions report significantly less experience with
RPA. Companies choosing to automate operations, experience more downsizing than
companies selecting other functions. The same appears for innovation, quality and
reduction in mundane tasks, where companies automating operations experience higher
effects than companies automating other functions. Companies automating operations
are more experienced with RPA. The next section describes potential explanations for
these differences, identified through in-depth interviews with selected companies that
participated in the survey.
Table 3. T-test of systematic differences in effects from RPA between automated functions.
Automated functions Economy/accounting (n = 31) Operations (n = 28) vs. other
vs. other functions functions
Responses Mean difference Sig. (2 tailed) Mean difference Sig. (2 tailed)
Downsizing −0.97 0.024 1.11 0.028
Cost reductions – – – –
Productivity – – – –
Innovation – – 0.69 0.052
Quality – – 0.82 0.004
Fewer mundane tasks – – 0.82 0.010
Satisfaction with RPA – – – –
Experience with RPA −0.40 0.085 0.68 0.014
Following Creswell et al. [6] it is necessary to select interviewees from survey

respondents for a truly mixed method. Of 88 respondents, 37 were willing to participate
in a follow-up interview, showing an interest in the topic area. Table 4 shows the
distribution of interviewees in the 24 interviews conducted, including their background.
The interviewees had an average of two years of experience with RPA, and three years
in the finance industry. Companies primarily automate rule-based and high-volume
processes, consistent with the RPA literature.
Functions being automated
Back-office tasks were automated in the finance industry, particularly when RPA was
first introduced. This included moving data between systems, invoice processing,
updating information in legacy systems, customer management, and customer inter-
action tasks that customers could perform on their own. Most respondents in the
finance industry had automated loan application processing, illustrated by respondent
8: “It would take weeks and days, where 10–15 people were working full time on this.
[…] [It now takes] six minutes before the customer gets an offer […] without any
employees involved.”
RPA was employed in various ways in private sector companies, and the respon-
dent from the supplier industry emphasized two main areas: back-office tasks such as
moving data between systems and accounting, and data retrieval from web or internal
systems, where system integration or APIs were not sufficient. A respondent from the
energy sector emphasized HR tasks as travel expense and payroll. The respondent from
manufacturing industry reported supply chain processes, for example quality docu-
mentation and document processing. The respondent from the Oil industry reported use
of RPA most extensively in finance and control. RPA was employed differently in the
public sector, mostly for accounting and logistics that were not emphasized in public
health enterprises. Many tasks were automated, such as HR, medical and administrative
processes. Respondents from municipalities reported more traditional use of RPA in
accounting and invoice processing, and data migration.
Table 4. Roles and affiliation of Interviewees

Respondent Role Industry Sector RPA experience
1 Project manager Municipality Public 2 years
2 RPA team leader Health Public 2 years
3 Value chain coordinator Manufacturing Private 3 years
4 Project manager Oil Private 2 years
5 Development leader Insurance Private 3 years
6 Automation architect Bank Private 3 years
7 Project leader/coordinator Energy Private 2 years
8 RPA analyst Bank Private 3 years
9 Project manager Bank Private 3 years
10 Strategic manager Bank Private 3 years
11 Advisor Health Public n/a
12 Process analyst/specialist Bank Private 4 years
13 IT and development leader Supplier Private 2 years
14 Development leader Municipality Public 2 years
15 CEO Wholesale Private 2 years
16 RPA team leader Public authority Public 1.5 years
17 Senior advisor RPA Health Public 2 years
18 RPA team leader Energy Private 1.5 years
19 Development leader Bank Private 2.5 years
20 Manager robotics Bank Private 3.5 years
21 Business developer IT Infrastructure Private 3.5 years
22 RPA manager Energy Private 2 years
23 RPA advisor Municipality Public 2.5 years
24 Project manager Bank Private 3 years
Work-related consequences
The finance industry stood out as a special case with longer experience with RPA, and
more focused on cost reduction. The respondents pointed at the strategic focus on cost
efficiency in their industry. Respondent 10 noted: “Yes, there is a lot of [downsizing] in
the finance industry. There are severance packages three times a year.” The strong push
for cost efficiency can be related to increased competition from new entrants with a
strong focus on digital transformation of the industry and the society. This has opened
up for new actors, such as Apple and Facebook, where Apple launched Apple pay that
forces the incumbent actors to push for more efficiency and innovation in systems
solutions and business models. Norwegian banks have therefore invested significantly
in new IT technology, which has increased costs and resulting in payroll cost reduc-
tions. The largest Norwegian bank (DnB) aims to reduce costs by approximately €200
millions by 2020 using RPA as one of the tools. One respondent (10) noted that his
employer did not reveal the full intension behind RPA: “We got a percentage estimate
of the workforce that would be replaced by this. My employer stated quite clearly that
no one in Norway would be sacked as a result of this. It was a sales gimmick to make
people positive.” Another respondent (14) from another bank noted that the strategy of
headcount reduction started before they implemented RPA – but that RPA has con-
tributed to achieving these strategic goals: “It was a strategic decision taken before we
started with RPA […]. RPA has been a very important contributor to achieving these
goals.” Respondent 10 added that RPA has influenced recruiting – they do not hire new
people; they employ RPA instead. Respondent 14 asserted: “We have had a quite
substantial reduction in headcount, and we process higher volumes than before we
started the layoffs.” Both respondent 10 and 14 argued that as RPA was more employed
for layoffs, the attitudes among employees become more negative. Respondent 14
noted that “People are afraid of losing their jobs […]. Those who [work in the pro-
cesses] are not always the ones that are most willing to assist [with the RPA effort].”
The picture is not as dramatic in other industries. Cost reduction and efficiency were a
major motivation but without significant effect on layoffs. For many companies, RPA is
a way to manage growth and higher process volumes. The respondent from the energy
sector noted that there was a push for both cost efficiency and digital transformation.
He asserted: “It has been a strong focus on innovation. [..] There has not been a lot of
innovation in this industry […] but [we] are in a technology shift in relation to digi-
talization. This comes from corporate management.” Respondent 5 from the manu-
facturing industry corroborated that digital transformation was a driver for change and
noted: “we have seen that we can achieve massive cost reductions from using digital
technologies. [It implies] new ways of working.”
Respondent 9 from the energy industry commented on headcount reduction: “No, it
is not the goal with RPA. It is more value adding work, pleasurable, less ‘mouse arm’
and such that are the benefits.” This was supported in the manufacturing industry where
respondent 6 noted: “We have not laid anyone off, and we have no intentions of doing
that. […] people have too much to do. […] there is always something else that you can
fill your days with […] that is more value adding or reasonable.” The respondent from
the supplier industry reported no layoffs due to RPA because of more customers and
work, and that it is too early to tell if RPA will lead to layoffs: “We grow without
[hiring] new people. […] RPA is a way to handle a part of the growth.”
The major motivation in the public sector for acquiring RPA was process and
service quality improvements. For health enterprises this means freeing up health
workers form administrative tasks to patient care. Respondent 4 noted: “We have very
little focus on [cost reduction]. […] if you save a few hours for a Chief physician, you
don’t reduce his hours, and he will spend his time more effectively on the tasks that he
should perform, for example with the patient. […] for us it is more freeing up time, and
to a great extent [achieving greater] quality.” Respondent 13 corroborated and noted
that a major goal with RPA was to increase patient security and freeing up health
personnel from administrative tasks. One respondent from a municipality noted that
cost efficiency was a major motivation for acquiring RPA as an inexpensive way to
solve systems integration problems, and that RPA reduced the need for new employees
with payroll cost reduction over time.
Consequences for knowledge workers
All companies interviewed pointed at positive consequences from more efficient work
processes with fewer routine tasks, and at new and more important tasks for the
company. These tasks were also more meaningful for the employees. Respondent 16
from the public sector asserts: “It has been a change in tasks where those tasks we still
do are those that need human judgement, but we have got rid of those boring tasks […]
so we can concentrate on new and unsolved tasks”. Respondent 15 from a wholesale
company adds: “In our case, workers work more with sales tasks which leads to better
market relations and increased sales – this is what makes a salesperson valuable”.
Respondent 19 from a bank argues: “They [workers] do other and newer tasks because
it [RPA] frees up capacity to prioritize differently and learn from new insight into
process and technology”. Respondent 18 from an energy company also point at
learning: “In those processes where we have had a full-time employee, we are working
to find new alternatives for them. Out in the business units there are plenty of tasks to
do, so business units are challenged to making sure that we learn to create value in new
ways”. Similar stories are told across industries and sectors. Companies point at the
increased efficiency created by the removal of routine task, which has created oppor-
tunities to take on new tasks and to learn new skills. This means that knowledge
workers are freed from mundane tasks and given new and more meaningful opportu-
nities. Still, this is not the whole story. Most companies were reluctant in admitting that
knowledge workers could lose their jobs. Rather, they argue that they meet downsizing
with automation or that retirement will not be met by recruitment, as respondent 24
from a bank asserts: “We have removed tasks from the regional offices, which has
made us downsize through retirement without laying people off”. Respondent 22 from
an energy company points to other effects: “We have some consultants in the company,
so one alternative is not to hire so many of those and [thus] create more value per
employee”.
Respondents from the public sector and across private industries point at the
communication around potential layoffs as challenging. Informant 20 from a bank
reports: “Cutting costs can be done in many ways. Everybody thinks immediately that
people will be fired as the only way of cutting costs. This is totally wrong because you
might rather use their time to do tasks that you so far have not been able to do in the
company, including new services and tasks that have been neglected for a long time.
You can simply do more with the same workforce and thus save money”. The difficulty
of talking about layoffs was further elaborated by respondent 23 from a public com-
pany: “You cannot brag too much about how many positions you have saved up
because you have to keep managers, workers and unions happy”.
5 Discussion and Implications
This research explored how RPA are used to transform work (RQ1) and what conse-
quences are for knowledge workers (RQ2) in Norwegian organizations. We identified
several interesting issues in the quantitative phase that was further explored in the
interviews, and in a combined analysis. The main contribution of our work is to refute
the assertion that RPA will not lead to layoffs among knowledge workers [14]. Our
findings demonstrate no reason to believe that knowledge workers are exempt from the
consequences of RPA. While RPA has mainly been seen as a tool for liberating
knowledge workers from tedious tasks, we found that RPA is indeed used for layoffs
among knowledge workers, particularly in the finance industry. This industry has
longer experience with the RPA than other industries and the public sector in our data,
and it is reasonable to assume that financial companies are among the most mature
RPA users. The finance industry had significantly more reduction in headcount than the
other industries. The interviews showed that the reduction came from reduced hiring
and layoffs, even though RPA in one instance was sold in as not leading to layoffs, but
indeed used in this way eventually. This contrasts case studies of Lacity, Willcocks and
Craig [15, 16] and the assertion that RPA will not lead to layoffs among knowledge
workers [14]. One might ask why the myth that RPA will not lead to layoffs for
knowledge workers seems so persistent? Obviously, being open with the fact that
knowledge workers risk losing their jobs would create socio-political resistance against
RPA. Resistance from knowledge workers is probably more challenging than resis-
tance from regular workers, and silence to avoid resistance, combined with the like-
lihood that reduced need for knowledge workers emerges over time, stand out as a
potential explanation for the myth. Until recently, it was perceived that jobs susceptible
to automaton were in the middle of the workforce skill spectrum [9], leading to a
decrease in jobs in this skill spectrum [10]. Technological development in cognitive IT
technologies such as AI and machine learning enables automation of tasks that require
human judgment [13, 17]. We argue that when RPA applications are programmed to
access such cognitive IT applications, they can automate most knowledge worker
assessments and reduce the need for most types of knowledge workers.
Studies of RPA implementation indicate that 30–50% of projects fail (Hindle et al.
2018 according to [18]) and one important reason is lack of stakeholder buy-in. We
argue that it is important that management is realistic and open about the consequences
of RPA adoption, and not paint an unrealistically positive picture. The management of
any organization will always be looking for ways to improve the bottom line, and we
argue that RPA is a handy tool for reducing personnel costs. We further conjecture that
RPA will enter the management’s standard toolbox as organizations become more
mature RPA-users, and RPA will be used to reduce personnel costs. For organizations
needing to reduce costs and improve efficiency, like businesses in the finance industry,
layoffs are relevant. Thus, we raise the following proposition: P1: As organizations
gain experience with the RPA technology, they will use it more extensively for reducing
personnel costs, including laying off among knowledge workers.
The finance industry has little room for differentiation [4, 5] and experiences a
strong focus on cost leadership and efficiency. It not surprising that RPA has been
utilized for achieving cost reduction. We believe that the same logic applies for any
industry with a low differentiation, and for companies with a cost-leadership strategy in
any industry. We therefore argue that organizations or industries with little differen-
tiation, and thus a strong focus on cost leadership, will find RPA attractive for reducing
costs. We raise the following propositions: P2: Industries with little product or service
differentiation will use RPA more for reducing personnel costs, including laying off
knowledge workers. P3: Organizations with little product or service differentiation will
use RPA more for reducing personnel costs, including laying off knowledge workers.
Second, public sector organizations had a limited focus on personnel cost reduc-
tions from RPA and instead focused on increasing service quality by freeing up per-
sonnel from administrative tasks. RPA can be a valuable tool to improve public sector
services, especially in public sector health enterprises struggling to cope with a growing
need for elderly healthcare in Norway as in other industrialized countries. We saw that
municipalities used RPA for reducing payroll expenses, and we argue that even if
organizations in the short term may use RPA to free up knowledge workers for more
meaningful tasks, RPA will eventually enter management’s standard toolbox, and be
used to cutting personnel costs among knowledge workers. Some benefits will be
achieved by giving employees new job assignments, but we argue that knowledge
workers are not exempt from economic reality and may become redundant. We expect
that RPA will lead to layoffs of knowledge workers, and we forward the following
propositions: P4: RPA will be used to improve service quality in the public sector. P5:
RPA will lead to layoffs among knowledge workers in the public sector.
Third, quantitative analysis showed that organizations with the longest experience
with RPA in operations had larger effects from cost reductions, innovation, quality and
reduction of mundane tasks. These findings illustrate that operational tasks are the most
important application area related to the creation of products or services. In the finance
industry such processes could be loan application processing, and in the manufacturing
industry it could be quality documentation processing. Further research should address
how RPA is utilized in various functions and look at variations in the effects.
Our exploratory study has several limitations. First, no database of companies using
RPA existed at the time of study, necessitating a snowball sampling with low control
with how the sample represents the population. Second, automation with RPA is highly
dynamic and change as new cognitive technologies emerge, challenging our use of
concepts related to automation and knowledge work.
Acknowledgements. The authors will acknowledge Admir Begovic, Ole Aarsnes, Christian
Thorne, and Erik Zetterquist for their work in collecting survey data and conducting the
interviews.
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Co-creation for Digitalization: A Study
of Co-creation in Norwegian Business Clusters
Dag H. Olsen(&), Tom Roar Eikebrokk, Kristian Aspø,

and Elaine Sajets
University of Agder, Kristiansand, Norway

{dag.h.olsen,tom.eikebrokk}@uia.no
Abstract. There is a growing emphasis on digitalization in research and

business practice. The rapid progress in digital technologies compel firms to
innovate and transform their businesses. One way to improve the capacity to
innovate and transform is to cooperate with others. However, there is a general
lack of research on how co-creation among businesses can facilitate digital-
ization. This qualitative study explores how co-creation among businesses can
stimulate and facilitate digitalization.
We have investigated co-creation activities involving companies in business
clusters. This paper reports from a study of three business clusters in Norway.
We conducted an inductive qualitative study comprising semi-structured inter-
views as the primary empirical data source. 12 interviews were carried out with
informants from three clusters. We found that the co-creation arenas and
activities in the business clusters stimulate and facilitate digitalization among the
cluster companies. We also addressed the most significant drivers and barriers to
co-creation to get a deeper understanding of the co-creation phenomenon.
Keywords: Co-creation Clusters Digitalization
1 Introduction
Digital innovation has caused disruptive changes to the economy [1], and there is rapid
change in many industries due to digitalization and digital transformation [2]. The fast
progress in digital technologies generates a pressure on firms to innovate and transform
their businesses. Organizations need to understand how to implement digital tech-
nologies and innovative business concepts [3]. Digitalization is very challenging for
most organizations who struggle with understanding the opportunities and conse-
quences to their business [4]. The task is especially challenging for small firms due to
their general lack of resources [5]. One way to develop the capability to innovate and
transform is to cooperate with others [6]. Businesses are increasingly seeking multiple
partners to be more successful in applying digital solutions and achieving digitalization
[7]. However, instituting and effectively managing a co-creation strategy is challeng-
ing, and potentially leading to tensions between companies [8].
Our aim has been to explore how firms can co-create with other businesses to better
cope with the challenges and opportunities of digitalization. We have therefore looked
for arenas where firms co-create, and we conjectured that business clusters would be

https://doi.org/10.1007/978-3-030-44999-5_11
Co-creation for Digitalization 127
appropriate arenas. Business clusters have some common elements of cooperation and
common activities for the benefit of the cluster companies. We have therefore
addressed how co-creation among businesses can contribute to digitalization among the
cluster members. We thus raised the following research question: How does co-creation
contribute to digitalization in business clusters? To answer this main research question,
we raised three more specific research questions: What are the drivers for co-creation in
the business clusters? what are the barriers for co-creation in the business clusters? and
how does co-creation influence digitalization in the business clusters? By addressing
the drivers for co-creation, we would improve our understanding of issues and activ-
ities that contributed to the co-creation of digitalization. By addressing the barriers for
co-creation, we would get a better understanding of key issues that hampered the co-
creation efforts. This would give us a deeper understanding of the how the co-creation
activities addressed these issues in order to stimulate co-creation in the clusters.
The paper is organized as follows: The next sections present related work on co-
creation. Then we present the research method, followed by the results and a discussion
of potential implications for further research. Finally, we present the conclusion.
2 Background
The management literature has for many years acknowledged the significance of
interdependence between enterprises, resulting in social relationships and networks [9,
10]. Such connections have provided the participants with the capacity to create
opportunities for competitive advantage through new sources of information. A rising
stream of research has conceptually described these collaborations as co-creation. This
research can present substantial input to innovation processes [11]. These networks can
enhance competitive power by forming shared sources of value creation through co-
creation [12]. This collaboration is especially valuable when the market is dynamic,
and the enterprises have limited resources for innovation. Firms collaborating in such
networks contribute knowledge and resources in co-creating interpretations and
responses. This co-creation relates to an array of corporate issues such as supply chain
utilization, service innovations and of information technology implementation [13].
There is a dearth of research on the nature of co-creation in various contexts and how it
can be managed [14, 15]. There is a need for more research on issues such as how do
companies that are not suppliers or customers to each other, collaborate horizontally in
business networks, and how does co-creation as a dynamic process contributes to the
value-creation of the enterprises and the whole ecosystem [11].
The literature has identified various factors that influences collaboration in a cluster.
Lack of resources, both human and financial, can lead to hesitation among member
companies when it comes to participating in innovation [6]. Trust has also been found
to have a major impact on collaboration. In a case study by Sarker, Sarker, Sahaym and
Bjørn-Andersen [16], the authors found that trust, goodwill and commitment are
important drivers for member companies to commit resources for generating new
products and services. Other findings are issues such as lack of incentives, leadership
and a clear common vision. Such issues are important barriers that must be dealt with to
128 D. H. Olsen et al.
create a fertile co-operation environment [6]. There are many potential benefits from
co-creating, and substantial benefits can come from sharing knowledge and data [6].
Knowledge sharing is seen as the heart of collaboration and can act as a driving
force for change and better understanding of customer preferences [17]. Nevertheless, it
is a difficult balancing act for many companies to share their knowledge without giving
up competitive advantage [18]. Furthermore, we find that increased competitiveness,
increased usability of collaboration tools (if done correctly) and greater focus on
customer data [6, 19] are advantages that can be achieved by co-creation. In SMEs, we
see that IT-facilitated collaboration between companies can increase, and it can make
members more proactive. It can be a challenging task to get such a collaboration going,
but it can lead to improved performance [20]. In companies with few resources and
employees, IT-facilitated collaboration systems can be helpful if they cooperate [6, 20],
and customer loyalty and retention may increase upon establishment of such co-
creation services [17]. We argue that resources are key to realize value form co-creation
[21]. We therefore adopted the resource-based view (RBV) of the firm [22, 23] as an
analytical lens.
Digital transformation can be defined as a major change in how business is con-
ducted due to digital technology [2, 24, 25]. The term digitalization usually has a more
limited interpretation; it is about leveraging digital technology to modify socio-
technical structures [25]. We have adopted the term digitalization, to also include minor
changes to the business models. There are many definitions of digital innovation [25].
What is generally common elements is that it is perceived as something novel, and that
it is based on digital technology [26, 27]. Osmundsen et al. [25] build on these defi-
nitions, and emphasizes that digital innovation is a process (to innovate) as well as an
outcome, and is about “combining digital technology in new ways or with physical
components that enables socio-technical changes and creates new value for adopters.”
Business clusters that we know today started back in the 1950s with the production
of ceramic tiles [28]. It was in a small Italian town named Sassuolo in the Emilia-
Romagna area [28]. It wasn’t until the early 1990s that clusters and cluster projects
really came into focus through the research by Michael E. Porter [29]. This created an
interest in clusters and their potential for innovation, knowledge sharing, collaboration,
networking and growth [30]. Clusters can be defined as “[…] geographic concentra-
tions of interconnected companies, specialized suppliers, service providers, firms in
related industries, and associated institutions (e.g., universities, standards agencies,
trade associations) in a particular field that compete but thus cooperate” [29].
We next present the research approach and the three business clusters we
investigated.
3 Research Approach and Setting
We conducted an inductive qualitative study comprising semi-structured interviews as

the primary empirical data source. 12 interviews were carried out with informants from
three clusters, see Table 1 for an overview of the informants.
Table 1. Overview over interviewees.

Cluster Informant Position Company size Role in cluster Interview date Duration
A A1 Project leader N/A Cluster mgmt 02.15.2019 01:02
A A2 Senior engineer SME Member company 03.12.2019 00:58
A A3 CTO Large Member company 03.21.2019 01:08
A A4 CEO SME Member company 05.09.2019 00:54
B B1 CEO N/A Cluster mgmt 02.26.2019 00:44
B B2 CEO SME Member company 04.01.2019 00:53
B B3 Project leader SME Member company 04.11.2019 00:34
B B4 Project leader Large Member company 04.23.2019 00:35
C C1 Member N/A Cluster mgmt 04.11.2019 00:58
C C2 CEO SME Member company 04.02.2019 00:35
C C3 CEO SME Member company 04.02.2019 00:33
C C4 Member N/A Cluster board 04.02.2019 00:22
The interviews were mostly conducted face-to-face at the companies’ sites. A few
interviews were conducted over telephone. The interviews lasted from 22 min to over
one hour, and they were taped and fully transcribed. The interviews were largely
dialogue-based. Secondary material in the form of document studies was also utilized
[31], and included information and documents available through the clusters’ web
pages. Due to requests for anonymity, no personal data were registered in the tran-
scripts. The transcripts were then moved into the NVivo analysis tool. The empirical
material was systematized and reduced [32], and we performed a content analysis.
Business cluster A consists of approximately 100 member companies, mainly in the
energy and maritime sector. They are suppliers of technology, products and services.
The cluster focuses on building competence and conducting research and training with
national and international partners. The goal of the cluster is to strengthen competi-
tiveness, improve the development of new products and services, and to apply
knowledge and technology to new markets in a sustainable way. The cluster arranges
and facilitates meetings, conferences and courses, in Norway as well as abroad. The
cluster also runs several types of projects for cluster members.
Cluster B consists of more than 100 member companies and over 40 municipalities
and other public actors. The cluster focuses on innovation, research and business
development within health and welfare technology. The cluster focuses on innovation,
research, development and export of products and services. Through collaboration,
knowledge sharing and business development, they aim to strengthen the member
companies. The cluster also aims to develop the market for health and welfare tech-
nology - both in the private and the public sector. There cluster arranges many events; it
is everything from member meetings, innovation forums, conferences and courses for
specific projects. They also have one innovation lab where member companies can test
out various technologies.
Cluster C consists of just under 100 organizations from finance, insurance, aca-
demia and technology. The cluster focuses on financial technology, including inno-
vation, growth and value creation. The main goal of the cluster is to make finance easy,
and they work to increase export of Norwegian financial technology. The cluster
organizes and facilitates several types of conferences, workshops and seminars - both in
and outside Norway. In addition, there are many projects run by the cluster, where the
idea for some of the projects has come from brainstorming events in the cluster.
4 Results
The interviews generated several drivers and barriers. The drivers and barriers emerged
from the interview transcripts. Table 2 shows the drivers and barriers noted by the
informants. An “x” means that the informants agree on this issue, and an “o” means
that they do not fully agree on this issue. We found that the main drivers are knowledge
sharing, networking and having a proficient cluster management. The main barriers are
the competition between cluster companies and the costs of cluster activities for the
small member businesses.
Table 2. Drivers and barriers for digitalization.

Informants: Cluster A Cluster B Cluster C
A1 A2 A3 A4 B1 B2 B3 B4 C1 C2 C3 C4
Drivers
Knowledge sharing x x x x x x x x x x x x
Networking x x x x x x x x x x x x
Creating visibility x x x x x
Access to resources x x x x
Insight into new markets x x x
Cluster management x x x x x x x
Barriers
Time x x x x x x x
Costs x o x o o o x o x
Competition x x x x x x x
Little activity x x x x x
The informants from the three clusters had similar conceptions of the term digi-
talization. A common element among informants from cluster A was that digitalization
is about employing technology to make “things simpler”, for example making infor-
mation more accessible. Informant A2 noted that the industry is quite conservative,
making it difficult to get support for disruptive changes. Two of the informants in
cluster A viewed digitalization as primarily the application of existing technologies.
The focus was thus on improving rather than replacing. Informant A2 provided the
following examples: automated monitoring of windmills and automated monitoring of
maintenance requirements. This would be through sensors to monitor and report.
Informant A1 noted that “the technology in itself is not important; it is what you can do
with it for the business.” Informant A1 further commented that a recent report found
that enterprises with 10 to 250 employees struggle the most with digitalization – “they
are big enough to make it complicated, but do not have the resources needed.”
All informants in cluster B had an almost equal view of digitalization, what it

implies and what opportunities this may entail in the flow of information. It was
perceived to be about how to use data or digital tools to improve processes, automate
processes and get different systems for talking together. Informant B2 noted that their
perception of digitization depends on the context. Within the enterprise, digitization
focuses on the collection and use of data to improve various health indicators among
patients. Beyond this, they pointed out that they are working to make municipalities
understand “how the digital data makes it much easier for them to understand things”.
Informant B4 corroborated this view, and he emphasized that digitalization meant “[…]
how can we improve efficiency and work smarter”. It was further observed that digi-
tization was also important for management in terms of change management. Informant
B1 stated that “Digital tools or digital technology give you other opportunities to do
things in a completely different way.” Informant B1 brought up the term disruptive as a
key word for “new ways to operate your [company] that new technology enables,” and
pointed out that digitalization has top priority in the health sector.
Informants from cluster C emphasized process automation and application of
technology as key digitalization matters. Informant C1 noted that digitalization is about
“how technology can be used for a good user experience […] That’s the key.”
Informant C4 from the cluster management also viewed customer experiences as the
main focus. However, informant C4 emphasized that they need a precise definition.
Informant C4 explained that “You have quite a few options then, with computing
power and sensors and digital tools, to solve tasks that people had to solve [before].
That’s probably the big picture digitization for me.” Informant C2 explained that
“Within our industry, digitalization is about creating, often moving certain tasks that
have been manual over to smartphones, so that consumers can access it in better way.
So, yes, it is really there to facilitate everyday life and optimize and automate processes
to a large extent.”
The interviews showed that the three clusters have several arenas for co-creation.
The informants from cluster A emphasized arenas such as workshops, conferences,
courses and co-creation projects. The project manager from the cluster administration
estimated that they currently had approximately 30 cluster projects, either ongoing or
about to start. Two of the informants from this cluster emphasized a test laboratory that
they sponsor, where a university is the main owner. This is a lab where the cluster holds
workshops with member companies, where they are exposed to emerging technologies,
such as AR, VR and 3D printing. This has been seen a way to extend the member
companies’ scope outside the oil and gas industry. Informant A3 noted that “Then one
realizes that many of these companies needed such a test lab. Then it was no longer a
one-sided focus on drilling and oil exploration, it was a [quite] broader [focus].”
Several informants underlined that the oil and gas industry is very conservative, and
that it was very beneficial that the member companies were exposed to opportunities
and challenges related to new technology. Informant A1 noted that “We also have
workshops on strategy and business development […]. How will the new digital
technology influence [the cluster companies]? What do they need to do today to [be]
where they want to be 5 to 10 years [from now]?” We see from these examples that this
cluster has many co-creation activities that encourage and support digitalization efforts
among cluster companies. Table 3 shows which co-creation arenas was noted by the
informants.
The informants from cluster B would use terms like building relationships and
networks, and raising competencies and innovation, when describing the cluster
activities. The cluster has focus on creating programs that would be beneficial for the
members, efforts to raise competencies among members, arranging co-creation projects
and fundraising. This cluster focuses on health technology, and it has therefore a strong
relationship to the public sector, since this marked is dominated by the public
healthcare system. Informant B1 asserted that: “[…] since it is about health [technol-
ogy] in the public sector, we need to [focus on] developing the market too. It is quite
immature. […] We work quite a lot with developing the Norwegian health industry.”
Informant B2 corroborated this, and he added that “[…] having the local municipalities
as members meant quite a lot, since then we had a sparring partner we could learn
from.” We therefore conclude that the co-creation activities in this cluster clearly
promotes digitalization among cluster companies.
Table 3. Co-creation arenas noted.

Cluster A Cluster B Cluster C
A1 A2 A3 A4 B1 B2 B3 B4 C1 C2 C3 C4
Hackatons x x x
Conferences x x x x x x x x x x
Courses x x x x x x x x
Digitalization Lab. x x x x x x
Seminars x x x
Brainstorming sessions x x x x x x x
The informants from cluster C emphasized activities stimulating co-creation such as

networking and knowledge sharing. Informant C1 noted that the cluster facilitates
travels to industry conferences and gathers members for joint travels: “they dine
together, have breakfast together, they attend [conference sessions] together, so [they]
become good friends. [Networks] are made there”. This contributes to stronger ties
between people in the cluster, and it creates a stronger cluster identity and a network
between people in the cluster companies. All informants emphasized the importance of
networking activities for gaining deeper understanding of the challenges and oppor-
tunities related to digitalization. Informant C2 noted that they have found a business
partner (in the cluster) that is proficient on machine learning, through the cluster
networking activities. Informant 3 pointed out the importance of being visible in the
cluster, and that the network they get access to, is very interesting, and described that
this is an “investment in the future”. We therefore find that significant co-creation
activities were aimed at improving digital competencies and skills among cluster
companies, and thus to the digitalization of these companies.
5 Discussion
We have explored how co-creation contributes to digitalization in three Norwegian

business clusters. We found that co-creation is an important vehicle for digitalization
among the individual member companies. By addressing the drivers and barriers for
co-creation, we were able to achieve a better understanding of co-creation as a phe-
nomenon, how co-creation manifests itself and the important factors related to
achieving co-creation in practice. We will elaborate on the various factors below.
We conjectured that three drivers were particularly significant for achieving co-
creation in the clusters. First, networking activities were perceived as a major driver for
co-creation. This is consistent with the literature on business clusters (e.g. [33]), which
views network building as one of the most common cluster goals. All informants in the
three cases emphasized this as one of the main drivers for membership. Some com-
panies joined the cluster to get access to new customers or partners, while others saw
the cluster as an opportunity to develop new competences and capabilities. Regardless
of the corporate intention, the clusters arrange various activities that facilitate net-
working among the members. We conjecture that such activities were essential to
create arenas for co-creation. These activities could be reserved for cluster members, or
they could include public institutions outside the cluster as well as members of other
clusters. This is also consistent with Porter’s [29] finding that involving and activating
cluster members of all sizes is important for collaboration and community.
Second, related to this, we found that knowledge sharing was also a major driver
for co-creation. The companies see clusters as a place to go to meet other companies in
an informal setting. Informal arrangements like this have proven to lead to friendship
which is important when it comes to building trust [34]. When the members of a cluster
increase their trust in each other it can lead to more knowledge sharing. Networking
activities create relationships and build trust between companies. This can create an
arena for exchanging knowledge and experience among the cluster members. This is
consistent with the literature, which points out that knowledge exchange is central in
collaboration [6], and a driving force for change [17]. In our literature review, we
uncovered two activities related to knowledge sharing that is consistent with our
findings [35]:
• Co-inform: Common to all three clusters is the newsletter that the cluster man-
agement sends out to the cluster members by email. The newsletters convey
activities and opportunities in the cluster, as well as providing information on
ongoing and new projects. They also have websites where, among other things, they
present the cluster members.
• Co-learn: Both Cluster A and Cluster B offer their members access to a test lab
where they can access technology that they might not otherwise be able to afford.
Such labs are important for companies, regardless of available resources, to test new
technological trends and get access to useful knowledge. In this way they may get
the ability to identify appropriate technology. Research has demonstrated that
testing out new technological trends is important in order to further develop your
business processes [33], and that digital technology can have a direct impact on how
businesses innovate [1].
Third, we also found that cluster management was also an important driver. Many
of the respondents emphasized that it was easy to get access to the cluster management.
This made it easy take initiatives, for example to make request for training or to
propose topics for cluster seminars. We therefore conjecture that a strong cluster
management is important for initiating and supporting co-creation activities.
We identified two significant barriers. First, competition among the members is a
significant barrier. We saw that informants generally are positive to sharing compe-
tence, but also that a majority of them are hesitant to share strategies or concepts where
time to market is an issue. The literature also emphasizes the perils of sharing
knowledge with competitors, and it may relinquish competitive advantage [18].
Second, most informants did not perceive membership costs as a significant
problem, especially informants from large enterprises. However, the informants that
believed that costs was an issues, felt that there should not be a membership fees for
small businesses. Also, several informants from small enterprises noted that the costs of
participating in cluster activities was sometimes prohibiting small member companies
from participating. This is consistent with the literature, which has demonstrated that
limited human and economic resources can be a significant challenge for co-creation
[6]. Several informants noted that the projects could last a long time, and this would
reduce the interest among the participants. The longer the time between the workshops,
the higher the likelihood would be of members withdrawing from a project [25].
The activities in clusters are usually based on input from its members. Most
informants noted that it was easy to get access to the cluster management, and that it
was easy to propose topics for activities or projects in the clusters. It was generally
perceived that it was a short way from proposing a new topic to set up a project through
a brainstorming session. This can lead to digital innovation through the co-creation of
new products or services [15, 25]. This supports the argument that clusters drive
innovation. Sölvell et al. [33] argue that there are three critical arguments for why
innovation tend to be connected with clusters: (1) the need for incremental reduction of
technical and economic uncertainty, (2) the need for repeated and continuous inter-
action between related firms and specialized institutions (including research and edu-
cation), and (3) The need for face-to-face contact in the exchange and creation of new
knowledge. Our findings demonstrated that the three clusters in this study facilitate
resolution of all those needs.
We saw that the clusters offered the members arenas where co-creation processes
could take place. The clusters would arrange brainstorming events where members
from various topical areas could discuss ideas and solutions related to perceived market
needs, facilitate co-creation projects, and aid in the application for external funding.
Such processes were vital to stimulate co-creation of digital innovation and digital-
ization in all three clusters.
Based on the findings and the discussion above, we argue that co-creation can be an
important avenue for digitalization, digital innovation or digital transformation of
companies. We contend that this is particularly true for the companies that have limited
human and financial resources, such as small and medium sized enterprises. Such
companies have limited resources to implement digital technologies and innovative
business concepts. We therefore see co-creation arenas, such as business clusters, as
beneficial for the digitalization of such companies.
6 Conclusion
This study has explored how co-creation can contribute to digitalization among com-
panies in business clusters. We found that the co-creation arenas and activities within
the business clusters stimulate and facilitate digitalization among the cluster companies.
The study also addressed the most significant drivers and barriers to co-creation to get a
deeper understanding of the co-creation phenomenon. Co-creation arenas, such as
business clusters, can be very valuable for companies that do not have substantial
resources to devote to innovation activities, such as digitalization and digital
transformation.
This research has several limitations. It was performed in three clusters with a small
number of informants and, therefore, has limited generalizability. Further research
should explore this pertinent issue in other contexts, using the present research as a
basis for subsequent quantitative studies to provide generalizable results. Such results
can contribute to a better understanding about how organizations can co-create with
other organizations in order to innovate and transform, and thus contributing to the
theory on co-creation. This will be particularly beneficial for resource poor organiza-
tions, such as small and medium sized enterprises.
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A Framework for Industrial Internet of Things
Jacques Jansen and Alta van der Merwe(&)

Jansen_CJ@outlook.com, alta@up.ac.za
Abstract. The Industrial Internet of Things (IIoT) is a new concept that has the
potential to add value to any industrial organisation that wants to embark on the
implementation thereof. Due to this newness of IoT in industrial operations, an
increase in cost and maturity in terms of data handling, together with only a few
implementations. There was a gap in available practical IIoT frameworks that
could aid interested parties in the understanding of the constructs of IIoT and the
practical implications of implementation. Within this study, we propose an
Industrial Internet of Things framework intended to aid academic, technical and
management persons in understanding the different considerations of the
Industrial Internet of Things. This framework could also apply as a basis for
implementation considerations.
Keywords: Cloud services Industrial Internet of Things (IIoT) Machine-

to-machine (M2M) communication Supervisory Control and Data Acquisition
(SCADA)
1 Introduction
The Internet of Things (IoT) is an increasingly growing topic of interest and a regular
discussion point in the information technology arena [1]. IoT could potentially change
the traditional approach to the use of the internet. In the future, the goal of IoT is the
unification of all “things” under a shared infrastructure, whereby network-connected
sensors will be able to collect data from the surrounding environment. The collected
data can then be shared across the internet to be processed and changed into meaningful
information for various reasons [1].
Muntjir, Rahul and Alhumyani [2] describe the IoT as the linkage between the
physical world on the one hand and the cyberworld on the other with the help of items
or objects that possess sensing abilities and transmit the measured results via a network
to achieve a purpose. There is an ever-increasing number of objects, from home
appliances to smartphones, connecting daily to the internet or internet-like structure [3].
IoT can change the way that industrial organisations perform in terms of safety and
production. Safety and production improvements would have a positive impact on any
large industrial sectors; the focus was on mining operations as a significant industrial
player.
Sensor prices have had a steady decline in their pricing, therefore becoming more
affordable [22]. Senors are an essential part of the IIoT architecture. Parallel to the
decrease in sensor prices, there have been advancements in big data handling, artificial

https://doi.org/10.1007/978-3-030-44999-5_12
A Framework for Industrial Internet of Things 139
intelligence and machine learning. The IIoT could only recently be implemented in
industrial sectors because of this maturity and affordability of the analytics and sensors.
Consequently, only a few IIoT implementations have been completed in the industrial
environment [23]. Further to this, the literature on IIoT frameworks that could assist
companies in implementing an industrial IIoT solution is not readily available. The
unavailability of IIoT implementation frameworks presented a research gap that this
research would address.
If relevant literature or guidelines in the implementation of IIoT existed on this
topic, it would enable more industries to implement and leverage the advantages of
IIoT in a shorter period too. The benefit of clear guidelines in the industrial sector
would mean that implementations could realise some objectives of improvement on the
safety and efficiency of an IIoT solution faster.
The researchers present an IIoT framework within Sect. 4 to aid technical and
management persons in understanding the different considerations of the IIoT. The
research was conducted to inform industries of the needed aspects to implement an IIoT
solution. This framework could be used as a basis to inform technical and business
decisions on the different layers of the IIoT. The IIoT framework would help product-,
technical,- and business-level decisions. The IIoT framework would further aid to
unlock the benefits that the IIoT could have for industrial organisations. The proposed
framework could be referenced as a basis for future research on the topic.
2 Literature Review
2.1 IIoT
Muntjir et al. [2] describe the IoT as the linkage between the physical world on the one
hand and the cyberworld on the other with the help of things or objects that possess
sensing abilities and transmit the measured results via a network to achieve a purpose
[2]. Within this definition, the basic building blocks that the IoT consists of are pre-
sented as the sensing objects used in the measurement of metrics such as flow, pressure,
temperature position and vibration, and the network that communicates the result to a
higher decision-making engine. The same definition applies to the IIoT domain; the
only difference is that the IIoT is mostly focused on industrial applications.
The IoT is instrumental in delivering disruptive change to segments such as agri-
culture, healthcare, utilities and the government. The IIoT, a portion of the all-
encompassing IoT, focuses on industries such as mining, oil and gas, manufacturing
and utilities [4].
2.2 IIoT and Mining

Mining, as an industrial representer, plays an essential economic role in South Africa.
The Chamber of Mines [5] showed the employee earnings within the mining sector
amounted to R120 billion, with mining contributing R304.4 billion to the gross
domestic product for the year 2016. The mining sector created 457,698 jobs and
supported approximately 4.5 million dependents.
140 J. Jansen and A. van der Merwe
Statistics South Africa indicates a rapid decline in mining and mining-related

activities. “Historical values of the gold index show the extent of how production has
fallen. In January 1980, the index was 359.0, while the volume of gold produced was
far lower in January 2015, resulting in the low index of 48.4. In other words, South
Africa produced 87% less gold in January 2015 compared to the same month in 1980”
[6].
Major [7] was addressing mining representatives at the Johannesburg Stock
Exchange Power Hour in May when he said that “gold mining has lost a million people
in 30 years”. He [7] explained, “People say our gold mines are closing because of lower
grade ore, but we know better than that. It is not about grades; it is about efficiencies
and cost. We are taking out as many ounces of gold per employee now as we were in
1907 when we were using picks and shovels.”
South Africa’s gold sector that once was the world-leading gold producer needs to
increase its mining production efficiency to avoid vanishing entirely by the year 2020,
especially after being rated sixth in the world [7]. The statistical data from Statistics
South Africa confirm Major’s claim.
In assessing the status of IIoT in the industrial organisations, especially mining, the
research of the company Inmersat [8] indicated that in 2017 only 12% of mining
representatives had implemented IIoT solutions to a degree or a full extent. The World
Economic Forum [9] predicts that the expected impact of digital transformation on the
mining industry is in the region of US$ 428 billion and US$ 784 billion. Key con-
tributors to the expected monetary implications could be underwritten to the potential
realisation of the advantages in terms of higher production and the ability to optimise
equipment, as described by Merry [10]. IIoT also has the potential to address the
challenges of the South African mining industry, which O’Conner [11] has indicated to
be in terms of:
• A reduction of water and energy resources
• Employee health and safety
• Improved production by the use of automation
• Decrease in waste
Within these industrial operations, there is already an abundance of data that are
accumulated with sensors already implemented in existing mining operations – or
better known as brownfields sites. The challenges of most of these data are stored and
visible in different systems [12]. This data need horizontal integration across the value
chain, vertically from the field to the control and from planning to maintenance [12].
The IIoT information could assist organisations in determining inefficiency within
processes and improve the personnel work life by a reduction of effort on lesser
essential aspects. This information could also assist in the identification of problems at
an earlier state with subsequent business improvement.
The purpose of this research was the development of the IIoT framework that
should aid technical and management persons in understanding the different consid-
erations of the IIoT to achieve the benefits as described above.
3 Research Design
The study was a qualitative interpretive study where we had the benefit of a prior
insight into the context of the constructs of IIoT frameworks with an understanding that
it needed further investigation because of the complexity and unpredictable nature of
one’s knowledge of reality [13]. The prior insight was obtained with the help of
literature studies on the subject matter. As part of the qualitative research design, we
explored experiences through interviews and focus groups since qualitative research
focuses on in-depth opinions from the participants [14].
A case study approach was used as a research strategy. The case studies used were
from industrial organisations represented by mining, food and beverage and logistics
companies within different locations throughout South Africa. The case studies were on
successful IIoT implementations within these Industrial organisations.
The sample size in this study consisted of ten respondents and insight into the
research subject was obtained through the use of an eighteen-question interview guide
attached as annexure 1This interview guide These representatives drew insight into the
subject matter from years of experience and involvement in different IIoT cases within
South Africa industries. Three of the respondents were ICT architects, and another
three were from IIoT implementation companies. Two respondents were IIoT project
managers, one a representative from IIoT communication and network provider
specifically for IIoT and one was a representative of an IIoT software organisation that
supplies the software platforms for IIoT. Annexure 2 contains specific details on the
respondents. These respondents were from different language groups and social
backgrounds. Purposeful sampling was conducted, which means that we recognised
and hand-picked people with specific knowledge and experience in the field under
study [19].
During the analysis stage, data were coded into themes and categories where the
following actions were followed to analyse the data: Interviewee data were captured via
a voice recorder and transcribed via transcription software; the allocation of codes to
data and similar data that were present in other transcripts received the same code as
part of the analysis, writing of comments and notes; the sorting of data occurred
according to themes; then grouped into the applicable themes according to the “the-
matising” idea of Mitchell and Jones [20]; the themes were then further explored and
elaborated upon and then grouped into categories.
4 The IIoT Framework
From the data obtained by interviewing the IIoT experts and with reviewing of liter-
ature on IIoT three main categories with their themes emerged that was used to compile
the IIoT framework as per Fig. 1: The IIoT framework. These Categories and themes
are
• The IIoT architecture: The IIoT architecture as a category held four themes, namely
the hardware and software components, the security aspects of the IIoT and the
communication within the IIoT.
• Category of implementation: The category of implementation considered the

themes of pre-implementation, implementation and post-implementation.
• The knowledge category of IIoT: The knowledge category of IIoT consisted of the
advantages, disadvantages and training and awareness.
A discussion follows on the categories and themes that form the IIoT framework.
Fig. 1. IIoT framework
4.1 IIoT Architecture

The IIoT architecture, as described in the IIoT framework, is an integrated set of the
components needed for the success of IIoT Without the architecture, consisting of
hardware, software, security and communications, there would be no means to gain the
benefits of the IIoT. Figure 2 was constructed from the architecture within the literature
as described by Pena et al. [21], Boyes et al. [22] and Holdowsky et al. [25] These
views were taken into account together with the responses from the interviewees in
constructing the needed architecture as depicted in Fig. 2. The constructed IIoT
Architecture did not take into account the suggestions of the addition of a data vali-
dation layer as described by the works of Kristofferson et al. [26]. This additional view
could complement the proposed IIoT Architecture in Fig. 2.
Concerning Fig. 2, the data generation layer contains the measuring devices, also
called things in the IIoT domain, that measure different parameters. These devices
consist of hardware and software components. There could be machine-to-machine
communication within the device level, and the various communication protocols are
of relevance. Automation could also be within this level of IIoT. Security on this level
is necessary to ensure data integrity and to prevent stoppages in the production
Fig. 2. IIoT architecture as discovered from the literature and interviews
environment. Measuring devices could communicate wirelessly with the data collect
and store layer, and a high level of robustness is needed for the continuous functioning
of the hardware. Data flow from this lower level to the data collect and store layer.
The data collect and store layer identified from the findings also consists of a
hardware and software component. The hardware could be locally on the premises or
make use of off-site cloud services. The hardware is used in conjunction with software
to collect and store data. There is also a high level of security needed in this layer. The
data could consist of structured or unstructured data and could utilise big-data sources.
Lastly, the data contextualise layer – be it on-site, off-site or in the cloud –
presents the data in a way that the business could make sense of the data. Data become
information within this layer and could be visually presented in the form of a report or a
Supervisory Control and Data Acquisition (SCADA) display. Analytics could also be
done within this layer as well as machine learning and pattern recognition. Conboy
et al. [27] mention value-generating mechanisms. These mechanisms, in regards to
analytics, could complement the data contextualisation layer in the proposed IIoT
architecture.
Hardware. A critical consideration in the selection of the equipment in an industrial
environment is hardware that can withstand the harsh production conditions. In a
mining environment, the environmental factors in the mining area could be extreme
heat, dust, mechanical forces and rain. For any hardware to keep functioning, it must be
able to withstand these elements. It is also crucial for the device to maintain operation
within an industrial environment. If the hardware were to fail, it could mean safety
incidents or production losses. Equipment should be highly reliable, robust, possess a
high resilience to failure and be available whenever the process needs their functioning.
In certain areas, hardware redundancy is in place to ensure that hardware in a particular
process is backed up with a set of standby equipment in case of failure. The following
minimum hardware needs to be in place for any IIoT implementation to be successful:
• IIoT devices.
• Considering the scalability of IIoT devices when they grow into the thousands was
also cited as a consideration before the application of the IIoT hardware devices.
The respondees mentioned that the questions during an implementation consider-
ation: Would there be enough technical resources to install the magnitude of sensors
required in installation going into the thousands of sensors? Also, is the supporting
hardware that hosts the platforms able to process the amount of data?
• Networks and network coverage for the communication between the different
layers.
• A hardware platform host could be in the cloud or on-premise. This hardware
platform hosts the data storage, collection and contextualisation of the data. From
the findings, it should be noted that if no reliable connectivity to the cloud is
available, the storage, collection and contextualisation of the data needs to be
handled on-site. This is in order not to expose the business to risk if there are
communication interruptions to the cloud that could affect a critical process. An
example could be when a manufacturing process that moulds plastic loses con-
nectivity to the cloud and the process halts. Consideration should be given if there is
enough hardware space allocated for the storage of the information and the hosting
of the services.
• Gateway devices that aid security solutions.
Software. The software platforms needed for the IIoT solution and whether these
platforms could easily integrate with existing platforms should be considered. In this
regard, Karschnia [23] mentions that these “things” interconnect on- and off-site to
software platforms to enable remote control, monitoring and asset management using
either dedicated expert teams or specialised data analysis software connected to big
data lakes to add value., Interviewees indicated their experience with prior imple-
mentations is that it is essential to do a consolidation of different source data before any
implementation takes place.
Within the IIoT, intelligence could move down to the instrument level. If this is the
case, intelligence will be needed at the measuring device level and the ability to handle
automation on the lower level. The industrial systems should be easily and frequently
reprogrammable to support changing processes. Within complex industrial processes,
process improvements are regularly attempted. The systems that support these pro-
cesses, therefore, need to be easily adaptable.
Consideration is necessary in terms of the platforms needed for the IIoT solution and
whether it would easily integrate with existing platforms. Platforms are relevant where
the IIoT implementation is on an existing site.
The software should be highly reliable, robust, possess a high resilience to failure
and be available whenever the process needs its functioning. System uptime is critical
in industrial processes.
There is a need for a secure communications protocol and data security within any
IIoT solution. Security is especially relevant in the IIoT environment that is reliable on
the safety, security and reliability of their operations. IIoT has a higher level of security
due to the critical nature of a disruption of a high-volume manufacturing process or the
takedown of the electrical grid that could have an economic impact [4]. Raynor and
Cotteleer [24] opine that sensor security challenges need to be kept in mind before any
implementations commence. Holdowsky et al. [25] also point to the security require-
ments in the communications protocol that could have an impact on the safety, security
and reliability within an IIoT implementation. Soldatos [28] also agrees that one of the
critical concerns is the security aspect around the transmittal of information within the
IIoT.
Communication. Raynor and Cotteleer [24] define communication as a state for the
transmission of information from one place to another and then aggregating or gath-
ering of the data from the different sources and times. The respondents mentioned that a
consideration of the availability of networks and if it is possible to use these networks
is available and that the industrial communication protocols be adjusted to the low-
power extensive area network technology. The existing IIoT hardware and software
communication platforms should not hinder the implementation of an IIoT solution.
Existing networks should be considered for IIoT implementation. There was a rec-
ommendation from one of the respondents that Legislation within South Africa needs
to accommodate the communications between devices. The legislation was pointed out
as challenging and “communications regulators need to align their regulations con-
cerning IIoT communications”. Without reliable communication between the different
levels within the IIoT, no successful implementation could take place.
In IIoT implementations, the communications should be highly reliable, robust,
possess a high resilience to failure and be available whenever the process needs their
functioning. Communications uptime is critical in the industrial processes, and the
solution should have a low latency because of the high-speed production systems in
use.
4.2 IIoT Implementation
Pre-implementation. Before implementation of any IIoT solution, there must be a

need or a problem to be solved. A clear understanding of the business/user require-
ments and information is imperative. The business need should be supported by a clear
business case that justifies the implementation of the technology and ensures that there
is a return on the investment in the technology. This business requirement should be
documented to ensure that the IIoT solution would support the need.
A detailed design document, based on the user requirements, should then be created
before any IIoT implementation. This intricate design could direct the implementation
of the IIoT solution. This design needs to consider the key performance indicators that
need to be achieved as well as the available technology. The detailed design should
also determine if the implementation is a new (greenfields) installation or an existing
(brownfields) installation. It should be determined if the existing infrastructure and
architecture are compatible with the existing infrastructure. A decision on the tech-
nology should be made. This selection of technology would need to consider the ease
of serviceability and maintainability of the technology and paths should be upgraded
during the life cycle. The business should have a clear vision of how the realisation
would function after the implementation, and what the expectation is from the appli-
cation. In terms of personnel, planning should take place for skilled staff after the
installation to maintain the IIoT implementation. Consideration should be given
regarding whether the solution implementation is a success. If the advantages of the
IIoT implementation realise with an increase in production, would the additional
product produced from a successful IIoT implementation be sellable and is there a
market for it? Can the organisation’s logistics accommodate the increase in the
product?
Blanchette [29] emphasised the importance of thorough planning before any IIoT
implementation commences. Planning was also cited as an essential factor before any
IIoT rollouts could begin as there is no identification of formal IIoT guidelines.
Lueth [30] in this regard states that IIoT projects take over 18 months longer than
what had initially been planned. At the base of thorough planning, Blanchette [29]
iterates the creation of a baseline (as-is) situation of the organisation. The responders
mentioned that the baseline should consider:
• If there are cloud services used, the presence of data analytics, the relevant needed
reports for decisions and the level of automation.
• The business demographics.
• Scalability of IIoT devices when they grow into the thousands.
• Compatibility of newer equipment and systems within IIoT to function with
existing or legacy systems.
• The consolidation of different source data, before implementation.
• A clear vision of where the business wants to position themselves in the future.
• A clear understanding of the needed technology to be implemented.
• Data flow mapping of where the data originates from to where it is needed.
Implementation: Detailed architecture is necessary when the implementation of IIoT

solutions commences and needs to contain decisions on the selected technology.
Change management during execution is critical to ensure that the solution is adopted
and the benefits are realised. During the execution of the IIoT implementation, it is vital
to use a skilled implementations team. Recommendations during the implementation of
IIoT solutions from the respondents were that small achievable project milestones
should be planned and pursued to ensure the IIoT implementation success. The time
needed for a large scale IIoT implementation should be kept in mind.
Post-implementation: A review of the IIoT deliverables should take place and
whether these deliverables are met. Relevant procedures and the necessary governance
should be introduced to manage the IIoT infrastructure and environment.
4.3 IIoT Knowledge
Training and Awareness. There might be a lack of in-house skill for IIoT imple-
mentations and the maintenance thereof after. The lack of in-house skills for IIoT
implementations poses a challenge for the organisation and consideration should be
given to whether the relevant people skills needed during the implementation and after
required for maintenance would be available. There might also exist a lack of appro-
priate skills at different levels of IIoT architecture. From the research, it could be seen
that there is room for improvement in the education of companies in terms of the
possibilities of Industry 4.0.
There is a need for the creation of awareness within the organisation on the man-
agement of cultural and organisational changes required with the implementation of the
IIoT. These cultural and organisational changes would be a leading factor for the poor
adoption of the implemented solutions if the proper change management did not occur.
Awareness and training should cater for any lack of in-house skills for IIoT
implementations and the maintenance thereof after the implementation has taken place.
Proper maintenance would mean that competent personnel are needed after the
installation to maintain the implementation. In this regard, education for the business in
terms of the possibilities of Industry 4.0 is required by the organisation to realise the
potential value-adding business cases.
Challenges. Personnel with the appropriate experience in delivering IIoT solutions in
the specific industry is needed for the implementation and maintenance of implemented
solutions. Other challenges include:
• Management of cultural and organisational changes.
• Business representatives are reluctant to support the implemented solutions if the
proper change management did not occur before the IIoT implementation.
• New technology introductions into the existing infrastructure and environment in
terms of the connectivity, security and platforms.
• Existing infrastructure and platforms exist when implementing IIoT.
• Greenfields organisations have no challenges in terms of legacy systems.
• People skills in terms of IIoT.
• Existing communication protocols in use.
• Existing systems and hardware that are in use.
• Network connectivity challenges.
Advantages. The advantages described are that the IIoT has the potential to benefit
industrial organisations and can complement existing technology investments. Con-
veniences include gaining market share, increased efficiencies, insight into business
operations and insight into different aspects of the organisation.
5 IIoT Framework Application
The IIoT framework, as described in Sect. 4, would inform product-, technical- and
business-level decisions in terms of the IIoT to unlock the benefits that the IIoT could
have for industrial organisations. The following steps could be taken in applying the
discovered framework to uncover the necessities needed in terms of the technical and
business decisions on the different layers of the IIoT.
1. The user would ensure that there is a clear business case or need for the advantages
that IIoT could offer industrial operations.
2. Following the business, the case is an assessment of the needed infrastructure
(hardware and software) for any IIoT implementation.
3. After an assessment and understanding of the technical requirements needed for an
IIoT solution, the user would refer to the consideration before, during and post-
implementation of an IIoT initiative within the industrial environments.
6 Conclusion
This paper presented a discovered framework for the IIoT that could be used as a basis
for IIoT implementation-specific decisions. This framework would assist mining rep-
resentatives in implementations of IIoT solutions. In 2017, only 12% of mining rep-
resentatives had implemented IIoT solutions to a degree or a full extent [8]. The World
Economic Forum [9] predicts that the expected impact of digital transformation on the
mining industry is in the region of US$428 billion and US$ 784 billion.
This framework included the needed IIoT architecture while considering the
specific hardware, software, security and communication aspects. Within this frame-
work, there was also a consideration in terms of pre-, during and post-implementation
aspects and explored the advantages, disadvantages and training in terms of the IIoT.
The usage of this framework would aid industrial organisations and stakeholders in
terms of IIoT solutions to understand the specific considerations regarding the IIoT.
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eBusiness
Cybersecurity Readiness of E-tail
Organisations: A Technical Perspective
Mahmood Hussain Shah1,2,3(&), Raza Muhammad1,2,3,

and Nisreen Ameen1,2,3
1
School of Strategy and Leadership, Coventry University, Coventry, UK
ac3559@coventry.ac.uk
2
Department of Mathematics, Shah Abdul Latif University, Khairpur, Pakistan
3
School of Business and Management, Royal Holloway, University of London,
London, UK
Abstract. Cybersecurity readiness is a challenging issue for online retail

businesses which are losing billions of dollars due to cyber-crimes and a lack of
readiness to manage these. Therefore, research into cybersecurity readiness in
the online retail industry is needed. Technical tools are the foremost measures of
defence against these attacks. This study investigates cybersecurity readiness
from the technical perspective in some UK online retailers. This research
adopted a qualitative case study approach with semi-structured interviews for
collecting data. A total of 15 interviews were conducted with an online retail
company’s staff and management who had responsibility for managing cyber-
security. A thematic analysis method was used to analyse the qualitative data.
The research findings show that the company is facing internal and external
threats to their information systems and their technical defences are not very
effective at present. The company should consider investing more resources in
the technical controls to prevent these attacks.
Keywords: Cybersecurity Technical readiness Organisational readiness

Network security Cyber threats and risks
1 Introduction
Cybersecurity has received significant attention from researchers and professionals. It

has become an integral part of business activities in all organisations regardless of their
size and nature and has become particularly important for online businesses. Cyber-
security readiness can be achieved by implementing a resilient culture against cyber
related threats and attacks. This culture would be useful for organisations to mitigate
the impact of cyber-attacks. However, these businesses are facing cybersecurity
threats/attacks from both internal and external sources [1]. Cyber threats/attacks and
frauds are increasing and posing many challenges for online organisations. These
challenges include externals/internals threats accidental damage and technical/
organisational weaknesses.
Cyber threats include identity theft [2] and unauthorised access to an organisational
network [3]. Denial of Service (DoS) attacks, malicious insiders, web-based attacks [4],

https://doi.org/10.1007/978-3-030-44999-5_13
154 M. H. Shah et al.
human error [3], phishing emails and inadequate security monitoring [5] are also
documented threats. There are some reasons which contribute to the success of these
attacks, for example, preventative equipment failures [6], lack of technical awareness
[7], unauthorised access [3] and malicious employees [4]. Some basic security controls
such as encryption, anti-virus software, firewalls and intrusion detection systems
(IDS) suggested by Sen, Ahmed and Islam [8] could be used to prevent cyber-attacks.
Unified Threat Management Systems (UTMS) provide more security to the network
layer, hardware and software than standard security methods [9]. Secure authentication
and authorisation systems are useful in preventing ID theft [10]. Regular assessment of
security controls and monitoring of internal and external security systems may reduce
the risk of cyber-attacks [11].
The aim of this research is to investigate the cybersecurity readiness, from a
technical perspective, in an online retail organization, to assess how resilient its security
infrastructure has been built to mitigate cyber-attacks. To achieve this aim, a qualitative
case study was conducted and a total of 15 semi-structured interviews were conducted
at an E-tail company in the UK. The semi-structured interviews provided an oppor-
tunity for face-to-face interactions with managers and other relevant staff. Additionally,
policy documents were utilised in order to better understand the security processes in
the company. Collected data was analysed using thematic analysis.
2 Literature Review
Cybersecurity readiness includes security policies, processes and procedures that are
employed in the organisation to manage cyber threats. Furthermore, a review of
cybersecurity readiness includes examinations of security functions, to check whether
these functions operate in line with relevant policies, standards or procedures [12]. The
importance of cybersecurity readiness has been increasingly recognised worldwide.
Many leading countries have invested in their cybersecurity and have published official
strategy documents for their cybersecurity; these include USA, UK, Canada, Australia,
Japan, Germany and Russia [13].
Cybersecurity breaches are becoming increasingly common against companies
regardless of their size and nature [14]. Cyber-attacks are malicious acts usually
originating from an anonymous source that either steals, alters or destroys a specified
target by hacking into a susceptible system. According to Uma and Padmavathi [15],
several dimensions of cyber-attacks can be found in existing literature, but the primary
objective of such attacks is to compromise the confidentiality, integrity and availability
of information resources. These cyber-attacks tend to be successful due to weaknesses
in technical infrastructure [16]. Due to a lack technical awareness, people become
victims of cyber-attacks [7]. Therefore, this research focuses on cybersecurity readiness
in the technical perspective to aid the online retail company in mitigating against
potential cyber risk.
With the advancement in the technology, new methods of cyber-attacks are also
emerging [14]. It is the responsibility of management to perform risk analyses and
highlight flaws and vulnerabilities in the information systems, as neglecting these tasks
can increase the likelihood of successful cybersecurity attacks. Therefore, online retail
Cybersecurity Readiness of E-tail Organisations: A Technical Perspective 155
organisations must maintain update infrastructure to reduce the impacts of cyber-

attacks in the organisation. Ultimately, these attacks affect organisations in the form of
significant financial losses and reputational damage.
There are many technical threats that are possible reasons for cybersecurity brea-
ches in online retail organisations. These include: Malware, Spam, Phishing, Spear-
Phishing Attack, Denial of Service (DoS) attack, Distributed Denial of Service (DDoS),
Man in Middle Attack, Hacking, Social Engineering, Spoofing, Keylogging, Cookies,
Backdoor Trojan, SQL Injection and Identify Theft.
Impact of Cyber-Attacks in Online Retail Organisations
Cybersecurity threats are a growing concern for online retail organisations. Organi-
sations considered cyber-attacks to be the biggest threat to businesses. A recent study
by Hui, Kim and Wang [17] indicated that many DDOS attacks targeted banks (24%),
telecommunications companies (23%) and financial services organizations (20%),
indicating they were likely financially motivated. Another survey conducted by the
PWC [18] indicates that the average financial cost of cybersecurity incidents (including
costs relating to business operations and data) is £857,000. The same report also
pointed out that UK organisations are more reluctant in combating against cyber-
attacks than peer organisations in the other countries.
Countermeasures
The above discussion was about cybersecurity threats and attacks that affect online
businesses in various forms. Effective counter measures are needed to prevent cyber-
security threats from materialising. There are several factors such as technical,
organisational and human which increase the success rate of these attacks, for example,
Uma and Padmavathi [15] state that there is a lack of proper understanding and
technical awareness of the nature of cyber-attacks. By implementing security measures
and controls, companies can help mitigate against these attacks.
Legitimate antivirus or endpoint security software along with user awareness
regarding threats posed by clicking on suspicious links would be useful in mitigating
cyber attacks. Organisations also use anti-spam software to limit the spam attacks,
coupled with other countermeasures such as two factor authentication, web application
scans, firewalls, access control, encryption and unified threat management appliances.
However, the focus of this study is only cybersecurity readiness from a technical
perspective and this can be achieved by proper implementation of technical controls to
safeguard organisational infrastructure to mitigate the potential cyber-attacks.
3 Methodology
This study employs a qualitative case study approach, and focuses predominately on
the perspectives conveyed by respondents, for instance, how they undertake their job
roles to manage cybersecurity readiness in the online retail organisation. This approach
allows the investigator to study real life events and managerial processes and it
examines an existing phenomenon in depth within its real life situation [19]. This case
study has been carried out in close interaction with practitioners who deal with man-
agerial situations, so this approach is suitable to create relevant knowledge [20].
Participant Selection and Data Gathering

The study takes a case study based approach, using semi-structured interviews as the
primary data collection method. The interview questionnaire was designed with the
help of existing literature relevant to the field of information security. A pilot study was
conducted with 10 academic staff in the relevant area of study and as a result, some
amendments were made to the interview questions according to their suggestions.
Moreover, participants were selected on the basis of their job nature and experience in
the management of online security in the online retail company in the UK. A total of 15
interviews were conducted with professionals including the IT Manager, Fraud
Prevention Manager and members of the Network Security Team. Face-to-face inter-
views lasted around 45–60 min. All interviews were audio recorded in a hand-held
device to be transcribed and analysed later.
Data Analysis
The semi-structured interviews were transcribed manually. Furthermore, The Nvivo
software was also used for the categorisation and coding of themes. This software is
useful in transcribing, grouping, and coding the data. The thematic analysis method
used to analyse the semi-structured interviews was proposed by Braun and Clarke [21].
Transcribed interviews were analysed using the inductive thematic analysis. This
technique provides a facility to identify a set of emergent topics in the data. Each theme
was carefully developed based on the analysis of transcribed text from interviews.
4 Results and Discussions
For this research, we conducted case study research at one large organisation. For
confidentiality reasons, the case company will be referred henceforth as Company A.
Company A is a leading multi-brand online retailer in the UK and Ireland, selling
thousands of different brands supplied by others as well as its own brand of retail
goods. In this section, we bring together the various observations from the data col-
lected using semi-structured interviews at Company A to manage cybersecurity
readiness in the technical context. Cybersecurity readiness can be achieved by
implementing the following security controls (themes) which emerged from the anal-
ysis of collected qualitative data.
(a) Access Control and Authentication
Usernames and passwords are treated commonly as authentication, but it is not a
secure form of authentication because anyone can use these details and gain easy
access to the systems. It is difficult for systems to recognise whether the user who has
accessed system is genuine or fraudulent. Company A has two-factor authentication
system to prevent unauthorised access. However, two-factor authentication is not
always a secure method as cyber-criminals can violate this [22]. To make the
authentication system more effective, biometric authentication systems may be used,
for example, voice recognition, facial recognition and fingerprint scanning [23].
Therefore, Company A may consider biometric authentication systems to prevent
unauthorised access.
(b) Information Communication Security (ICS)

ICS helps to secure electronic communication amongst staff, third parties and cus-
tomers inside and outside the company. Company A encrypts the data of customers
and employees when sending it to third parties and registered post is used to send hard
copies of data. Using encryption for sending and receiving information is useful for a
company because it prevents modification and keeps data in its original form. This
encryption method has a weakness as it does not cover the recipient of any data, as
this would need Point-to-Point Encryption (P2PE). Therefore, Company A could
P2PE to secure its communication channels more effectively [24]. Moreover, Public
Key Infrastructure (PKI) digital signatures and Secure Sockets Layer (SSL) etc. are
useful in preventing cybersecurity attacks [25]. Therefore, the company may use these
for enhancing cybersecurity infrastructure.
(c) Threat Management
Threat management is an essential component of the organisation’s security process.
Businesses that depend on ICT remain under threat from cyber-criminals whose
motive is to steal sensitive information by infiltrating systems in different ways. Now,
it is the responsibility of the organisation to manage such risks cost-effectively and
minimise threats to their information systems.
Company A uses various security controls to minimise threats to information system
infrastructure. Additionally, the company has professionals who constantly try to
manage the security threats. However, some vulnerabilities still exist in these security
controls for which Company A should assess regularly to manage security threats.
This is also proposed by some researchers such as Taylor [11].
(d) Network Security
Network security has a significant role in the information system security of online
retail organisations because cyber-criminals attack the network to steal information.
Cyber intrusions and attacks occur when unauthorised access is gained to networks,
including theft of users’ sensitive data, online economic fraud, website destruction,
web application attacks and system penetration. Attackers exploit operating system
vulnerabilities in web browsers, services and configurations, platform vulnerabilities
in web applications, network device vulnerabilities, policy and personnel vulnera-
bilities in unauthorised devices [26]. Company A did face cyber-attacks, such as
denial of service attacks, because of weaknesses in the network. However, encryption,
anti-virus, firewalls, Intrusion Detection Systems (IDS) are useful in preventing cyber-
attacks [8]. Therefore, the company should configure its firewalls to prevent denial of
service attacks on the network. Firewalls are useful in preventing unauthorised access
to the network and in blocking unwanted traffic into the company’s network (Sen
et al.) [8]. A firewall is a shield that works against dangerous communications from
disseminating across any network, either from the outside world into a local system,
or from one part of a local network to another. It is a useful element in network access
because it can prevent unauthorised access at the boundary of a network and
infrastructure.
(e) Network Monitoring
ICT enables business processes to operate electronically and provides facilities to
conduct business activities more effectively and efficiently in the digital environment.
The monitoring activities of ICT allow the company to detect vulnerabilities and
respond to these appropriately by enhancing security controls. Despite such active
monitoring systems, some information breaches still occur at Company A. Com-
pany A are monitoring activities inside the company and whenever unusual activity is
found, they aim to resolve it immediately. The company also performs a test for
vulnerabilities in its computing systems and try to fix it in the first instance. Further,
the company has different teams whose work is to monitor the security processes of
the company’s infrastructure and prevent loopholes from being exploited. For net-
work security, Unified Threat Management Systems (UTMS) provide more security to
the network layer, hardware and software than standard detection methods because
this is the combination of firewalls, pattern recognition and user authentication
methods [9]. Therefore, Company A should use UTMS for effective security.
5 Conclusion
This paper presented the findings of the case study on cybersecurity readiness from a
technical perspective, for instance, if ICT security and risk assessments are managed
effectively; cybersecurity incidents in the organisation could be reduced. Therefore, the
organisation should proactively asses their technical factors rather than only assessing
these after an incident has occurred. A qualitative case study approach was adopted and
15 semi-structured interviews were conducted for data collection. The interviews were
analysed using thematic analysis. The key areas of selected themes were discussed and
confirmed by the managers and other staff members.
This research provides unique value through investigating the determinants of
technical readiness. The study suggests that organisation readiness in the cybersecurity
domain can be achieved by taking proactive measures such as ICT security and risk
management. The results show that online organisations are lagging behind, especially
in the effective implementation of up to date technical tools and measures. Although
the case organisation has implemented some measures, there is still a need to explore
their functionality within the organisational structure.
Like other studies, this research also has some limitations. Firstly, only a single
case study was conducted in this research to evaluate the technical readiness. Secondly,
only a qualitative case study approach was used for data collection. Therefore, there is a
need to conduct multiple case studies to learn more about technical aspects of cyber-
security in other technical aspects, using both qualitative and quantitative methods.
This study was conducted in the UK so repetition of this research in other countries
would improve the research and extend results to compare and contrast the outcomes of
online retailers.
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Consumer Mobile Shopping Acceptance
Predictors and Linkages: A Systematic
Review and Weight Analysis
Kuttimani Tamilmani1(&), Nripendra P. Rana1, Yogesh K. Dwivedi2,

and Hatice Kizgin1
1
International Business, Marketing and Branding Research Centre (IBMB),
School of Management, University of Bradford, Richmond Road,
Bradford BD7 1DP, UK
kuttimani.tamilmani@gmail.com, nrananp@gmail.com,
h.kizgin@bradford.ac.uk
2
Emerging Markets Research Centre (EMaRC), School of Management,
Swansea University Bay Campus, Swansea SA1 8EN, UK
y.k.dwivedi@swansea.ac.uk, ykdwivedi@gmail.com
Abstract. Mobile phones have become an integral part of human lives with
majority of people using them to access product and services for their day-to-
day needs. However, mobile shopping adoption across the globe is not wide or
fast as expected. In addition, the research is very scant in understanding various
predictors of consumer adoption towards mobile shopping. The objective of this
study is to identify most significant and non-significant predictors of consumer
mobile shopping acceptance. Systematic review and weight analysis on 34
mobile shopping studies revealed researchers mostly employed TAM and
UTAUT model as theoretical lens. This study found an interesting revelation
that extrinsic motivation variables such as social influence and perceived use-
fulness determine consumer mobile shopping behavioral intention during early
stages. However, in later stages intrinsic motivation variables such as satisfac-
tion and trust play crucial role to emerge as best and promising predictor of
consumer continuous intention respectively.
Keywords: Mobile shopping Weight analysis Continuous intention
1 Introduction
Mobile technologies are the most adopted form of consumer technology across the
world in 21st century with 5 billion unique mobile subscribers in 2017, which
encompasses two thirds of global population [1]. The characteristics of smartphones
with wireless Internet enable consumers to purchase goods and services from anywhere
at any time, even in the absence wired broadband connections popularly known as
mobile shopping [2]. It empowers consumer with ability to search, browse, compare,
and purchase products and services through wireless handheld mobile devices. And,

https://doi.org/10.1007/978-3-030-44999-5_14
162 K. Tamilmani et al.
they can buy range of products and services such as electronics, apparels, housewares,
books, tickets, beauty, and grocery to name a few [3–5]. The unprecedented smart-
phones adoption rate is in turn fuelling the mobile shopping growth to reshape the
online retail environment. Leading market research firm Statista report suggests that
mobile e-commerce is poised for growth globally and could possibly rake in upwards
of 3.5 trillion USD constituting almost three quarters (72.9%) of all e-commerce sales
[6]. Mobile phones unique characteristics enable organisations to reach right consumers
anytime anywhere through mobile advertising [7, 8]. Organisation’s spend on mobile
advertising is on upward trajectory with a whopping amount of 105.95 billion USD in
2017 and an estimated amount of 175.64 billion USD in 2020 [9].
The above discussion underscores the central role of mobile phones as a medium
for shopping to consumers and advertising to organisations respectively. Despite the
potential of mobile technology, mobile readiness report on Fortune 500 companies’
mobile websites revealed just one-quarter had mobile-responsiveness and majority of
the companies were unprepared [10]. The majority of existing consumer on mobile
shopping acceptance studies focused on intention related outcome variables such as
behavioural intention [11–13], purchase intention [14, 15], and continuous intention
[16, 17] rather than use behaviour. Mobile shopping adoption can be achieved at faster
rate based on the learning from existing research on this topic across different countries.
Existing review articles on mobile shopping mostly provide descriptive information
e.g., [18, 19] without highlighting on the effective predictors necessary for successful
adoption. Therefore, the objective of this study is to employ weight-analysis to syn-
thesise existing findings on mobile shopping and identify the most/least frequently used
predictors, and among these the best, worst, and promising predictors [20, 21]. This
study will undertake following steps to fulfil the objective:
• Locate consumer focused mobile shopping empirical studies that employed con-
sumer intention/use behaviour-based outcome variables.
• Conduct weight analysis on the empirical studies to understand the significant and
non-significant path relationships and their performance.
The remaining sections of this paper is structured as follows: The following section
i.e. Sect. 2 describes the research method employed in this study; Sect. 3 presents the
findings of weight analysis and systematic literature review followed by discussion in
Sect. 4 and conclusion in Sect. 5.
2 Research Method
This study deemed a combination of “systematic review”, “Keyword search” and

“weight-analysis” techniques as appropriate methodology to synthesize the existing
research findings on consumer intention and usage towards mobile shopping [22–31].
It employed keyword based search in the Scopus, Web of Science, and EBSCO
Consumer Mobile Shopping Acceptance Predictors and Linkages 163
Business Source complete databases with search terms such as “mobile shopping” OR
“m-shopping” OR “mobile purchasing” AND “Adoption” OR “Acceptance” OR
“Diffusion” OR “Usage” OR “Intention” to locate articles related to mobile shopping.
The initial search from the year 2009 to 2019 resulted in 72 articles. On further
screening, it was found that some of the articles were not accessible through
researcher’s library and numerous studies employed outcome variables other than
consumer intention and usage towards mobile shopping. Such instances include but are
not limited to outcome variables such as switching intention [32], loyalty [33], and
patronage [34]. Therefore, studies that did not report relevant data for weight analysis
were also excluded resulting in 34 final manuscripts that focussed only on consumer
intention and usage as outcome variable to qualify for weight analysis.
3 Findings
This section presents and explains the findings from the systematic review and weight
analysis.
3.1 Dominant Theories/Models

Researchers employed as much as thirteen unique theories/models as theoretical lens
across the 34 studies to examine consumer intention and usage towards mobile
shopping. Table 1 provides summary of dominant theories that are employed on two or
more instances. Technology acceptance model (TAM) emerged as the most dominant
theory with as much as 12 studies adapting TAM as theoretical lens by often extending
the model with external constructs. For instance, Groß [35] extended TAM with per-
ceived enjoyment and trust and found these attributes as significant predictor of con-
sumers mobile shopping in Germany. Venkatesh, Morris, Davis and Davis [36]’s,
UTAUT theory emerged as the distant second most popular theory with five research
investigations. Three studies adapted Expectancy Confirmation Model making it the
third most popular theoretical lens in the consumer mobile shopping acceptance arena.
Multifaceted trust-risk model and theory of planned behaviour jointly occupied fourth
position by serving as theoretical lens on two instances each. Furthermore, there were
eight theories/models such as (1) 4P’s marketing theory [16], (2) Behavioural reasoning
theory [37], (3) Elaboration likelihood model [38], (4) Flow theory [39], (5) IS success
model [14], (6) Stimulus-Organism-Response (SOR) framework [40], (7) Technology
readiness [41], and (8) Trust transfer theory [15] that researchers employed on one
instance each. Finally, there were two studies [42, 43] that did not employ any dom-
inant theories to examine consumer mobile shopping acceptance.
Table 1. Dominant mobile shopping acceptance theories/models

Theory/model Frequency References
Technology acceptance 12 Agrebi and Jallais [3]; Chen, Hsu and Lu
model (TAM) [44]; Groß [35]; Groß [45]; Ko, Kim and Lee
[5]; Lu and Su [46]; Natarajan,
Balasubramanian and Kasilingam [47]; San-
Martín, López-Catalán and Ramón-Jerónimo
[11]; Saprikis, Markos, Zarmpou and
Vlachopoulou [48]; Shang and Wu [49];
Wong, Lee, Lim, Chua and Tan [12]; Wong,
Tan, Ooi and Lin [13]
Unified theory of acceptance 5 Chau, Seshadri, Broekemier and
and use of technology Pamornpathomkul [50]; Lu, Yu, Liu and Wei
(UTAUT) [51]; Tan and Ooi [52]; Yang and Forney
[53]; Yang [54]
Expectancy confirmation 3 Chung, Chun and Choi [17]; Hung, Yang and
model Hsieh [55]; Kang, Hung, Yang, Hsieh and
Tang [56]
Multifaceted trust-risk model 2 Groß [57]; Marriott and Williams [58]
Theory of planned behaviour 2 Prodanova, San-Martín and Jimenez [59];
Yang [60]
3.2 Weight Analysis

Weight analysis technique determines indicative predictive power of an independent
variable over dependant variable. This is performed by calculating weight, which is as a
ratio of total number of significant relationships between an independent and dependant
variable (a) to the total number of all relationships between these two variables (b) and
thus weight is calculated using formula (a)/(b) [21].
Coding Independent and Dependent Variables
This study employed generalized coding scheme adapted from Jeyaraj, Rottman and
Lacity [21], to uniformly code findings between various independent and dependant
variables among the 34 consumer mobile shopping studies. The coding template
comprised of ‘rows’ and ‘columns’. Each row in the template represented one of the 34
studies, while each column represented the path relationship between an independent
and a dependant variable. The intersection points between studies in a “row” and path
relationship in the “column” captured the significance of the particular path relationship
corresponding to that study. The coding scheme has four different values: (1) ‘+1’ in
the case where the path relationship examined was significant and hypothesized in
positive direction; (2) ‘−1’ in the case where the path relationship examined was
significant and hypothesized in negative direction; (3) ‘0’ in the case where the path
relationship examined was non-significant; and (4) “Blank” when the relationship was
not studied [21]. This study thoroughly examined all the hypotheses in the 34 articles to
identify various dependent and independent variables that researchers employed to
examine consumer mobile shopping acceptance. The examination resulted in
Table 2. Most frequently studied variables in mobile shopping

Sl. Independent Definition Example citation(s)
no variable
1 Anxiety Refers to negative emotions in cognitive Lu and Su [46]; Saprikis, Markos,
states that are evoked during actual or Zarmpou and Vlachopoulou [48]
imaginary interactions with underlying
behaviour (e.g. Using mobile for
shopping) [61]
2 Attitude The extent to which individuals have Groß [45]; Gupta and Arora [37]; Yang
positive or negative evaluation about the [54]; Yang [60]
behaviour under question [62]
3 Compatibility The degree to which an innovation is Lu and Su [46], Wong, Tan, Ooi and Lin
perceived to be consistent with the [13]
values, past experiences, and needs of
potential adopters [63]
4 Facilitating The degree to which an individual Tan and Ooi [52]; Yang [54]
conditions believes that an organisational and
technical infrastructure exists to support
use of the system [36]
5 Perceived Individuals perception of his/her San-Martín, López-Catalán and Ramón-
behavioural capability to performing a behaviour of Jerónimo [11], Yang [60]
control interest [62]
6 Perceived ease The degree to which a person believes Hew, Leong, Tan, Lee and Ooi [40],
of use that using a particular system would be Natarajan, Balasubramanian and
free of effort [64] Kasilingam [47], Saprikis, Markos,
Zarmpou and Vlachopoulou [48], Tan
and Ooi [52]
7 Perceived The extent to which the activity of using Natarajan, Balasubramanian and
enjoyment a computer/particular system is perceived Kasilingam [47], Saprikis, Markos,
to be enjoyable in its own right, apart Zarmpou and Vlachopoulou [48], Tan
from any performance consequences that and Ooi [52], Wong, Tan, Ooi and Lin
may be anticipated [65] [13]
8 Perceived risk Consumers’ expectation of losses Marriott and Williams [58], Natarajan,
associated with purchasing and acts as an Balasubramanian and Kasilingam [47],
inhibitor of purchase behaviour [66] Tan and Ooi [52, 12]
9 Perceived The degree to which a person believes Natarajan, Balasubramanian and
usefulness that using a particular system would Kasilingam [47], Tan and Ooi [52],
enhance his or her job performance [64] Wong, Tan, Ooi and Lin [13]
10 Personal The willingness of an individual to try Natarajan, Balasubramanian and
innovativeness out any new information technology [67] Kasilingam [47], Saprikis, Markos,
Zarmpou and Vlachopoulou [48], Wong,
Tan, Ooi and Lin [13]
11 Satisfaction The psychological or emotional state Agrebi and Jallais [3], Amoroso [42],
resulting from a cognitive assessment of Natarajan, Balasubramanian and
the gap between the expectations and the Kasilingam [47]
actual performance of an information
system [68]
12 Social The degree to which an individual Groß [45], San-Martín, López-Catalán
influence perceives that important others believe and Ramón-Jerónimo [11], Tan and Ooi
he or she should use the new system [36] [52], Yang and Forney [53]
(continued)
Sl. Independent Definition Example citation(s)
no variable
13 Trust The most important factor for Groß [35], Marriott and Williams [58],
establishing relationships, both of Tan and Ooi [52]
interpersonal and commercial nature
between two or more parties that
determine their future action [69]
14 Trust in Comprises of consumer’s trusting beliefs Groß [57]
mobile vendor (e.g. ability, integrity, and benevolence)
and their intention to engage in a
business relationship with m-vendors by
providing personal information,
following the m-vendor’s advice, or
making purchases and transferring
money directly via smartphone Groß [57]
Sl. Dependent Definition Example citation(s)
no variables
1 Behavioural Represents individual intention to Groß [35], Groß [45], Yang [54]
intention perform an underlying behaviour with
stronger intentions leading to higher
chances of performing the underlying
behaviour [62]
2 Continuous This refers to consumers in post- Gao, Waechter and Bai [39], Hung,
intention purchase stage, where their consumption Yang and Hsieh [55], Kang, Hung,
experience determines the future Yang, Hsieh and Tang [56], Groß [57]
behaviour [70]
3 Use behaviour The degree and manner in which Groß [35], Groß [45]
customers utilise the capabilities of an
underlying technology/system [71]
identifying 41 independent variables, five dependent variables, and 59 different path

relationships among these independent and dependent variables. However, the findings
of this study are limited to path relationships that are examined on two or more
instances. This resulted in final 14 independent variables, three dependant variables i.e.
behavioural intentional, continuous intention, and use behaviour and their 20 path
relationships. Table 2 provides summary and definition of the final 14 independent
variables ranging from anxiety to trust in mobile vendor and three dependent variables.
Dominant Predictors of Mobile Shopping Acceptance
Weight analysis classifies independent variables into two types based on the numbers
of times the variable is used a predictor on a dependent variable. An independent
variable is termed as ‘well-utilized’ predictor when examined by researchers in five or
more studies. Otherwise, the independent variable is considered as an ‘experimental’
predictor in case of less than five examinations. Furthermore, the independent variable
qualifies as the best predictor of dependant variable when they are used in five or more
studies (well-utilized) and have a weight of 0.80 or more. On the other hand, inde-
pendent variable can be considered as a promising predictor when it is used in less than
five studies (experimental) and have perfect weight of one [21]. The summary of
weight analysis findings for all the three dependant variables behavioural intentional,
continuous intention, and use behaviour is depicted in Table 3.
Well Utilized Predictors of Behavioural Intention

Six variables fulfilled the criteria (five or more examinations) to qualify as the well
utilized predictor of consumer behavioural intention towards mobile shopping. The
following three predictors: perceived usefulness/performance expectancy (examined 11
times, significant 11 times), attitude (examined 8 times, significant 8 times), and social
influence (examined 6 times, significant 6 times) fell under the ‘best predictor’ cate-
gory. Since, these variables were explored five or more times and have a weight equal
to or greater than 0.80. The remaining three ‘well utilized’ predictors ‘perceived
enjoyment’ (examined 9 times, significant 6 times), satisfaction (examined 5 times,
significant 3 times), and perceived ease of use/effort expectancy (examined 9 times,
significant 4 times) having weight of 0.67, 0.60, and 0.44 respectively are termed as
least effective predictor and needs further examination.
Experimental Predictors of Behavioural Intention

Notwithstanding the six ‘well utilized’ predictors behavioural intention also had seven
experimental predictors such as: (1) perceived risk, (2) personal innovativeness,
(3) trust, (4) compatibility, (5) anxiety, (6) facilitating conditions, and (7) perceived
behavioural control. From the seven aforementioned ‘experimental predictors’ only
two predictors such as: compatibility (examined 2 times, significant 2 times) and
perceived behavioural control (examined 2 times, significant 2 times) with perfect
weight of one, qualified as the promising predictors of consumer behavioural intention
towards mobile shopping.
Predictors of Continuous Intention

There were five dominant predictors in determining consumer continuous intention
towards mobile shopping. The first one is satisfaction that qualified both as a well
utilized and best predictor of consumer continuous intention with significant results on
all five instances of examination. The remaining four predictors such as: (1) trust
(examined 3 times, significant 3 times); (2) trust in mobile vendor (3) perceived risk
(examined 2 times, significant 2 times); and (4) perceived usefulness/performance
expectancy (examined 2 times, significant ‘0’ times) each with less than five exami-
nations emerged as ‘experimental predictors’. The first three ‘experimental predictors’
of continuous intention (trust, trust in mobile vendor, and perceived risk) also qualified
as promising predictor perfect weight of one. Meanwhile, perceived usefulness/
performance expectancy emerged as the as least effective predictor of continuous
intention.
Predictors of Use Behaviour

Use behaviour comprised of only two experimental predictors with less than five
examination such as ‘satisfaction’ (examined 2 times, significant 2 times) and ‘be-
havioural intention’ (examined 2 times, significant 2 times). This indicates researchers
scarcely employed use behaviour as outcome variable in consumer mobile shopping
acceptance research. Both the experimental predictors qualified as the promising pre-
dictors of use behaviour with perfect weight of one.
Table 3. Weight analysis summary approach adapted from Jeyaraj, Rottman and Lacity [21]
SN Independent variable DV Sig Non- Total Weight
(a) Sig (b) (a/b)
1 Perceived usefulness/performance BI 11 0 11 1.00
expectancy
2 Perceived ease of use/effort 4 5 9 0.44
expectancy
3 Perceived enjoyment 6 3 9 0.67
4 Attitude 8 0 8 1.00
5 Social influence 6 0 6 1.00
6 Satisfaction 3 2 5 0.60
7 Perceived risk 3 1 4 0.75
8 Personal innovativeness 2 1 3 0.67
9 Trust 2 1 3 0.67
10 Compatibility 2 0 2 1.00
11 Anxiety 1 1 2 0.50
12 Facilitating conditions 1 1 2 0.50
13 Perceived behavioural control 2 0 2 1.00
14 Satisfaction CI 5 0 5 1.00
15 Trust 3 0 3 1.00
16 Trust in mobile vendor 2 0 2 1.00
17 Perceived risk 2 0 2 1.00
18 Perceived usefulness/performance 0 2 2 0.00
expectancy
19 Satisfaction UB 2 0 2 1.00
20 Behavioural intention 2 0 2 1.00
[Legend: BI: Behavioural Intention; CI: Continuous Intention; DV: Independent Variable; Non-
Sig: Number of non-significant path values; Sig (a): Number of significant path values; UB: Use
Behaviour]
4 Discussion
Literature synthesis on consumer mobile shopping acceptance studies reveal that

researchers to date have mostly employed theories such as TAM and UTAUT. These
theories were originally developed in the organisational context with major focus on
individual employee characteristics and their motivation in using underlying tech-
nologies to improve job related outcomes. In addition, perceived usefulness similar to
performance expectancy (11 studies) and perceived ease of use (9 studies) similar to
effort expectancy the two independent variables of technology acceptance model
(TAM) emerged as the most utilized variables emphasising TAM’s dominance in
individual adoption research. Besides individual characteristics from dominant tech-
nology acceptance theories, researchers have scarcely employed theories such as IS
success model e.g., [16, 72] and flow theory e.g., [39, 52] to evaluate impact of system
characteristics such as system quality, information quality, and system flow experience
on consumer mobile shopping acceptance. The preceding discussion reveals researches

mostly deployed theories developed in the organisation context as theoretical lens and
seldom employed consumer-focused theories such as extended unified theory of
acceptance and use of technology (UTAUT2) to examine mobile shopping acceptance.
The weight analysis findings reveal an interesting pattern that the role and relevance
of various attributes depend upon the time period when the consumer starts using the
underlying technology. The best predictors of consumer behavioural intention, which
refers to early and potential users of technology are perceived usefulness, attitude, and
social influence. This is followed by compatibility and perceived behavioural control
that emerged as most promising predictors with all significant results for early mobile
shopping users. However, attributes such as satisfaction, trust, and perceived risk
emerged as least effective predictors of consumer behavioural intention. The plausible
explanation could be early users haven’t utilized the technology enough and/or bought
product/service to evaluate their satisfaction, trust, and risk level of both the platform
and vendors.
Interestingly, for consumers in the post-purchase stage, ‘satisfaction’ emerged as
the single most well utilized and best predictor of their continuous intention. In
addition, attributes such as trust, perceived risk, and trust in mobile vendor emerged as
the promising predictor with all significant results. This underscores the significant role
of both the platform and vendors in sustaining the existing consumers and influencing
their continuous intention for future transactions. The emergence of variables such as
Trust in mobile vendor as promising predictor only for continuous intention and not for
behavioural intention further validates the role of product/service providers in
improving the longevity of consumers towards mobile shopping. Surprisingly, per-
ceived usefulness/performance expectancy that was best predictor of behavioural
intention became least effective predictor of consumer continuous intention towards
mobile shopping. The plausible explanation for this pattern comes from Hung, Yang
and Hsieh [55] study that extended Expectation-Confirmation model with Trust to
examine consumer continuous intention towards mobile shopping. The study results
among 244 consumers found that extrinsic motivation variable perceived usefulness
became non-significant determinant of continuous intention over time. However,
during repurchasing activities, intrinsic motivation variable ‘trust’ explained the most
variance on consumer continuous intention towards mobile shopping followed by
Satisfaction. Finally, both Satisfaction and Behavioural intention the two predictors of
Use behaviour emerged as promising predictor with all significant results. The pre-
ceding discussion indicates Use behaviour is sparingly examined as outcome variable
in consumer mobile shopping acceptance. This pattern is understandable as consumer
mobile shopping is still at nascent stages of acceptance in many parts of the world and
researchers are trying to measure the intention rather than actual behaviour [20].
However, Wu and Du [73] meta-analysis on BI and UB caution the notion of IS
researchers considering BI as surrogate of UB. Because, individual’s use behaviour
towards technology cannot be measured without assessing their actual system usage.
Furthermore, Wu and Du [73] cautioned research community that they should be
circumspect of studies that measure only behavioural intention without investigating
use behaviour. Figure 1 depicts the resultant model emerging from weight analysis on
mobile shopping empirical studies.
TRM PU/PE PEOU/EE PEJ ATT SI PIN
COM
TR
FC
PR
ANX
CI SAT PBC
BI
Well Utilized Predictor
UB Experimental Predictor
[LEGEND: ANX: Anxiety; AT: Attitude; BI: Behavioural Intention; COM: Compatibility; CI:
Continuous Intention; FC: Facilitating Conditions; PBC: Perceived Behavioural Control; PEOU/EE:
Perceived Ease of Use/ Effort Expectancy; PEJ: Perceived Enjoyment; PR: Perceived Risk; PU/PE:
Perceived Usefulness/ Performance Expectancy; PIN: Personal Innovativeness; SAT: Satisfaction; SI:
Social Influence; TR: Trust; TRMV: Trust in Mobile Vendor; UB: Use Behaviour]
Fig. 1. Emergent model of mobile shopping weight-analysis
5 Conclusion
This study identified various predictors of consumer mobile shopping acceptance and
their linkage by synthesising findings from extant literature through weight analysis.
The findings emerging from this study is important for future researchers in this domain
and practitioners alike. Weight analysis results found among fourteen unique inde-
pendent variables (Table 3) only four emerged as the best predictor three on beha-
vioural intention (perceived usefulness, attitude, and social influence) and one on
continuous intention (Satisfaction). This is followed by five promising predictor two on
behavioural intention (compatibility, perceived behavioural control) and three on
continuous intention (trust, trust in mobile vendor, and perceived risk), which are more
likely candidates to emerge as best predictor in future. Therefore, researchers should
continue using promising predictors while investigating consumer mobile shopping
acceptance alongside the best predictors. The remaining five final independent vari-
ables perceived ease of use, perceived enjoyment, personal innovativeness, anxiety,
and facilitating conditions emerged only as least effective predictors on consumer

mobile shopping acceptance endogenous variables. Perceived ease of use one of the
core construct of TAM, despite being the second most frequently used predictor pro-
duced the most non-significant results. Therefore, researchers should be more cautious
while operationalizing this type of construct in their research model. They should make
necessary adaptations and/or omit irrelevant constructs such as least effective predictors
from the model depending upon context rather than having obligation to replicate all
the constructs in underpinning model/theory. Moreover, the review found almost half -
47% studies in consumer mobile shopping arena employed theories developed under
organisational context such as TAM and UTAUT. Therefore, future researchers should
employ more consumer focussed theories such as UTAUT2.
Notwithstanding the precautionary measures taken for coding and analysis, the
findings of this study is not without its limitations. First the studies involved for weight
analysis were limited only to three databases such as Scopus, Web of Science, and
EBSCO Business Source complete restricting the total number of empirical studies
available for weight analysis. In future, researchers should widen their search horizon
to more databases that will increase the number of studies available for analysis and
minimize publication bias. Second, weight analysis does not take sample size into
consideration like meta-analysis and cannot provide true effect size in a path rela-
tionship. In future, researchers should try to combine meta-analysis with weight
analysis to calculate the true-effect size of path relationships. Third, this research
included studies that employed intention and use related outcome variables pertaining
to consumer mobile shopping acceptance. In future, researchers should include all
outcome variables to provide comprehensive overview on various outcomes measured
in consumer mobile shopping acceptance arena and their predictors. Finally, this study
included only quantitative studies that reduced final number of studies available for
analysis. Future studies should include both qualitative and quantitative studies in
weight analysis.
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Social Commerce Adoption Predictors:
A Review and Weight Analysis
Prianka Sarker, Laurie Hughe(&), Yogesh K. Dwivedi,

and Nripendra P. Rana
Emerging Markets Research Centre (EMaRC), School of Management,

Swansea University Bay Campus, Swansea SA1 8EN, UK
{937449,d.l.hughes,y.k.dwivedi}@swansea.ac.uk,
ykdwivedi@gmail.com, Nrananp@gmail.com
Abstract. Social commerce is a rapidly growing platform of e-commerce that

utilises social media and online social interaction to build brand awareness and
increase sales. Buying and selling through social media can create a reliable and
sustainable platform for buyers and vendors, offering an alternative platform to
traditional online approaches. Research on social commerce began to achieve
traction in 2006 and has grown since with a significant focus from academics
who have offered new insight to many of the key topics. This study seeks to
offer an additional contribution to the literature by analysing the predictors of
consumer adoption of social commerce from existing studies by employing a
weight analysis technique. The analysis considered seven dependent variables
(along with their best and worst predictors) that are most frequently examined
and are relevant to consumer adoption. The review presented in this study
suggests that the intention to purchase is the most frequently examined
dependent variable and that trust in the social commerce context is a key factor.
Keywords: Social commerce Weight analysis Literature review
1 Introduction
Development and growth of social media platforms (such as Facebook, Twitter, Lin-
kedIn and Instagram) have given rise to a new business model for e-commerce, fre-
quently known as social commerce. Social commerce utilises web 2.0 technology and a
specially designed infrastructure to support online communications and user contri-
butions to assist in the acquisition of products and services [1]. Social commerce
technologies are not only delivering a platform for communication between consumers
to vendors as well as consumers to consumers but also creating significant challenges
for scholars that have led to the development and validation of new models and
theories. According to e-commerce marketing statistics, 74% of online consumers are
relying on social media to guide their purchases, and 60% of businesses have gained
new customers through social media within the US [2]. This highlights the importance
of social media for facilitating information diffusion and augmenting towards further
growth of e-commerce. Social commerce has proved to be an essential platform for
online shoppers where consumers can view the product, read reviews, analyse key

https://doi.org/10.1007/978-3-030-44999-5_15
Social Commerce Adoption Predictors: A Review and Weight Analysis 177
information and browse special offers [3]. The use of social commerce drives an active
engagement that regularly presents relevant product content within the consumer’s
news feed and social media interactions. In this way, consumers can interact with
others using likes, comments and tagging posts within their friend network. Moreover,
social commerce can help to generate loyal and sustainable customers via word of
mouth and by supporting other customers to make timely buying decisions [4]. There
are six dimensions of social commerce that create a sustainable social commerce
platform: social shopping; rating and review; recommendation and referrals; forums
and communities; social media optimisation; social ads and applications [5]. Due to
emerging social commerce applications and increasing interest in this topic, researchers
have conducted the number of studies to offer an additional contribution and facilitate
wider adoption of social commerce platforms. However, in this study, we analyse the
role of several different antecedents of social commerce intention and adoption that
have been examined within the literature. The analysis revealed that the effect of such
antecedents has been inconsistent across different studies in terms of significance and
coefficient relationships between independent and dependent variables. No study has
yet to conduct a consolidated view of the effect of various antecedents of social
commerce intention, use behaviour and other related dependent variables. Also, no
study has an attempt to understand the value of the relationships of social commerce
adoption. The research model is one of the essential parts of the research. Therefore, it
is also essential to understand various independent and dependent variables. However,
this study based on social commerce, the research focuses on independent/dependent
variables and relationship that influence social commerce adoption. The study is pro-
viding a robust view of the variables that will be supportive of creating a concrete
research model. The objectives of this study are to summarise the relationships and
analyse the weight of the relationship using the weight analysis technique. This study to
gain new insight into the various predictors of social commerce related dependent
variables including intention, trust, satisfaction, attitude and urge to buy impulsively.
To develop the objectives, this study undertook the following steps: (1) Identify
empirical studies that utilised different models, and associated antecedents (predictors)
for understanding consumer adoption of social commerce, (2) Conduct a weight
analysis using results from exiting studies to determine the importance of various
predictors. This paper is structured as follows. Section 2 of this paper briefly describes
the research method employed to conduct this study. Section 3 then presents the results
from the weight analysis, and the paper is concluded within Sect. 4.
2 Research Method
The literature has highlighted several types of review studies for a deeper under-
standing of this area. This review studies were attempt weight analysis method,
investigated the theories and model and conducted adoption researches. This studies
based on: specific journals e.g. [6–9]; methods e.g. [10]; theories and models e.g. [11–
15] and topics e.g. [16–29]. Searches were undertaken using Scopus database the
following set of keywords: “Social commerce” “S-Commerce” OR “F–Commerce”
AND title ABS Key “Adoption” OR “Acceptance” OR “Usage” OR “Use Behaviour”
178 P. Sarker et al.
OR “Intention” OR “Purchase”. We make sure the keywords are included in abstracts

or title or keywords of the journal paper. This search returned 166 articles. Therefore,
we eliminated the conference paper, internet and newspaper blogs and only considered
journal articles. Then we separated qualitative and quantitative studies and used
quantitative studies for applying weight analysis technique. However, 68 studies were
not related to social commerce adoption. Finally, we focus on 73 journal articles which
are related to social commerce adoption and published from 2006 to 2019.
3 Weight Analysis
Weight analysis is a practical approach to calculate the importance of predictors.

Weight analysis determines the inductive and predictive power of an independent
variable over the dependent variable. This technique helps to rank the variables to
understand the most important and least important relationships. Also, this technique
supports to calculate each relationship, significant level and the predictors’ weight. In
this study, the weight analysis technique finds out different relationships that influence
social commerce adoption. Therefore, the independent and dependent variables, which
are the most important aspects of developing a perfect adoption model. Using weight
analysis, we summarised all the relationships and segregated based on significant and
non-significant relationship. Therefore, the weight result indicated the value of the
relationships. Therefore, all the relationships, variables and weight values will be
helpful for the researcher to choose appropriate variables to develop a suitable research
model for further studies. The weight analysis approach employed within this study
was adopted from Jeyaraj et al. [30] and Tamilmani et al. [31] where the analysis of the
weights of each relationship is developed from the dependent and independent vari-
ables. This study has selected the following most frequently examined dependent
variables: Intention to purchase, Trust, Social commerce intention, Behavioural
intention, Urge to buy impulsively, Attitude and Satisfaction. Each of the listed tables
that present the weight analysis calculates the antecedents of a specific dependent
variable, the total number of times a particular relationship has been examined and how
many times each relationship is found to be significant and non-significant. The weight
columns present the weight analysis of each of the relationships. The weight analysis
provides four different values: (a) “+1” indicate the significant relationships between
independent and dependent variables and hypothesised in positive direction, (b) “−1”
indicate the non-significant relationships between independent and dependent variables
and hypothesised in negative direction, (c) “0” suggest that the relationship of inde-
pendent and dependent variable is insignificant, (d) “Blank” when the relationships
were not examined [31]. Of the 73 articles examined, 251 are unique and can be
described as exhibiting significant relationships and 32 were categorised as non-
significant relationships. These relationships were aligned to the following seven
dependent variables: intention to purchase (Table 1), trust (Table 2), behavioural
intention (Table 3), social commerce intention (Table 4), satisfaction (Table 5), urge
to buy impulsively (Table 6) and attitude (Table 7).
3.1 Intention to Purchase

Table 1 lists 32 out of 73 studies and highlights 108 individual relationships. The study
found 63 independent variables which were aligned to the dependent variable -
Intention to purchase. However, identical relationships that were examined in five or
more studies are considered as strong utilised relationships and independent variables
and were considered to be the best predictor of the dependent variable. Additionally,
less than four of the relationships were considered as experimental variables with a
weight of 0.80 or above., Independent variables could be considered as a promising
predictor when used in less the five studies and have the perfect weight of 1 [31]. In this
study, the best predictor found trust as an independent variable utilised maximum time
with purchase intention (examined eight times) with all studies finding a significant
Table 1. Weight analysis summary for intention to purchase

IV Sig Citation Non-Sig Citation Total Weight
Trust 8 Kim and park [32]; Hajli et al. [33]; 0 8 1
Makmor et al. [34]; Adwan [35];
Hajli et al. [36]; Faratin and
Rodríguez [37]; Lee and Choi [38];
Zhao et al. [39]
Familiarity 4 Adwan [35]; Hajli et al. 0 4 1
[36]; Ng [40]; Gibreel et al. [41]
Recommendations 2 Makmor and alam [42]; 1 Li et al. [51] 3 0.66
and referrals Mikalef et al. [43]
Trust toward 2 Farivar et al. [44]; Chen and Shen [45] 0 2 1
member
Brand trust 2 Zhao et al. [39]; Erdoğmuş [46] 0 2 1
Social presence 2 Adwan [35]; Hajli et al. [36] 0 2 1
Swift guanxi 2 Lin et al. [47]; Yang [48] 0 2 1
Familiarity 2 Hajli et al. [36]; Gibreel et al. [41] 0 2 1
Informational 1 Makmor and Alam [42] 1 Li et al. [51] 2 0.5
support
Perceived 0 2 Farivar et al. 2 1
commerce risk [44] Gan et al.
[50]
Social commerce 1 Hajli et al. [49] 1 Li et al [51] 2 0.5
constructs
Usefulness 1 Lee and Choi [38] 1 Gibreel et al. [41] 2 .50
The following constructs had been tested by only one study and their effect was significant with resulting weight of
1: Trust toward website; Mutual understanding; Relationship Harmony; Reciprocal favour; Trust in social network
community; Closeness; WOM Content; Observe Consumer Purchase; Positive Valence WOM; Negative valence WOM;
Social Desire; Commercial Desire; Good Friend; Simple friend; Non-reportable stranger; Re-routable stranger;
Community commitment; Trust towards community; Trust in product recommendation; Brand engagement; Form factor;
Intention to search; Para social interaction; EWOM information; Intuitive evaluation; Social identity; Rating and Reviews;
Socializing; Product selection; Trust in sellers; Usage behaviour; System trust towards social commerce apps; Utilitarian
value; Social value; Hedonic value; Social commerce information seeking; Innovativeness; Guanxi elements; Perceived
value; Customers’ experience; Discount rate; Social media product browsing; Positive; Observing consumer purchasing;
Heuristic factors; Systemic factors; Attitude; Trust in sellers; Forums and Communities; Attitude towards eWOM;
EWOM engagement; Social commerce information seeking
The following constructs had been tested by only one study and their effect was nonsignificant with resulting
weight of 0: Perceived ease of use; Income; Emotional support; Information availability; Customer loyalty;
Particularized trust towards social commerce members; Electronic inventiveness; Scarcity of time; Scarcity of quality;
Provisional coupon
effect. Familiarity has been utilised in four instances and all have found significant.
Five independent variables occur in two instances with buying intention, and those are
Recommendations and referrals, Trust toward member, brand trust, social presence
and Swift Guanxi with weight “0”. Additionally, 74 independent variables have
occurred with a weight of “1”. Recommendations and referrals have been utilised
three times and found to be significant in two studies and non-significant in one study
with a weight “0.66”. Informational support, perceived commerce risk, social com-
merce construct and usefulness analysis with intention to buy found two non-
significant relationships. The weight result found “0.50” in three of those relation-
ships. Finally, ten relationships found non-significant with weight “0” (See Table 1).
3.2 Trust
Table 2 represents 24 studies and 52 relationships on the subject of trust. The study
found six significant relationships among information quality and trust. Additionally,
five studies found significant associations between relationship quality and trust.
However, three independent variables: emotional support, social presence, familiarity
have occurred four times with trust and found significant relationships. The weighted
analysis of the above relationships results “1” and were found as best predictors. Four
hypotheses (Reputation, communication, size and WOM referrals) appeared twice and
found significant relationships with weight “1”. The product price has found one
significant and one non-significant relationship with the weight result “0.50”. The 19
independent variables found highlighted a relationship towards trust and found a
significant correlation with weight “1”. Finally, two more relationships found to be
non-significant with a weight result “0” which are the worst predictors in the study.
Table 2. Weight analysis summary for trust

IV Sig Citation Non- Citation Total Weight
Sig
Information 6 Lu et al. [52]; Faratin 0 6 1
quality and Rodríguez [37]; Lin
et al. [24]; Kim and Noh
[34]; Shanmugam et al.
[32]; Li et al. [51]
Relationship 5 Liang and Turban [1]; 0 5 1
quality Zhang et al. [54]; Hajli
[55]; Sheikh et al. [56];
Tajvidi et al. [57]
Emotional 4 Makmor et al. [34]; Lin 0 4 1
support et al. [47]; Shanmugam
et al. [53]; Li [51]
Social presence 4 Adwan [35]; Li et al. 0 4 1
[51]; Hajli [58]; Lu et al.
[52]
(continued)
Sig
Familiarity 4 Gibreel et al. [41]; Hajli 0 4 1
[32]; Adwan [35]; Li
[51]
Reputation 2 Lu et al. [52]; Kim and 0 2 1
Noh [59]
Communication 2 Lu et al. [52]; Kim and 0 2 1
Noh [59]
Size 2 Lu et al. [52]; Kim and 0 2 1
Noh [59].
Word-of-Mouth 2 Lu et al. [52]; Gibreel 0 2 1
referrals et al. [41]
product price 1 Yahia et al. [60] 1 Gibreel 2 .50
et al.
[41]
The following constructs had been tested by only one study and their effect was
significant with resulting weight of 1: Internal similarity, External similarity, Closeness,
Social presence of interaction with sellers, Perception of others, Trust in sellers, Susceptibility
reviews, General credibility, Perceived Security, E-WOM information, Perceived security,
Perceived ease of use, Trust in product, Symbolic value, Feedback, Interactivity, Social
Commerce Constructs, Transaction Safety
nonsignificant with resulting weight of 0: Persuasiveness, Economic Feasibility
3.3 Behavioural Intention

Table 3 presents 11 studies on behavioural intention as the dependent variable. The
literature analysis found 26 significant relationships among various independent vari-
ables with behavioural intention and six non-significant relationships. The best pre-
dictor is perceived usefulness which was appeared in six studies with the weight “1”.
Perceived ease of use hypnosis in four studies with significant relationship and one
study found non-significant relationship that weight “.080”. Risk appeared in three
studies and weight “0.66”. Three studies quantified the factors - effort expectancy,
facilitating conditions and social influence with behavioural intention as significant and
defined one as non-significant with weight result “0.50”. The worst relationship found
among Perceived connective affordances and behavioural intention with weight
result “0”.
Table 3. Weight analysis summary for behavioural intention

Sig
Perceived 6 Williams [61]; Biucky 0 6 1
usefulness et al. [62]; Hajli et al.
[58]; Featherman [63];
Shin et al. [66]; Tello
et al. [64]
Perceived 4 Kim and Noh [59]; 1 Williams 5 .80
ease of use Hajli [58]; Biucky et al. [61]
[62]; Featherman and
Hajli [63]
Risk 2 Biucky et al. [62]; Tello 1 Featherman 3 .66
et al. [64] and Hajli
[63]
Effort 1 Gatautis and 1 Sheikh et al. 2 .50
expectancy Medziausiene [65] [68]
Facilitating 1 Gatautis and 1 Sheikh et al. 2 .50
conditions Medziausiene [65] [68]
Social 1 Gatautis and 1 Sheikh et al. 2 .50
influence Medziausiene [65] [68]
Perceived 2 Shin [66]; Akman and 0 2 1
enjoyment Mishra [67]
Subjective 2 Featherman and Hajli 0 2 1
norm [63]; Shin [66]
significant with resulting weight of 1: Learning and training, perceived hedonic affordances,
perceived utilitarian affordance, Innovativeness, Convenience, Perceived Social pressure,
Perceived satisfaction, Perceived awareness, perceived Ethics, Trust perception person, The
website’s reputation, Website visual and design, Attitude, Social commerce constructs, Price
saving orientation, Hedonic motivations, Habit, Performance expectancy
The following constructs had been tested by only one study and their effect was non-
significant with resulting weight of 0: Perceived connective affordances
3.4 Social Commerce Intention

Social commerce intention quantified as dependent variables appeared in 11 studies
with 40 relationships. However, 35 relationships were found to be significant, and five
relationships defined as non-significant. Table 4 lists various independent variables
with the relationship between social commerce intentions. Social support with social
commerce intention was found to be the best predictors. The relationships have
appeared in five studies with weight “1”. Therefore, Flow, relationship quality, website
quality and social presence appeared three times with significant relationships. Infor-
mational support, trust towards community and emotional support found twice with
significant relationships as well. However, all the relationships are weight “1” which is
found as best predictors. Finally, the worst predictors are Habit, forums and commu-
nities, recommendations and referrals, perceived interactivity and perceived personal-
ization with social commerce intention found the negative relationship and weight “0.”
Table 4. Weight analysis summary for social commerce intention

Sig
Social support 5 Liang and Turban [1]; 0 5 1
Hajli [55]; Zhang et al.
[54]; Sheikh et al. [28];
Hajli and Sims [74]; Hajli
[55]; Liang et al. [69];
Zhang et al. [54] sheikh
et al. [56]; Hajli and Sims
[70]
Flow 3 Zhang et al. [71]; 0 3 1
Molinillo et al. [72]; Bhat
and Singh [73]
Relationship 3 Hajli [55]; Liang et al. 0 3 1
quality [69]; sheikh et al. [56]
Web site 3 Liang and Turban. [1]; 0 3 1
quality Molinillo et al. [72]; Bhat
and Singh [43]
Social 3 Zhang et al. [71]; 0 3 1
presence Molinillo et al. [72]; Bhat
and Singh [43]
Informational 2 Molinillo et al. [72]; Lal 0 2 1
support [74]
Trust towards 2 Lal [74]; Goraya et al. 0 2 1
community [75]
Emotional 2 Molinillo et al. [72]; Bhat 0 2 1
support and Singh [43]
significant with resulting weight of 1: Social commerce constructs, Rating and reviews,
Community commitment, Trust towards Members, Service quality, Perceived Sociability,
Trust in Platform, Ease of navigation, Hedonic motivation, Perceived ease of use, facilitating
conditions, Trust in the s-vendor
significant with resulting weight of 0: Perceived personalization, Perceived interactivity,
Recommendations and Referrals, Forums and Communities, Habit
3.5 Satisfaction
Nine studies used satisfaction as dependent variables and are presented in Table 5. In
this study we found 19 significant relationships and one non-significant
relationship. The study found the best predictors are Social support, utilitarian, hedonic,
relationship quality and confirmation that appeared twice. However, the relationships
are found significant with weight “1”. Information quality with satisfaction appeared
once as a significant and once as a non-significant predictor and found the weight
“0.50”. Moreover, Perceived usefulness, trust, service quality, system quality, physical
environment quality, outcome quality, interaction quality, perceived risk has relation-
ship with satisfaction and result significant with weight “1”. This study did not find any
non-significant relationships within the literature.
Table 5. Weight analysis summary for satisfaction

Sig
Social 2 Gan et al. [50]; Osatuyi 0 2 1
support et al. [76]
Utilitarian 2 Gan et al. [50]; Osatuyi 0 2 1
et al. [76]
Hedonic 2 Gan et al. [50]; Osatuyi 0 2 1
et al. [76]
Relationship 2 Liang and Turban [1]; 0 2 1
quality Zhang et al. [54]
Confirmation 2 Hew et al. [77, 78] 0 2 1
Information 1 Vongsraluang and 1 Cho and 2 0.5
quality Bhatiasevi [79] Son [80]
significant with resulting weight of 1: Perceived usefulness, trust, Service quality, system
quality, physical environment quality, outcome quality, interaction quality, perceived risk
3.6 Urge to Buy Impulsively

Urge to buy impulsively was referenced in six different studies with 12 signifi-
cant relationships and one non-significant relationship. Table 6 presents the urge to
buy impulsively as dependent variables with Hedonic shopping value and impulsive-
ness as independent variables. Both of the relationships appeared twice and
found significant predictors with weight “1”. However, the independent variables such
as consumer attitude, arousal, pleasure, affective trust in recommender, serendipity
information, scarcity, para social interaction and perceived enjoyment relationship
with the urge to buy impulsively found significant with weight “1”. Therefore, the
worst predictor is utilitarian shopping value with weight “0”.
Table 6. Weight analysis summary for urge to buy impulsively

Sig
Hedonic 2 Chung et al. [81]; 2 1
shopping value Xiang et al. [82]
Impulsiveness 2 Chung et al. [81]; 2 1
Xiang et al. [82]
significant with resulting weight of 1: Consumer attitude, arousal, Pleasure, Affective trust in
recommender, Serendipity information, Scarcity, Para social interaction, Perceived enjoyment
significant with resulting weight of 0: Utilitarian shopping value
3.7 Attitude
Table 7 has listed consumer attitude towards social commerce. Five studies used at-
titude as a dependent variable. In this study, the best predictor is perceived enjoyment
with attitude that appeared in two studies and found significant relationships. However,
Usefulness, Ease of use, Social interaction, Vendor trust, Social networking site trust,
Systemic factors, Heuristic factors, Perceived benefit, Trust in the initiator, Peer norm,
Trustworthiness and Attractiveness with attitude weight “1”.
Table 7. Weight analysis summary for attitude

IV Sig Citation Non-Sig Citation Total Weight
Enjoyment 2 Shin [66]; Cho and Son [80] 0 2 1
significant with resulting weight of 1: Usefulness, Ease of use, Social interaction,
Vendor trust, Social networking site trust, Systemic factors, Heuristic factors,
Perceived benefit, Trust in the initiator, Peer norm, Trustworthiness, Attractiveness
4 Discussion and Conclusion
This study conducted a weight analysis technique to determine the importance of

various predictors of consumer adoption of social commerce. However, it is essential
that a robust research model needs reliable variables, and this study provided a sum-
mary of those variables. The results revealed the most important independent and
dependent variables that influence social commerce adoption. Using weight analysis
technique, the study finds out the different value of the predictors. The study found
Trust, behavioural intention, social commerce intention, urge to buy impulsively,
satisfaction and attitude that used in maximum studies that influence social commerce.
The weight analysis has identified the best, moderate and worst predictors of consumer
adoption for social commerce. The analysis of this study found that Trust to purchase
intention, information quality with Trust, social support with social commerce intention
and satisfaction, informational quality with behavioural intention, perceived enjoyment
with attitude and hedonic shopping value with the urge to buy are the best predictors.
There is no study without limitation. However, this study points out some limitation
and recommend future step for the scholar to take forward this study. Firstly, the study
has considered journal papers. Therefore, future research could involve conference
papers to minimise publication bias. Secondly, the study did not include any control
variables. However, future research can separately analyse them and can showcase their
impact on the independent/dependent variables. Thirdly, this study considers the
essential variables and relationship that influence social commerce adoption. However,
some other variables appeared in less study. A future study could involve those for a
better view. Lastly, the study considered the weight analysis method. Therefore, Future
research can extend this study further using a different method such as Meta-analysis
with the combination of weight analysis.
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Digital Entrepreneurship in Business
Enterprises: A Systematic Review
Samuel Anim-Yeboah, Richard Boateng(&) ,

Emmanuel Awuni Kolog , Acheampong Owusu ,
and Ibrahim Bedi
University of Ghana Business School, Box LG 78, Accra, Ghana

Richboateng@ug.edu.gh
Abstract. This study systematically reviews extant contemporary literature on

digital entrepreneurship in peer-reviewed journal articles over six years (2013–
2018) from six journal databases. It involved a systematic literature review of 101
papers from 53 journals focusing on the publication outlets, yearly trends,
themes, and associated theoretical and conceptual approaches, methodologies,
sources and geographical distribution of digital entrepreneurship research. The
findings suggest that extant literature mostly lacked sound theoretical under-
pinnings. More work adopting appropriate and proven theoretical approaches is
needed. Most of the reviewed papers also focused mainly on issues relating to the
technology itself than those relating to the enterprise or the entrepreneur. The
capabilities and capacities of enterprises, as well as the strategies in implementing
digital technologies and harnessing the opportunities of digitalization, are key
issues that have not hitherto received much attention. The study contributes to the
understanding of the conceptualization of the digital entrepreneurship phe-
nomenon. Future research should consolidate the understanding of the field, with
models and frameworks that recognize digital entrepreneurship as an academic
research field in its own right, and also consider the impact of enterprise capa-
bilities and capacities on digital entrepreneurship.
Keywords: Digital technology Digital entrepreneurship Business

enterprise Systematic review
1 Introduction
Digital entrepreneurship is generally defined as the pursuit of business or economic

opportunities based on the use of digital technologies [9], and this definition is adopted
for this study. The entrepreneurs involved in the digital entrepreneurship are then
described as digital entrepreneurs while the resulting ventures or firms, which provide
economic and social value for themselves or their communities, are referred to as
digital enterprises [9, 50]. Although researchers and policymakers have widely used the
term ‘digital entrepreneurship’, its conceptualisation remains elusive, with very little
evidence of scholarship in the field [50].
There is a growing interest in digital entrepreneurship since it is considered to be
the ultimate and contemporary trend in entrepreneurship development due to the rapid

https://doi.org/10.1007/978-3-030-44999-5_16
Digital Entrepreneurship in Business Enterprises: A Systematic Review 193
development of digital technologies and the emerging digital economy [20]. Bog-
danowicz [2] also emphasises the renewed and increasing interest in digital
entrepreneurship and calls for empirical evidence [24].
Despite the increased interest in digital entrepreneurship and technology-based
innovations, there has been limited clarification of the concept from different per-
spectives and conceptualisations. Moreover, there has also been a lack of contextual
and conceptual development and discussion of the concept of digital entrepreneurship,
as most prior research examined only the sporadic phenomena associated with it [42,
50]. Furthermore, some critical and fundamental issues about digital entrepreneurship
currently remain unresolved in the literature. These include how digital technologies
transform entrepreneurship, how digital entrepreneurship predicts performance out-
comes, and how digital entrepreneurship differs from traditional entrepreneurship [48,
50]. Meanwhile, not much has been done in terms of reviewing the body of literature
and research trends in digital entrepreneurship, so the need for conceptualisations in the
field is much desired [34].
Furthermore, there is a dearth in knowledge regarding the detailed classification of
digital technology-enabled entrepreneurship and enterprises, making it difficult to
appreciate the current level of understanding and boundaries of the original concept
[36, 41]. Additionally, the current conceptualisation of digital entrepreneurship is
considerably diverse. While some researchers have opted for a broad conceptualisation
of digital entrepreneurship as a combination of digital technology and entrepreneurship
innovation [1, 14], others have limited the concept to the attainment of entrepreneur-
ship goals with digital technological applications [44].
It is essential to review achievements and studies to date, regarding what has been
done, what needs to be revisited and what is still missing in the field, in order to better
appreciate and promote the development of digital entrepreneurship on the academic
and research front [33]. A review of studies on the concept of digital entrepreneurship
is necessary to evaluate the current understanding of, and complementary perspectives
on, how the digital technology revolution has permeated entrepreneurship and inno-
vation [22].
Hence, compelled by the challenges posed by the development of the digital
entrepreneurship concept, particularly in the IS research environment, this study seeks
to provide a systematic review of the extant literature on digital entrepreneurship. The
study will identify and describe the major issues, themes, trends, distribution, and focus
of research on the concept. It will also examine the methodological and theoretical
approaches to past studies on the concept, identify the limitations and gaps in the
literature, and offer recommendations for future research. The resulting review is
expected to serve as a one-stop source, offering insight into what has been accom-
plished so far, what is currently being done, and what challenges and opportunities lie
ahead, in terms of research on digital entrepreneurship. The study, therefore, addresses
the following questions to achieve this:
1. What are the major trends, characteristics, and distribution of research work on
digital entrepreneurship?
2. What major issues and themes are being focused on and discussed in digital
entrepreneurship research?
194 S. Anim-Yeboah et al.
3. What theoretical, conceptual, and methodological, approaches are being used to

address digital entrepreneurship research?
4. What are the limitations and gaps in the extant literature on digital entrepreneurship?
This study seeks to systematically review research articles concerning digital
entrepreneurship in peer-reviewed journals from six major journal databases, over six
years. The next section presents the methodology employed, while the third section
presents the findings and discussions. The fourth section elaborates the limitations and
gaps identified, followed by the conclusion and contribution.
2 Methodology
The study was conducted as a systematic literature review (SLR) of extant studies on
the conceptualisation of digital entrepreneurship [37]. The searches for articles were
conducted in six electronic databases for which the researcher had full-text access:
ScienceDirect/Elsevier, Emerald, AIS Library, Sage, Springer, and Taylor and Francis.
Although these databases may not exhaustively list all relevant journals, they, however,
cover a reasonable portion of the existing database for IS journals. As Levy and Ellis,
[29] noted in their guide to a systematic approach to a literature review in IS, it is better
to use multiple databases in conducting literature searches, since the IS domain is
multidisciplinary and IS literature outlets are highly diversified. Quality IS literature is
dispersed through-out hundreds of databases and some of the databases used in this
study, being multidisciplinary, are among those recommended by Levy and Ellis, [29]
as useful for IS research. Moreover, most journals in these databases are globally top-
ranked IS journals [4]. Against this backdrop, the list of databases above was a fair and
adequate representation of the relevant IS databases suited for digital entrepreneurship
study, which is a multidisciplinary subject.
The searches were conducted using “digital innovation” and “digital entrepreneur-
ship” as search terms. Other keywords included “digital enterprise,” “digital econo-
mies,” “digital technologies,” and “innovative technologies.” The search was limited to
articles published between January 2013 and August 2018, resulting in 175 papers or
articles, that were downloaded.
The exclusion criteria applied included the delimiting of the papers to peer-
reviewed research articles, and hence, conference papers and book chapters were
excluded from the study, in addition to stock reviews. The articles were also restricted
to those concerning business entrepreneurship and business enterprises, and thus, all
articles concerning policy, education, and social entrepreneurship were eliminated.
After the papers had been identified and elicited, they were sorted and cross-checked to
eliminate duplications.
Ultimately, 101 articles from 53 journals were selected. The selected papers were
then classified based on the publishing journal, year of publication, digital technology
issues and themes, theoretical and conceptual approaches and frameworks, research
methodologies and methods, data sources and levels of analysis. The data collected on
the various classifications were analysed and summarized using descriptive statistics.
3 Findings and Discussions

3.1 Publication Databases and Journals
Regarding the distribution of the articles in the databases, it was found that Emerald
hosted the majority of the publications, followed by ScienceDirect, Springer Link, and
Taylor and Francis. Sage and AIS Library, by contrast, had small numbers of journals
and articles, with particularly the AIS Library having the least. Such observation may
be explained by the fact that, because digital entrepreneurship researches straddle
multidisciplinary fields, it may be expected that libraries and databases that accom-
modate multidisciplinary fields will have more articles on digital entrepreneurship [29].
Moreover, apart from the AIS Library, which contains papers specifically related to IS,
the other libraries (Emerald, ScienceDirect, Taylor and Francis, Springer Link and
Sage) contain papers from several different fields [29].
In terms of the number of articles per journal, the Journal of Small Business and
Enterprise Development had the highest number of 11 (10.9%) articles and is followed
by Technological Forecasting and Social Change with 9 (8.9%) articles. The Infor-
mation and Management journal had 5 (4.9%) articles, Journal of Business Research
and the Journal of Information Technology had 4 (4.0%) articles each, while the
Journal for Innovation and Entrepreneurship, Journal of Strategic Marketing, Small
Business Economics journal and the Journal of Open Innovation, Technology, Market
and Complexity had 3 (3.0%) articles each. Twelve (12) of the journals had 2 (2.0%)
articles each while the rest of the journals, thirty-two (32) in all, had 1 (1.0%) article
each.
The focal areas for many of the journals from which the papers were obtained
included information systems (IS), information technology (IT), innovation, business,
entrepreneurship, management, marketing, human relations, governance, regulation,
operation, production, knowledge, planning, strategy, gender, and other diverse fields.
These focal areas suggest the suitability of the journals for digital entrepreneurship
research, which is a multidisciplinary concept that is applied in different scientific and
academic fields. It further corroborates the observation that digital entrepreneurship is
multidisciplinary in perspective [5, 45, 47].
3.2 Year of Publication

The distribution of the publications by year (Fig. 1) shows an increasing trend of
articles on digital entrepreneurship from January 2013 to August 2018. Throughout the
period under study, the number of papers published continually increased from six
papers in 2013 to 33 papers in 2018 (up to August only), representing more than five-
fold increment. Apart from an insignificant drop from six in 2013 to five in 2014, the
increment was consistent, as the number of papers increased to 13 in 2015, 14 in 2016,
30 in 2017, and 33 in 2018. This trend shows that the number of publications is likely
to increase further in the future.
Yearly Trend of Publication

40
No. of Papers
20
0
2013 2014 2015 2016 2017 2018
Frequency 6 5 13 14 30 33
Fig. 1. Trends in the publication by year (N = 101)
This trend shows a growing interest in digital entrepreneurship, not only in practice
and policy but also in research, which affirms Kelestyn and Henfridsson’s [27] claim.
Considering the proliferation of digital technology and information technology
(IT) based business, the increase in digital entrepreneurship research is expected to
continue for several years [19, 27, 30].
3.3 Focus and Categories of Research Issues and Themes

The study identified several issues of focus in the papers reviewed. These issues were
grouped into four categories as (i) those that focused directly on the technology
involved (73 papers), (ii) those that focused on the relationships and interactions with
the technology (58 papers) (iii) those that focused directly on the enterprise (53 papers),
and (iv) those that focused on the entrepreneur (13 papers).
The technology-focused issues concerned digital technologies like mobile tech-
nology, e-business platforms, social media, cloud computing, big data, crowdsourcing,
internet, enterprise systems, and blockchain [49]. Some of the technology-focused
articles, however, did not indicate any specific technologies but mentions digital
technologies or ICT in general. The interaction-focused issues comprised access,
adoption, impact, role, influence, possession, trust, and use of digital technology. The
enterprise-focused issues involved demographics, business model, innovation, trans-
formation, performance, productivity, profitability, value, expansion, growth, conver-
gence, ecosystems, incubations, start-ups, cooperation, competition,
internationalisation, marketing, stakeholder collaboration, success factors, and strategic
orientation. The entrepreneur-focused issues encompassed behaviour, gender, com-
petence, perception, positions, and management.
Given that digital entrepreneurship is ICT-driven [35], it was not surprising that the
technology-focused issues (from 73 papers) dominated the various issues addressed.
The distribution of the themes within the technology focussed issues shows that most
of the papers, 33 articles (32.7%) did not specify the exact technology theme.
Specifically, the dominant technology theme identified from the publications on digital
entrepreneurship included e-business platforms with 12 (11.9%) papers and social
media platforms with 10 (9.9%) papers. Other digital platforms and mobile technology
reflected in 4 (4.0%) papers each while cloud computing had 3 (3.0%) papers. The
enterprise systems and blockchain were considered in 2 (2.0%) papers, whereas

internet service, big data, and crowdsourcing reflected in 1 (1.0%) paper each. The e-
Business, social media, other digital platforms, and mobile application are all expected
to feature as main themes in publications on digital entrepreneurship due to their
popularity. Of the 58 papers that focused on issues of the interactions with technology,
17 (16.8%) focused on influence, 13 (12.9%) on adoption, 11 (10.9%) on impact, 7
(6.9%) on use, 6 (5.9%) on role, 2 (1.6%) on trust and 1 (1.0%) each on access to and
possession of the technology. Whereas, out of the 53 papers with enterprise-focused
issues 17 of them focused on business model, innovation and transformation; 10 on
business growth, expansion, performance, success factors and return on investment; 7
on ecosystems, incubation and sharing economy, 6 on competition, convergence,
collaboration and cooperation; 5 on enterprise processes, institutional and social
interactions; 4 on enterprise state, demographics, boundaries and employment; and 4 on
marketing and strategy. Meanwhile, of the 13 papers focusing on entrepreneur related
issues, 5 focused on the entrepreneur’s perspectives, perceptions and behaviour; 3 on
entrepreneur’s gender, race and class; 3 on entrepreneurial competence and another 3
on ownership and management. These constitute the trending issues that dominate
contemporary discussions and study of digital entrepreneurship.
3.4 Theoretical and Conceptual Approaches

Regarding the use of specific theories or concepts, the findings show that 57 (56.4%) of
the papers had no theory or concept underpinning it, while 44 (43.6%) had theories or
frameworks. Of the 44 papers that were underpinned by theories or concepts, 35
(34.6%) used single theories, while 9 (8.9%) combined two or three theories. Mean-
while, 14 (13.9%) of the 35 papers that used single theory or concept and 1 (1.0%) of
the nine papers that combined theories or concepts utilized the author’s frameworks.
This implies that only 29 (28.7%) of the papers, comprising 21 (20.8%) of the 35
papers with single theory and 8 (7.9%) of the nine papers with combined theories,
utilized known and established theories or concepts.
In all 28 different known and established theories and concepts were employed. The
Dynamic Capability theory was used in 4 papers, while the Resource-Based View was
used in 3 papers. Diffusion of Innovation, Institutional Theory, Technology Acceptance
Model, Technology Organization and Environment framework, Theory of Planned
Behavior, and the Trust Theory were used in two papers each, while each of the
remaining 20 theories was used in one paper each. The theory-based studies focused on
enterprise-related issues such as business model, value, process, innovation, and
transformation, as well as competition, expansion, marketing, and strategic orientation.
The review also shows that some of the studies with no theories could have been
underpinned with applicable theories in IS literature such as social theories, socio-
technical theories, institutional theories and the Task-Technology Fit (TTF) theoretical
framework which could explain the assumptions on which many of the publications
were conducted [6, 38, 43].
These theories and concepts that were used by the papers reflect the wide appli-
cation of different theories and concepts in digital entrepreneurship for different pur-
poses, depending on the focus of the research, which emphasizes the multidisciplinary
nature of digital entrepreneurship with a diversity of research approaches. With fewer

papers, 29 (28.7%) in all, utilizing 28 different established theories and concepts also
suggests the newness of the knowledge area in research. For studies in digital
entrepreneurship to gain prominence in the IS research landscape, further work based
on grounded, appropriate, and credible theoretical approaches should be considered.
Among the theories used, the most dominant was the social theories approach with
25 (24.8%) papers, followed by the socio-technical theories approach with 11 (10.9%)
papers and the technical theories approach with 5 (4.9%) papers. The dominance of
social theories could be due to the social nature of entrepreneurship studies. Many of
the studies that used social theories focused on ICT adoption and impact [11, 18, 39],
while others used the theories to explain the influence and impact of ICT on business
[8, 12, 40]. From the review, it also emerged that studies that adopted the socio-
technical theories approach focused on the influence of ICT in business [6], the extent
of ICT adoption, and barriers to its adoption [38]. The theories applied in the publi-
cations reviewed are popular and prominent in IS research.
3.5 Research Methodology Used and Trend

Regarding the classification of the publications by the research methodology employed,
four distinct groups emerged, namely, those that used mixed methods, qualitative
methodology, quantitative methodology, and those with no defined methodology.
Regarding the distribution, the results show the almost equal distribution for studies
using qualitative (41 (40.6%) papers) and quantitative methodologies (39 (38.6%)
papers), which were the dominant approaches. Just a few papers used mixed methods 3
(3.0%), while a reasonable number did not use any defined methodology 18 (17.8%).
Of the 41 quantitative papers, 22 (21.8%) were based on theories, of which 15
(14.9%) were established theories. Whereas, of the 39 qualitative papers, 17 (16.8%)
were based on theories, of which 12 (11.9%) were established theories. Having 83
(82.2%) of the papers with both quantitative and qualitative methodologies almost
equally shared suggest that the digital entrepreneurship research is becoming more
mature with proven methodologies. The 18 studies that were not underpinned by any
defined methodology were made of 16 reviews, and two content analysis papers and
most did not have any theory as well. Moreover, with 13 of the 18 no defined
methodology and review papers published in 2017 and 2018, it goes to suggest the
growing interest in exploring the research already done in the area of digital
entrepreneurship.
It was further observed that both quantitative and qualitative methodologies have
increased in use in recent years (Fig. 2). The increasing use of qualitative methodology
suggests the subjection of digital entrepreneurship to exploratory research, being a new
field, while the increasing dominance of quantitative methodology also reveals the
simultaneous development of statistical rigor and analysis [21, 39]. According to
Creswell [7], qualitative methods are commonly used in fields that are new and require
more exploratory research designs, hence the observed trend reflects the attractiveness
of digital entrepreneurship as a new area of research.
15 Trend of Methodology
14
13
11
10 10
8 8
5 6
5
4 4 4
3
2 2 2
0 1 1 1 1
0 0 0
2013 2014 2015 2016 2017 2018
QualitaƟve QuanƟtaƟve Mixed Method Undefined
Fig. 2. The yearly trend of research methodology
3.6 Data Sources, Research Methods and Levels of Analysis

The data sources used in the publications included secondary sources, primary sources,
and some undefined sources. The results indicate that about two-thirds, 68 (67.3%) of
the papers used data from primary sources, whereas about a quarter, 27 (26.7%) of the
papers used secondary data sources. The data sources available for a study largely
depend on the availability of previous studies on the topic and the research approach
employed. The survey and case study research approaches tend to employ primary
sources [12, 31, 32], whereas most reviews tend to rely on secondary sources [10, 46].
Based on the results of the study, survey and case study were the two dominant
methods used, which resulted in the use of primary data sources for many of the papers.
Meanwhile, the data sources and methods used are also influenced by the level of
research development in the field of inquiry [25]. In relatively new areas of research,
obtaining secondary data or the adoption of a literature review approach may be
hampered. The limited use of secondary data sources in many of the works published in
this area reflects the relative newness of the field. This assertion is also reflected in the
research approach that was employed in the study. From the results, it is clear that the
most widely used methods were a survey, case study, literature review, and interviews.
The use of the case studies and interviews suggest that more exploratory and
descriptive questions are being asked at the same time that rigor is being sought
through surveys. The greater use of the research approaches mentioned above, com-
pared to others, suggests that many of the papers were focused on discovering and
describing phenomena related to digital entrepreneurship [25]. Interestingly of the 35
papers that used a case study or interview methods, 21 of them have no theory base,
which further emphasizes the exploratory and descriptive purposes. The focus of such
papers included adoption, impact, influence and use of digital technologies like social
media, e-business, enterprise systems and crowdsourcing [15, 28].
Research methods, approaches, and data sources used may also be entirely
dependent on the level of analysis that the researcher intends to perform [3]. The results
show that many of the studies were conducted at the micro-level, with very few at the
macro- and meso- levels, which suits entrepreneurship research [25]. The current focus
on organizational level noted in the study may be explained by the fact that many of the
studies are applied studies that do not simply seek to advance knowledge, but also to
understand, contextualize and explore the practices of entrepreneurs and SMEs that
have adopted digital innovation technologies [13, 16, 17, 23, 26, 38].
4 Limitations, Gaps and Future Research
The main limitation of the study was the restriction of the electronic databases to only
six, namely AIS Library, Emerald, Sage, ScienceDirect/Elsevier, Springer Link, and
Taylor and Francis Online. Another limitation is the restriction of the study to articles
published between 2013 and 2018. Such limitations would result in some appropriate
articles being eluded. Future research could expand on the database and also consider
other forms of digital entrepreneurship.
Only a few of the studies discussed had sound theoretical underpinnings. A major
gap identified, is the limited use of theoretical and conceptual frameworks that would
bring the concept of digital entrepreneurship up to par with major areas of academic
inquiry in IS research. Meanwhile, for studies in digital entrepreneurship to acquire
some eminence in the IS research purview, more work adopting appropriate and proven
theoretical approaches is needed. Few papers focused on issues relating to the enter-
prise while much fewer papers focused on the entrepreneur. Future research should
consider the drivers and motivation of the entrepreneur for digital entrepreneur-
ship. The capabilities and capacities of enterprises, as well as the strategies in imple-
menting digital technologies and harnessing the opportunities of digitalization, are key
issues that have not hitherto received much attention.
Future research should consolidate the understanding of the field, with models and
frameworks that recognize digital entrepreneurship as an academic research field in its
own right, and also consider the impact of enterprise capabilities and capacities on
digital entrepreneurship.
5 Conclusion and Contribution
There is an arguable case for acknowledging digital entrepreneurship as a distinct field

that has attracted considerable scholarly attention in recent years. As a multidisciplinary
and multi-sectoral subject, research on digital entrepreneurship encompasses many
fields. Owing to the broad range of research within the scope of digital entrepreneur-
ship, the understanding of the concept is diffuse and open to misinterpretation.
The paper provides guidance for researchers with insight into the conceptualization
of digital entrepreneurship as a multidisciplinary research field. It will also help aca-
demicians understanding a holistic view of available research and the developing trend
in digital entrepreneurship. This paper contributes to information systems research by
describing and classifying the published literature in digital entrepreneurship and by
pointing out the gaps where further research is most needed. Furthermore, the paper
provides a framework that may provide a conceptual structure for future studies in
digital entrepreneurship.
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Assessing the Role of Trust in Merchant
Adoption of Mobile Payments in Ghana
Eunice Yeboah, Richard Boateng , Acheampong Owusu(&) ,

Eric Afful-Dadzie, and Joshua Ofori-Amanfo
University of Ghana Business School, Box LG 78, Accra, Ghana

aowusu@ug.edu.gh
Abstract. Encouraged by the crucial need to understand merchant adoption of

mobile payment, this study explores the role trust play in the adoption of mobile
payment by merchant and the enablers for merchant’s trust in mobile payment
systems. This was done by Conceptualising the characteristics of the service
provider and technology characteristics as the two dimensions that could
influence merchant adoption of mobile payments. The study was done through
the lenses of the Technology Acceptance Model (TAM) and the Trust-Theoretic
Model and adopted a qualitative approach where two merchants were selected
from the health sector. The findings demonstrate that the role of merchant trust is
very critical for adoption due to m-payment technology and security risk. Hence,
sufficient trust-building structures in mobile payment space are essential for the
adoption of mobile payment by merchants. Moreover, the findings indicate
mobile service provider characteristics and the mobile technology characteristics
are both imperative toward building trust in mobile payment systems for mer-
chants’ adoption. The study also found that the trust of both technology and
service provider has a far more critical influence on merchants’ adoption of
mobile payments than perceived usefulness or ease of use. The study, therefore,
recommends that service providers should consider the opportunity to nurture
merchant trust because merchant trust acts as a fundamental enabler for the
adoption of mobile payments. Other implications are also discussed.
Keywords: Merchants Adoption M-payments Trust Ghana
1 Introduction
Mobile technology evolution and the extensive diffusion of mobile phones in per-
forming several functions and tasks, has led to the phenomenal growth in the owner-
ship of mobile phones globally. Notable among these everyday tasks is the use of
mobile phones in making payments for goods and services without the need for cash or
participation of banking institutions (Liébana-Cabanillas and Lara-Rubio 2017;
Dahlberg et al. 2015; Chandra et al. 2010). This rising interest in mobile payment usage
from the consumer to the merchants has become a strategic tool that facilitates positive
business outcomes (Congdon 2016). Further, this innovative payment solution is
considered a bedrock for competitive advantage, productivity, and growth, providing a
way for businesses to achieve efficiency (Hsiao 2019). The high penetration of mobile

https://doi.org/10.1007/978-3-030-44999-5_17
Assessing the Role of Trust in Merchant Adoption of Mobile Payments in Ghana 205
payments within society, its accessibility and ease of use has led to experts classifying
mobile payments as the potential payment of choice (Liébana-Cabanillas and Lara-
Rubio 2017; Cabanillas et al. 2016). This makes mobile payments deployment relevant
to the growth and development of businesses across the world (Oliveira et al. 2016).
More importantly in developing countries, the mobile payment revolution is trans-
forming households and businesses by providing a business solution to small and
medium-sized businesses as well as mobile phone-related financial services to the
underserved population, and help developing economies leapfrog poor non-existing
payment infrastructure (Asongu et al. 2018).
Arguably, it is fascinating to observe that earlier studies on mobile payment have
not fully explored the various factors that influence the behavioural intention of mer-
chants to adopt mobile payment technology (Cabanillas et al. 2016; Dahlberg et al.
2015). Current studies on mobile payments have mostly explored technology and
consumer adoption especially their implementation (Miao and Jayakar 2016; Madan
and Yadav 2016). While consumer adoption studies are important in understanding
mobile payments systems, researchers are of the view that an investigation of consumer
adoption in isolation will not provide a full understanding of mobile payments
(Dahlberg et al. 2015).
Trust, which is an essential adoption enabler in different IS situations, has not been
adequately looked at in the environment of merchant adoption of mobile payment.
However, mobile payments, transactions can occur among unknown entities, since
mobile payments are regarded as a type of an online transaction completed over a
mobile network and an accepted progression from electronic payment systems. This
makes trust a significant facilitator for the merchant adoption of mobile payment
(Rouibah et al. 2016). Therefore, this study seeks to understand the merchant adoption
of m-payment systems and explore the trust-theoretic perspective to examine the
enablers of merchant trust in mobile payment systems (Mallat 2007). The questions
underpinning the study are: what is the enabler of merchant trust and what is the role of
merchant trust in m-payment adoption. The remainder of this paper is structured as
follows: The next section reviews the literature on mobile payments and briefly dis-
cusses the theoretical underpinnings. The third section presents the conceptual
framework guiding the study; the section that follows details the methodology
employed. Subsequently, the findings are analysed, and discussions of the findings
presented. Finally, the paper concludes with specific contributions and directions for
future research.
2 Literature Review
2.1 Merchant Adoption of M-Payment Systems

The most critical step for technology acceptance and success in technological inno-
vations such as mobile payments is for the intended users to take the initially vital step
of adoption. The vibrant nature of evolving technologies and the dynamic circum-
stances calls for the basic question in adoption “what factors affect the intended user to
adopt various technologies?” Because research on IT innovation adoption is extensive,
206 E. Yeboah et al.
this fundamental question is examined from various dimensions such as technological,

and security features, individual adopters, organisations and environment (Miao and
Jayakar 2016; Dahlberg et al. 2015; Madan and Yadav 2016). Generally, scholars have
used different theories to explain the adoption of innovation in technology. The study
used literature on “trust” in combination with the Technology Acceptance Model
(TAM) to establish a trust-theoretic model for payment adoption. TAM has been
extensively used in studying IS adoption behavior (Hsiao 2019; Upadhyay and
Jahanyan 2016; Merhi 2016; Shanko et al. 2016). The theory stipulates that individ-
ual’s adoption of an innovation in an information system is dependent on the intention
of the individual to use the system and an extent to which a customer accept that
adopting an innovation will improve his effectiveness and job performance (Davis
1993; Liébana-Cabanillas et al. 2017).
Generally, using TAM is appealing in the sense that it is empirically robust, with
excellent measurement qualities and dependable instruments (Davis 1993; Aboobucker
and Bao 2018). Several innovation studies have validated the instructive supremacy of
TAM for technology acceptance which is proven for multiple IS types (Davis 1993;
Davis et al. 1989). The two key belief concepts of PU and PEOU in the theory might
not sufficiently explicate the effect of additional usage issues that can influence indi-
vidual intention to adopt (Davis 1993; Moon and Kim 2001). However, limited studies
have examined “trust” as an additional concept. Nevertheless, trust is a fundamental
concern in the mobile payment context due to the apprehensions associated with the
mobile service provider and the environmental uncertainties associated with mobile
technology. Chandra et al. (2010) examined trust in consumer adoption of mobile
payment and the role of trust by contextualising the trust antecedents to the m-payment
situation proposing a trust-theoretic m-payment adoption model. Drawing from
Chandra et al. (2010), the study contextualises the antecedents of trust in mobile
payment situation to merchant adoption based on the trust-theoretic m-payment
adoption model.
Merchant Trust in Mobile Payments. The concept of trust has attracted a consid-
erable amount of research due to its significant role in information systems research,
especially in the e-commerce environment. Mobile payments, which are a kind of
online transaction, involve virtuality, anonymity and temporal and spatial separation,
which can lead to considerable uncertainty and risk. Therefore, trust is very relevant for
mobile payment technology adoption. According to Zhou (2013) merchants usually
have concerns about security when it comes to the use of mobile payment. Never-
theless, merchants consider trust in payment services providers and the security of
mobile payment solutions as necessary criteria for the adoption of mobile payment.
Therefore, it is necessary to integrate trust in examining the merchant adoption of
mobile payments (Zhou 2013). Therefore, in the mobile payment environment, the two
enablers of merchant trust consist of trust in provider of mobile service as well as trust
in technology-enhanced by characteristics of the service provider and characteristics of
the mobile technology (Chandra et al. 2010; Broutsou and Fitsilis 2012).
2.2 Mobile Service Provider (MSP) Characteristic

Always, there is an affiliation between the mobile payment service provider charac-
teristics and merchant trust as shown in Fig. 1. This can be likened to the concept of the
“halo effect”. The concept of the halo effect is based on the explanation that an
individual’s perception or views about a product or a person is based on previous
experiences and the sort of interpretation which leads to cognitive bias. For instance,
one can explain that Apple’s other products are successful and people have confidence
in it, due to the positive influence and how successful iPod was (Chong et al. 2018;
Wilcox 2008). Thus, merchant perceptions on MSP as fair and honest translates to
beliefs and trust for the mobile payment system controlled by the MSP. Research
demonstrates that based on the halo effect, merchant trust has a positive relationship
with the perceived reputation of the provider of the service, which leads to trusting
beliefs in the merchant.
Therefore Proposition 1: The reputation of mobile service providers influences the
level of trust the merchant has in mobile payments.
Similarly, opportunism is evident when implied and obvious possibilities around
pre-determined conduct are fraudulently abused (Chong et al. 2018; John 1984).
Regarding mobile payment transactions, the service provider plays a vital role, provider
opportunism can be inferred as dishonest happenings such as altering information,
revealing personal customer data, or deliberately unfulfilling responsibilities and pro-
mises. Therefore, merchant trust for the m-payment transaction will reduce when there
is perceived opportunism. (Chong et al. 2018; Xin et al. 2013).
Thus, we propose that Proposition 2: The level of merchant trust in mobile payment
systems will be reduced when there is perceived opportunism.
2.3 Mobile Technology Characteristics

Confidentiality and Safety concerns hamper merchant adoption of an online and
wireless channel for a commercial transaction (Bhuvana and Vasantha 2017). Because
of the shared domain of online information which merchants may be reluctant to adopt
until they are convinced of self-assurance in the safety feature of the technology
(Osakwe and Okeke 2016). In the mobile payment environment, merchants have to
entrust all their account details, to MSPs and other players in the mobile payment
context. Owing to the merchant’s lack of control and uncertainties associated with
mobile payment transactions makes merchants perceive environmental risks (Bhuvana
and Vasantha 2017; Osakwe and Okeke 2016).
So, we propose that Proposition 3: The level of merchant trust in mobile payment
systems are affected by Perceived environmental risk.
Nevertheless, the threat posed by mobile payment systems in comparison to tra-
ditional payment methods, stern from the technological uncertainties using the open
technological infrastructure for transactions (Bhuvana and Vasantha 2017). Building
suitable legal and technological safeguards can be accomplished through the devel-
opment of institutional-based trust through technical procedures such as encryption of
data and additional legal actions that avert confidentiality and monetary losses as a
means of structural assurance for the mobile environment (McKnight et al. 2002). In
other words, if a merchant perceived a very useful structural assurance, it will increase
the level of merchant trust in mobile payment systems. Zhou (2013) and Dahlberg et al.
(2015) have demonstrated that reducing the risk associated with the transaction would
probably lead to the increasing adopting of mobile payments as a mode of transaction.
Hence, we propose that Proposition 4: The level of merchant trust in the mobile
payment system is positively influenced by perceived structural assurance.
2.4 Adoption Intention of Mobile Payment Based on Merchant Trust

Studies have confirmed that trust is dependent on the agency of an IT to perform a
definite task (Lizcano et al. 2019; Teo et al. 2005). Regarding the mobile payment
scenario, the skill is considered as the capability credence, which enables the merchants
to trust that the mobile payment is suitable in attaining the anticipated objective and
hence execute the intended level of performance. (Broutsou and Fitsilis 2012; Pavlou
2003). Similarly, in different online settings, individual trust is an essential element of
perceived usefulness in mobile payment environment due to the uncertainties involved
in such transactions and the impersonal nature of the mobile internet environment.
Hence, we propose that Proposition 5: Perceived usefulness will positively influence
merchant trust in mobile payment systems.
However, if there is low merchant trust in the system, it will drive the merchant to
be anxious with the transactional routines (Teo et al. 2005). Which can lead to indi-
vidual spending more time and effort in comprehending the system leading to systems
usage challenge (Pavlou 2003; Moqbel and Bartelt 2016). Merchant trust in m-payment
systems is related to perceived ease of use of m payment systems. As a result, we
propose that Proposition 6: the extent of merchant trust in m-payment systems is related
to perceived ease of use. Proposition 7: Merchant trust in m payment systems will
positively influence merchant adoption of mobile payment.
According to Yang et al. (2012), the TRA indicates that ‘an individual’s intention
to adopt an IS innovation is influenced by attitude and subjective norms, which are
shaped by behavioral and normative beliefs of an individual. Trust then becomes an
essential behavioral belief that generates positive attitudes to influence intention to
adopt mobile payment systems, when trust is positive it is likely that merchants will
likely have an intention to adopt the mobile payment system. Henceforth, merchants
will adopt m-payment systems that are easy to use and will be perceived as useful.
There are several benefits of M-payment systems to merchants irrespective of place and
time, self-regulating transactions, which leads to effective payment transactions to the
merchant. Thus, leading to an expectation that because merchant regards the mobile
payment as a useful tool in achieving their purpose, they will adopt. Therefore, we
propose that Proposition 8: Merchant adoption of mobile payment is positively influ-
enced by Perceived ease of use. Proposition 9: Perceived usefulness of the m-payment
systems is connected to merchant adoption of m-payment systems.
Perceived Reputation
Perceived Usefulness
Perceived Opportunism
Merchant Trust in Intention to Adopt
Perceived Environmen- Mobile Payments
Mobile Payment
tal Risk
Perceived Structural As-

surance Perceived Ease of Use
Fig. 1. Conceptual framework Source: Adopted from (Chandra et al. 2010)
3 Methodology
The study adopted an exploratory approach to help bring a deeper understanding of the
issues under study (Saunders et al. 2012). As such, a case study was used as the
research method. A case study is considered suitable for this study grounded on Yin’s
(2009) assertion of a case study where “why and how” questions are asked. In addition,
case studies help in areas where the researcher does not have much control over the
situation or where the issues under investigation are new and there is not much theory
to explain issues adequately (Yin 2009). Empirical research on merchant adoption of
mobile payments is spiral, in this case, the phenomenon is new and needs an in-depth
understanding from the perspective of a developing country experience. The descrip-
tive case study approach was used to enable theory to guide the data collection process
(Yin 2009); as a result, the trust-theoretic stance and Technology Acceptance Model
(TAM) were reviewed as the theory underpinning the case study design (Chandra et al.
2010). Face to face interview was used as a data collection method. The interview
guide consisted of both open and close-ended questions. According to Walsham (1993)
and Yin (2009) case study research has no universally accepted number of cases. It can
be a single case or multiple cases. This research was based on a case study of two
merchants from the service sector in the health industries. The case was strategically
selected to enhance its external validity but not based on statistical consideration. The
case was analyzed using Miles and Huberman’s (2013) approach to data analysis.
4 Results and Discussion of Findings
4.1 Mobile Service Provider Characteristics

From the case finding it was established that the respondents selected the current
service provider because of its brand reputation and the requisite credibility and
infrastructure to deliver a reputable mobile payment service to merchants. The issue of
mobile service providers’ reputation was an essential trust-building mechanism in
merchant adoption of mobile payment.
“It is an international company with a lot of reputation. They are credible to provide payment
services, besides there is no known scandal against the service provider for all the years they
have been operating the mobile money platform”. The CEO of a pharmaceutical retail shop
“My service provider, is listed on the Ghana stock exchange which makes them credible and
for the period I have worked with them their services have not failed so far, it has worked
well”.: Director of operations in a private health facility.
These findings suggest that merchants depend on the brand name and the reputation
of the service provider as risk-mitigating factors in adopting mobile payment for their
business. The interviewees believe that the risk is mitigated due to the levels of
authorization that the provider has in place to ensure that the rightful persons are either
authorizing or originating the transaction or the exact person receiving the payment.
For every transaction, you receive a message to confirm the transaction and this serves
as a record to trace your transaction. Again, the respondents believe that, because there
is a regulator who regulates and monitors the operations of a service provider, it will
push them to do the right thing.
“I believe people do what is inspected not what is expected. We have not experienced a
situation where the service provider has used our information for their selfish interest. This is
because all transaction comes with notification messages to confirm the transaction”. As
mention by the Operations director.
These findings suggest merchants trust that, service providers have the ability and
benevolence needed to provide the necessary service experience. This is because of
their technological infrastructure and the legal structures that bind their operations. The
merchants believe that their service providers will work within a regulated legal
framework so they can be trusted to do the right things.
However, further, exploring the data retrieved from the merchants revealed that
they are suspicious their service providers can behave opportunistically. This is in
relation to merchant information and does not trust that their information could be safe
with the service provider, because it is possible that service providers could give out
personal information to the third party.
As intimated by the CEO “Sometimes you receive unsolicited information from the third
party and you wonder how and where they get the information, which makes you think that,
your service provider may have given merchant information to a third party”.
This makes merchants unsure of the security of their information with the service
provider, which they think could be detrimental to the business when given to your
competitor. These findings suggest that the extent of merchant trust in mobile payment
is influenced by the service provider reputation, however, the merchant perception of
mobile service providers opportunism can reduce the level of merchant trust in M
payment. These finding support propositions 1 and 2 in the model.
These findings confirm earlier findings by Chandra et al. (2010) and Xin et al.
(2013) on how features of the service provider and mobile payment vendor charac-
teristics can affect trust in mobile payment adoption.
4.2 Mobile Technology Characteristics

On findings pertaining to mobile technology characteristics, it was discovered from the
case findings that, the inherent technological risk associated with mobile payments has
an influence on the adoption intention of merchants. According to the respondent, using
mobile payment as a merchant comes with a huge risk because mobile payment
operates in a wireless environment, people can steal information from the provider.
“Since it is an IT platform someone can hack into the system and delete or modify infor-
mation for reasons best known to them, this makes it risky but because of its advantages it is
worth the risk.” As intimated by the CEO.
This assertion by merchants portrays mobile payment as potentially having sig-

nificant technological risk. As such, merchants are skeptical about their information
with the service provider because mobile payment is a wireless network and is sus-
ceptible to hacker attacks and intruders, which can affect transactional security. Mer-
chants were particularly concerned about privacy, security, fraud, payment transaction
errors and potential loss of cash. As a result, they did not always feel very confident in
using the mobile payment for their transactions. The merchants interviewed think that
mobile payment can be trusted but the risk associated with it, impacts negatively on
their trust and influence their attitude which they consider a barrier to adoption of
mobile payment.
“We get all kind of calls supposedly coming from providers but it turns out to be intruders
who are able to generate codes, that should be coming from service providers which are a
little bit suspicious if merchant information ends up with third parties” As alluded by the
operations director
“I think the encryptions back to back are not strong enough because fraudsters are able to
wipe people’s wallet without knowing the merchant code. I don’t feel safe with the telecom
company because they do not understand the banking rudiment; I will feel safe if these
services are run by the banks” a statement by the operations Director
This finding is similar to earlier findings on the relationship between risk and trust
(see Pavlou 2003; Osakwe and Okeke 2016; Bhuvana and Vasantha 2017). These
findings support proposition 3 in the model. Additionally, the findings from the case
study demonstrate that merchants are able to build confidence and sufficient trust in
mobile payment systems because of structural assurance such as encryption, authen-
tication and third-party certifications by their service providers. For example, the use of
message authentication code, assures merchants and their clients that information is not
tampered during transferring via networks. This ensures confidentiality, anonymity,
and integrity (see Yang and Lin 2016; Xin et al. 2013). This, to a large extent, ensures
the safety of the system. “I know that when I initiate a transaction nobody will be
able to intercept it midway has and it gets to its destination because there is
encryption for a transaction” as intimated by the CEO.
The efficient application of these technical controls helps build trust mechanisms
for mobile payment systems which improve merchants’ trust and confidence in mobile
payment adoption intention. Further, the case findings show that proof of transactions,
recipient, and assurance of user’s identity helps to secure mobile payment environment
without fear of compromise. This finding is also supported by our 4th proposition
which states that the level of merchant trust in mobile payment systems is influenced by
perceived structural assurance.
4.3 Perceived Usefulness

It was identified from the case findings that merchants interviewed use the payment
platform to pay their suppliers and receive payment from their clients. According to
them, the companies strategically adopted mobile payment to improve the effectiveness
of their business and to meet their customers’ needs profitably. More importantly, the
findings suggest that because the payment system is convenient and useful the mer-
chants are prepared to ignore the risk associated with the transaction.
“The use of mobile payment has helped reduced outstanding debts because clients are able to
fall on mobile payment at any time”. “Since it is an IT platform someone can hack into the
system and delete or modify information for reasons best known; to them, this makes it risky
but because of its advantages it is worth the risk.” Both respondents confirmed their
usefulness.
This finding is similar to what Yang et al. (2012) found that in online payment,
uncertainty risk is more or less ignored by consumers pursuing convenience and
usefulness of online payment. This finding supports proposition 9 which suggests that
perceived usefulness of mobile payments is associated with merchant adoption.
However, this same finding points to the fact that merchant trust of mobile payment
systems does not depend on perceived usefulness which means that the proposition 7 is
not supported because it states that merchants trust in mobile payment systems will
influence merchant adoption but the findings indicate that adoption of mobile payment
does not necessarily depend on trust because trust may not signify usefulness.
4.4 Perceived Ease of Use

Finally, findings from the case study suggest that the functionality of the mobile
payment interface by service providers through a mobile device is relatively simple and
easy to navigate. They are of the view that using mobile payments for their transactions
on a mobile device does not require much. The ease with which they are able to operate
and understand the procedures produces a lot of confidence and builds trust that they
have control of their transactions. This finding is consistent with (Lu et al. 2011). It was
also observed through the case findings that merchants primarily use mobile payments
to receive payments and to pay for their bills. It was evident that the level of education
of merchants interviewed played a significant role in enhancing their technological
literacy of mobile payment functions. Both respondents had a post-graduate degree and
their staff a minimum of diploma degree.
“I am knowledgeable in all forms of electronic payment, be it internet or mobile hence mobile
payment interface is easy” “We have dedicated staff who are knowledgeable in technology
and are put in charge to do the mobile transactions” As commented by the merchants
This finding supports propositions 6 and 8 which indicates that the level of mer-
chant trust in mobile payment systems has a positive influence on perceived ease of use
and that merchant adoption of mobile payment is positively influenced by perceived
ease of use.
5 Conclusion and Recommendation
The study set out to explore the role of trust in merchant adoption of m-payment
systems as well as the enablers for merchant’s trust in mobile payment systems through
the conceptualization of the service provider and the technology characteristics as the
two dimensions that could influence merchant adoption of mobile payments. Arguably,
the role of merchant trust is very significant for adoption, because of the technological
risk and lack of merchant control (Yang et al. 2012; Xin et al. 2013). Hence, a sufficient
trust-building mechanism is essential for merchants to adopt mobile payment. More-
over, the characteristics of the service provider of mobile payment and the mobile
technology features are both imperative to build trust in mobile payment systems for
merchants’ adoption. The study also found that the trust of both technology and service
provider has a far more critical influence on merchants’ adoption of mobile payments
than perceived usefulness or ease of use.
5.1 Implications of the Study
Implication for Theory. This study contributes to the information system literature,
by establishing a relationship between merchant trust and adoption intention because
merchant’s acceptance and use of mobile payments is growing in recent times. Hence it
is imperative to appreciate the effect of trust and how service providers can implement
these technologies. These new theoretical insights will help researchers to better
understand merchants trust-related antecedents and their influence on technology
adoption in the context of merchant adoption of mobile payments.
Implication for Practice. Service providers should consider the opportunity to nurture
and build merchant trust because merchant trust acts as a fundamental enabler for the
adoption of mobile payments.
5.2 Limitation of the Study

The study has some limitations, it concentrated on a few variables and only done in the
context of Ghana and targeted merchants who have already adopted mobile payment.
Future research could compare merchants who have not yet adopted the technology
with those who have adopted in context with a similar characteristic.
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The Influence of Price Comparison Websites
on Online Switching Behavior: A Consumer
Empowerment Perspective
Michael Adu Kwarteng1,2(&) , Abdul Bashiru Jibril1,2 ,

Elsamari Botha1,2 , and Christian Nedu Osakwe1,2
1
Faculty of Management and Economics, Tomas Bata University in Zlin,
Mostni 5139, 76001 Zlin, Czech Republic
{Kwarteng,Jibril}@utb.cz, emc@usb.ac.za,
chriso@sun.ac.za
2
University of Stellenbosch Business School, Stellenbosch, South Africa
Abstract. While online price comparison websites have burgeoned, there is

scant understanding of how they influence online consumer behavior. This study
addresses this gap in the literature by investigating the influence of price
comparison websites on online switching behavior, and also suggests some
additional factors that may be considered when looking at this relationship. We
argue that shopper innovativeness, their perceived usefulness of the ad, and their
customer service experience consciousness are important factors to consider
when evaluating the impact of price comparison websites on eSwitching
behavior. We also argue that the most appropriate theoretical lens through which
to investigate this relationship is that of the consumer empowerment paradigm.
A conceptual model is proposed and tested. Our analysis of 345 sample
respondents finds that perceived usefulness of ads and customer service expe-
rience expectations are important enablers to price comparison websites use.
Similarly, we find that shopper innovativeness and customer service expecta-
tions, in addition to price comparison websites use, are significant enablers to
eSwitching behaviour. However, contrary to prediction, we find that shopper
innovativeness has little to no influence on shoppers’ use of price comparison
websites; we also observed similar patterns concerning the link between the
perceived usefulness of online ads and eSwitching behaviour. In conclusion, our
research contributes to better understanding the influence of price comparison
websites on online switching behavior, and the factors that might influence this
relationship.
Keywords: Consumer empowerment Customer service experience

consciousness eSwitching Online ads Price comparison websites Shopper
innovativeness

https://doi.org/10.1007/978-3-030-44999-5_18
The Influence of Price Comparison Websites on Online Switching Behavior 217
1 Introduction
While online price comparison websites have burgeoned, there is scant understanding
of how they influence online consumer (eSwitching) behavior. This study addresses
this gap in the literature by investigating the influence of price comparison websites on
online switching behavior. While Osakwe and Chovancová (2015) examined female
shoppers’ perceptions towards the use of price comparison websites, Jung et al. (2014)
examined work shoppers’ response to price comparison websites, and Pourabedin et al.
(2016) investigated the role of customer value and attitudes in online channel switching
behavior, there are no studies to the authors’ knowledge that investigates the rela-
tionship between eSwitching behavior and price comparison websites. The emerging
question, therefore, is whether the use of price comparison websites can lead to
eSwitching behavior. This study by addressing this question seeks to close the void in
our understanding concerning the relationship between price comparison websites and
eSwitching behavior. This study also suggests some additional factors that may be
considered when looking at this relationship.
Accordingly, and based on a survey of existing research (Broniarczyk and Griffin
2014; Hudders et al. 2019; Osakwe and Chovancova 2015; Xu et al. 2013; Zhang et al.
2012), it is argued that shoppers’ innovativeness, their perceived usefulness of online
ads, and their customer service experience consciousness are important factors to
consider when evaluating the impact of price comparison websites on eSwitching
behavior and this forms the overarching objective of our paper. We also argue that the
most appropriate theoretical lens through which to investigate this relationship is that of
the consumer empowerment paradigm (e.g. Broniarczyk and Griffin 2014; Camacho
et al. 2014; Kucuk 2009). In other words, by employing the consumer empowerment
paradigm, this paper’s objective is to investigate the relationship between (the use of)
price comparison websites and eSwitching behavior in addition to the investigation of
the determinants behind these phenomena, which we have identified above.
Altogether, this allows us to contribute to the literature on online shopping in at
least two important ways. First, is that we contribute to the online shopping literature
particularly concerning the presentation of evidence that the use of price comparison
websites, especially with regard to young and existing online shoppers, significantly
empowers shoppers to engage in eSwitching behavior. The second contribution per-
tains to the investigation of the determinants behind the perceived use of price com-
parison websites in addition to the investigation of the empirical question on the
determinants of eSwitching behavior. In particular, we find that shoppers’ traits pri-
marily customer experience consciousness and innovativeness are enablers to
eSwitching behavior, while positive perceptions towards the use of online ads as well
as customer experience consciousness engender the use of price comparison websites.
Because it is commonly known that young adults, especially student population, are
usually heavy users of online services and in general more receptive to emerging
technologies (see also Yoo and Donthu 2001), we chose to test the study hypotheses
using a (university) student sample; which is also consistent with studies on consumer
switching in the technology context (e.g. Bhattacherjee et al. 2012). At the same time, it
is worth noting that our sample is primarily made up of experienced internet users and
218 M. A. Kwarteng et al.
who are familiar with online shopping. Taken together, this empirical context is
appropriate for our investigation.
The following literature review addresses each of these constructs in turn, before
suggesting the theoretical model that was tested. This is followed by a brief overview
of the methodology, and findings of an exploratory study to test the model. We con-
clude with a short discussion of these findings.
2 Literature Informing Hypotheses Development
2.1 Consumer Empowerment Paradigm

The consumer empowerment paradigm in marketing is an important extension of the
psychological empowerment construct, long studied, in the psychology literature (cf.
Zimmerman 1995; Cattaneo and Chapman 2010). Camacho et al. (2014:294), while
citing previous research, describe empowerment as “strategies or mechanisms that
equip people with sufficient knowledge and autonomy to allow them to exert control
over a certain decision”. Similarly, it has been noted in the marketing literature that
“empowerment requires mechanisms for individuals to gain control over issues that
concern them, including opportunities to develop and practice skills necessary to exert
control over their decision making” (Pires et al. 2006, p. 938). In light of previous
discussions and among them Broniarczyk and Griffin (2014), Kucuk (2009), and Pires
et al. (2006), the current investigation argues that this paradigm can help us gain
understanding into the perceived use of price comparison websites and eSwitching
behaviour in particular among existing shoppers. In general, the internet equips users
with the tool to gain access to credible and quality information and this by implication
confers more power and freedom of choice to users and in this case online shoppers.
Moreover, since it is known that customers often rely on expert advice (in this instance,
price comparison websites) when making purchase decisions (Camacho et al. 2014),
such advice - well-intentioned – can dramatically reduce switching cost. One of the
benefits of comparison tools and in this case price comparison websites is that they
offer shoppers a range of choices (Broniarczyk and Griffin 2014), thus allowing
shoppers to shop across stores. Online switching behaviour (or eSwitching) is con-
sidered to be a possible outcome of this process. Similarly, since it is has been sug-
gested in the literature that digital ads may be an important source of consumer
empowerment today (Hudders et al. 2019), it is considered therefore to play an
influential role in shoppers’ behavioural tendencies to use price comparison websites
and to consequently eSwitch. Consequently, the following hypothesis is proposed:
H1: Price comparison websites’ perceptions positively influence eSwitching
behaviour.
At the same time, it is known that intrapersonal factors, described as “how people
think about themselves and includes domain-specific perceived control and self-
efficacy, motivation to control, perceived competence, and mastery” (Zimmerman
1995, p. 588), is a key aspect of empowerment. Accordingly, we consider intrinsic
factors, or more precisely traits, like the customer service experience and consumer/
shopper innovativeness, to be strong propelling force for price comparison websites use
and eSwitching behaviour. Before discussing each of these in turn, we turn to
eSwitching behaviour.
2.2 eSwitching Behaviour

The reasons why customers engage in switching intentions and/or behaviour remains
an important topic in the literature to this day (Bhattacherjee et al. 2012; Fan and Suh
2014; Gopta et al. 2004; Malhotra and Malhotra 2013; Mosavi et al. 2018; Pourabedin
et al. 2016). Multiple reasons exist for this kind of behaviour (Chuang and Tai 2016;
Keaveney 1995; Malhotra and Malhotra 2013; Mosavi et al. 2018; Zhang et al. 2012)
but a factor often identified as a key determinant is the attractiveness of alternatives
(Chuang and Tai 2016; Xu et al. 2013; Zhang et al. 2012). In the context of this study,
consumers might easily switch between online stores when it is believed they can get
better price deals elsewhere. Price comparison websites lower the barriers to switching
by offering such alternatives in one central place, with links that could easily navigate
to said alternatives. Because price comparison websites are price aggregators, it offers
the opportunity for shoppers to easily know the prices of each competing online stores
and this consequently reduces switching cost. This study hypothesized (see H1) that
these price comparison websites directly influence eSwitching behavior. The following
section describes the former.
2.3 Price Comparison Websites

Comparison shopping can be defined as “the practice of comparing the prices of items
from different sources to find the best deal” (Hajaj et al. 2015: 563). Price comparison
websites provide the online alternative to this and we, therefore, define online price
comparisons as the online tool that allows for the comparison of item prices from
different sources to find the best deal. The use of price comparison websites has been
acknowledged as an important search information tool, which has strong potential to
alter shopping behaviour both in the online and offline environment (Bodur et al. 2015;
Broeckelmann and Groeppel-Klein 2008, Osakwe and Chovancová 2015; Passyn et al.
2013). Osakwe and Chovancová (2015:597) describe price comparison websites as “a
near-frictionless marketing intermediary that can drive down online shoppers’ search
costs”.
Because shoppers can easily compare prices of similar firms and/or brands in a
matter of seconds, the active use of price comparison websites not only reduces search
costs but also empowers shoppers to buy from firms offering the best deal. This study
argues that the greater the perceived usefulness of price comparison websites, the more
it is expected that shoppers will use the information available on these sites in their pre-
and post-purchase decisions. It, therefore, acts as a key mediator in the relationship
between key influencing factors and online switching behavior. From a consumer
empowerment perspective, it is pertinent to consider how these websites influence the
relationship between eSwitching and shopper innovativeness, perceived usefulness of
an ad and the consumers’ service experience consciousness. Each of these now dis-
cussed in turn.
2.4 Shopper Innovativeness

Consumer/shopper innovativeness, or what some scholars may well refer to as variety
seeking propensity, is a well-researched concept in the literature (e.g. Agarwal and
Prasad 1998; Bhattacherjee et al. 2012; Xu et al. 2013; Mishra 2015). In this instance
and following prior literature (Agarwal and Prasad 1998; Bhattacherjee et al. 2012), we
define shopper innovativeness as a trait reflecting the willingness on the part of the
shopper to experiment and/or try out any new products or range of services. Moreover,
because consumer innovativeness has been implied in the internet browser context to
positively relate to switching intentions among a similar sample of respondents like this
study (Bhattacherjee et al. 2012), it stands to reason, that both the relationship between
shopper innovativeness and eSwitching behavior, and its relationship to price com-
parison website perceptions begs investigation. Hence, we proposed that:
H2: Shopper innovativeness positively influences eSwitching behavior.
H3: Shopper innovativeness is positively related to price comparison website
perceptions.
2.5 Customer Service Experience Consciousness

The role of customer service experience is well researched in academic and business
literature (Berry et al. 2002; Khan et al. 2015; Meyer and Schwager 2007; Osakwe and
Chovancová 2015). However, its relationship to online switching behavior and price
comparison websites remains underdeveloped in empirical research. Service experience
consciousness reflects a trait among shoppers who are highly demanding in service
encounters, and thus tend to exhibit a higher dissatisfaction threshold. This trait, for
example, has been reported to be an important enabler to customer-perceived use of
price comparison websites (Osakwe and Chovancová 2015), and is therefore included
in the proposed conceptual model:
H4: Customer service experience consciousness is positively related to price
comparison website perceptions.
We extend this research by arguing that since this set of shoppers invests a sig-
nificant amount of cognitive, emotional and even intellectual resources into service
interactions/encounters with the firm, they are therefore more demanding, difficult to
please and more likely to move from one store to another in search for better services at
all times. Customer service experience consciousness has already been identified as a
trait reflecting the likelihood of a customer to become highly dissatisfied with service
encounters and since customer dissatisfaction has been linked to switching intentions in
prior research (e.g. Fan and Suh 2014), it can be posited therefore that customer service
experience consciousness and eSwitching behavior are related. Moreover, following
previous research (Keaveney 1995; Liang et al. 2013), we argue that service incon-
venience, impolite behavior on the part of service personnel, and occurrence of core
service and service encounter failures will be less tolerated by those scoring high in
customer service experience consciousness and thus in this case impacting eSwitching
behavior. Consequently, the following hypothesis has been developed:
H5: Customer service experience consciousness is positively related to eSwitching

behavior.
The final construct, from an empowered customer perspective, we felt pertinent to
include in the study is that of the perceived usefulness of online ads.
2.6 Perceived Usefulness of Online Ads

Consumers’ attitudinal response to advertisements in general and online ads, in par-
ticular, is mixed (Le and Vo 2017; Shavitt et al. 1998; Schlosser et al. 1999), yet it is
considered an important contributing factor when investigating online consumer
behavior (Ducoffe and Carlo 2000; Mehta 2000; Osakwe and Chovanocva 2015;
Paliwoda et al. 2007). Some consumers have ill-feelings about online ads, others may
be indifferent to online ads, while some have positive perceptions about online ads. In
theory, however, ads are often meant to inform consumers and offer choices which they
can easily choose from. Online ads, therefore, empower consumers concerning his/her
buying decisions (cf. Ducoffe and Curlo 2000). Therefore, in this instance, online ads
can confer significant power to consumers (Hudders et al. 2019), especially when it is
perceived to be informative and valuable. In an online services context, strong per-
ceptions towards online ads provide fertile ground for shoppers to become increasingly
price-sensitive (Osakwe and Chovancová 2015). This may be particularly true with
regard to the use of price comparison websites. This study, therefore, extends this line
of the suggestion by including eSwitching behaviour as an alternative outcome of
online ads’ perceived usefulness. Consequently, the following hypotheses were
developed:
H6: Customers’ perceived usefulness of ads positively influences their perception of
price comparison websites.
H7: Customers’ perceived usefulness of ads positively influences their eSwitching
behavior.
The above literature review and proposed hypotheses can be summarized in the
theoretical model proposed in Fig. 1. This model extends prior research (e.g. Osakwe
and Chovancová 2015) by our assessment of enablers to the perceived use of price
comparison websites and eSwitching behavior, especially concerning young and
existing online shoppers.
The methodology used to test the proposed model is outlined in the following
section.
3 Empirical Study
3.1 Survey Data and Method
More specifically, student sample was used in the study because this is an important
consumer segment for studying online behaviour and has also been extensively
employed in the literature (Fan and Suh 2014; Hong 2015; Ozok and Wei 2010; Wu
et al. 2011). This study recruited participants from one of the state universities in the
Fig. 1. Empirical model
Czech Republic using a convenience-based sampling approach which we consider to

be most practical in this case. This study uses both online and self-administered sur-
veys, nevertheless, most of the completed responses were from the self-administered
questionnaire. Because we wanted to ensure that those who participated in the study
have fairly good internet experience with online purchases, in the end – particularly
after deleting responses from six non-online shoppers - we had in total 345 valid
responses. Therefore, the empirical focus is on existing online shoppers.
The majority of sample respondents were female (59%), aged between 17–24
(80%), and undergraduates (66%). In this study, statistical analyses were performed
using both IBM SPSS and WarpPLS (Kock 2017). Finally, the research constructs -
except for demographics - were measured using a five-point scale (ranging from
completely disagree to completely agree).
3.2 Construct Measurement Validation

In order to improve the face and construct validity of the research constructs, constructs
were adapted constructs from the literature. In particular, the measures for customer
service experience consciousness, perceptions regarding the use of online ads and price
comparison websites were based on Osakwe and Chovancová (2015), while the
measure for consumer innovativeness was based on Daghfous et al. (1999) and finally
the measure for eSwitching was modified from Kim et al. (2006) in addition to reading
from the broader literature.
The research hypotheses were tested by using the PLS-path modeling technique
and precisely using mode A algorithm. The inspected composite reliability scores were
as follows: 0.85 (online ads perceptions/OAD), 0.84 (price comparison websites
use/PCWs), 0.80 (shopper innovativeness/INNOV), 0.71 (customer service experience
consciousness/CSEC), and 0.74 (eSwitching behavior/eSWITCH). At the same time,

all indicator loadings and weights were statistically significant at p < 0.01, besides all
the indicator loadings but two exceeded the 0.6 scores required for this kind of
exploratory work. In terms of convergent validity, average variance extracted
(AVE) scores range from 0.59 (OAD), 0.58 (PCW), 0.58 (INNOV), 0.46(CSEC), to
0.49 (eSWITCH). Although not reported here, following Fornell and Larcker (1981)
discriminant validity was established for the constructs.
4 Structural Model
Model fit and quality criteria were inspected based on SRMR and R-squared contri-
bution ratio (RSCR). We obtained 0.09 (SRMR value and thus acceptable since it is
less than 0.1) and RSCR scores of 0.99 (which approximates to the ideal cut-off value
of 1) (Kock 2017).
Regarding the hypothesized relationships, there is evidence for all but two (see
Table 1 for details). Notably, the control variable i.e. gender neither statistically
impacted price comparison websites use nor eSwitching. Finally, model predictive
power concerning shoppers’ use of PCW was 14%, whereas for eSwitching it was
30%; meaning that the empirical model explains about 14% and 30% variations in the
use of price comparison websites and eSwitching respectively.
Table 1. Structural Model statistics

Hypothesis b (t-ratios) p-values Significant/Not
H1 .19 (3.26) <.01 Yes
H2 .36 (6.31) <.01 Yes
H3 .04 (.51) .30 Not
H4 .29 (4.58) <.01 Yes
H5 .26 (4.88) <.01 Yes
H6 .20 (4.36) <.01 Yes
H7 .03 (.49) .31 Not
5 Short Discussion and Conclusion
This study has been able to identify antecedent factors leading to switching behaviour
in the context of service and in particular in online stores beyond the usual suspects in
the literature, for instance, attitudes towards switching (cf. Pourabedin et al. 2016).
Through the consumer empowerment paradigm, we find, not surprisingly, the per-
ceived use of price comparison websites relates strongly with eSwitching. This novel
finding in some ways mirrors the conclusion in past research about the role that search-
intentions play in customers’ channel switching (Gopta et al. 2004). The point is that
shoppers who use price comparison websites mainly use it for bargain hunting. This
suggests that to reduce this positive effect on online switching behaviour, online retail
merchants, particularly with a focus on young shoppers, will need to do more in the
area of sales promotion and loyalty coupons as this might be one of the most effective
ways to reduce the incidence of eSwitching and even customer churn.
Also, we find that a higher possession of the following traits in shoppers namely
innovativeness and their perception of the customer service experience empowers these
shoppers to engage substantively in online switching behavior. Shopper innovativeness
had the greatest impact on eSwitching. Since it has been suggested that individuals who
are more likely to experiment with new ideas and/or products are more prone to
switching (Bhattacherjee et al. 2012; Xu et al. 2013) and perceived innovativeness of
the services provider inhibits customer switching intentions (Malhotra and Malhotra
2013), the study’s finding, therefore, is a reinforcement to extant research.
Because shoppers who possess a higher level of service experience conscien-
tiousness than others may be more prone to service dissatisfaction, the finding,
therefore, mirrors previous discussions about the role of customer dissatisfaction in
customer switching behaviour (cf. Chuang and Tai 2016; Fan and Suh 2014). More-
over, as predicted and consistent with previous research (Osakwe and Chovancová
2015), this study finds that positive perceptions concerning online ad usefulness, in
addition to service expectations, increasingly empower shoppers to use price com-
parison websites.
Although this study initially proposed that consumer innovativeness and perceived
use of price comparison websites are strongly related, evidence, however, shows it to
be marginal, at best. Therefore, further research is needed to explore not only this
insignificant finding but even further the supported research evidence reported in this
paper. In other words, there is a need for more analysis on the research issues discussed
in this work because until they are reassessed our findings are at best preliminary and
limited to a specific sample. Furthermore, since the strength of relationships was never
hypothesized, it is important therefore for future analysis to validate the assumption
that shopper innovativeness, compared to others, has the strongest impact on online
switching behaviour. Meanwhile, an important limitation of this analysis is that it was
conducted using a student population and so makes it difficult to generalize beyond the
target population. This consequently reinforces our call for further research on this
topic. Finally, this study despite its limitations has added to the customer switching
behaviour literature in addition to the heavily under-researched research stream of price
comparison websites through the demonstration of the antecedents for eSwitching and
shoppers use of price comparison websites based on the consumer empowerment
paradigm.
Acknowledgement. This work was supported by the Internal Grant Agency of FaME through
TBU in Zlín No. IGA/FaME/2020/002; and further by the financial support of research project
NPU I no. MSMT-7778/2020 RVO - Digital Transformation and its Impact on Customer
Behaviour and Business Processes in Traditional and Online markets.
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Online Banking Service Quality:
A South African E-S-QUAL Analysis
Mathias Mujinga(&)
School of Computing, University of South Africa, Johannesburg, South Africa

mujinm@unisa.ac.za
Abstract. Technologically, competition is fierce in the banking industry, as

such, banks need to offer cutting-edge technology and still make sure the
banking solutions provided keep customers satisfied, as customers could switch
between banks with minimum inconvenience. Electronic service quality mea-
sures the level of satisfaction deliver to bank customers through online banking
digital solutions. This paper provides an investigation of electronic service
quality based on customers’ perceptions in South Africa. The paper presents
findings based on quantitative data from 184 online banking customers using E-
S-QUAL measurement scale. The results show that banks are meeting customer
expectations of service quality delivery, although there is room for improve-
ment. The study has practical implications to financial institutions in South
Africa, as it highlights areas of attention to improve service quality delivered to
online banking customers.
Keywords: Service quality E-S-QUAL Online banking South Africa
1 Introduction
Retail banking allows customers to change from one bank to the other with ease. As
such, the business model of financial institutions depends on customer satisfaction
realised through customer loyalty and retention [1]. Improved service quality is one
such mechanism of ensuring customer satisfaction [1]. In the context of banking,
service providers need to consistently meet and exceed customer expectations for both
face-to-face and online banking delivery models. Consequently, customer satisfaction
needs a holistic approach and banks are continuously looking for ways to attract new
customers and retain existing customers. In South Africa’s cash-based economy [2] –
meaning that a significant amount of transactions still relies on cash rather than cashless
means such as money transfers and credit card services. Hence, advances in technology
still need to be coupled by in-branch operational advancements as well to fully satisfy
the customer base.
Wilson et al. [3] further acknowledges service quality as a major factor in gaining
competitive advantage and maintaining customer satisfaction. This paper investigated
the retail-banking customers’ perceptions on the quality of service of online banking.
The following research questions are posed in this study:
What are the perceptions of retail banking customers on the service quality of online banking as
delivered by the South African banks?

https://doi.org/10.1007/978-3-030-44999-5_19
Online Banking Service Quality: A South African E-S-QUAL Analysis 229
A brief background of customer satisfaction is presented followed by a discussion

of the South African banking sector. The literature review discusses service quality and
E-S-QUAL measurement scale. Then data collection is followed by data analysis and
lastly, the paper presents the study limitations and further research ideas followed by
the conclusion.
2 Customer Satisfaction
Customer loyalty and retention is strongly dependent on customer satisfaction espe-

cially in the services industry [4]. As such, customer satisfaction is critical in ensuring
business goals are achieved. The achievement of goals the customer set out to achieve
without limitations results in customer satisfaction [5], which is key to customer
retention [6]. However, Rauyruen and Miller [7] identified factors that impact customer
satisfaction, in addition to contextual and personal aspects, price, product quality and
service quality also plays a role. According to Hallowell [8], profitability of banks
depends on customer loyalty derived from customer satisfaction. Service quality,
customer satisfaction, and customer loyalty in retail banking are linked together [9].
Mihelis et al. [10] linked customer satisfaction to excellence that can be applied to any
organisation. Customer satisfaction requires organisations to not only match customer
expectations but exceed them in order to promote customers retention [11].
3 Retail Banking in South Africa
South Africa is home to a number of retail banks, these include banks that are locally
owned and controlled, and branches and subsidiaries of foreign banks. There are 71
banks operating in South Africa according to the South African Reserve Bank (SARB).
Like in many other countries, the banking industry in South Africa is dominated by a
few major banks [12] and these banks account for 89% of the market share although
this has been decreasing lately [13].
The fourth industrial revolution in South Africa has revolutionise how we conduct
our banking. This has led to the introduction of purely digital banks such as Tyme-
Bank, Bank Zero, and Discovery Bank, just to mention a few [14]. Columinate [15]
highlighted the extent of how South Africa lags behind in online banking adoption.
Online banking services consists of a variety of transactions such as checking account
balances, bill payments, buying prepaid services (electricity and airtime), inter-account
transfers, and new account applications, to mention but a few. Among the benefits of
online banking, users identified service convenience, while security was identified as
the main concern [16].
The European Union (EU) had one of the highest online banking adoption rates of
49% of the total population back in 2017 [17]. Norway had the highest rate of 93% in
2018 [18]. The Middle East and Africa have an online banking adoption rate of 8.8%,
which is far lower than the average global rate of 28.7% from 2012 data [19]. Although
a higher uptake of online banking can be expected in developed countries that already
have a higher internet penetration rate, the South African rate of uptake is alarmingly
lower than the global average given that internet penetration rate is 54% [20].
230 M. Mujinga
South Africa has a national policy guideline on digitisation that includes the pro-
vision of egovernment services. However, private organisations such as banks are self-
regulating concerning technological advancements as these are driven by customer
needs, business cases, and maintaining a competitive edge. Moreover, the South
African economy is still cash-based, as the majority of the population still has no access
to financial credit services [21].
4 Service Quality
Parasuraman et al. [22] defined service quality as the customer’s perception of the
degree to which the service delivered meets the customer’s expectations. Parasuraman
et al. [23] contends that service quality is essentially perceived quality as it comes from
a comparison between actual service and expected service performance. Hence, service
quality plays a critical role in maintaining an organisation’s competitive edge [5]. The
authors further indicated that the level of the quality of service provided had a positive
effect on an organisation’s financial performance. An improved competitive advantage
leads to increased market share through customer loyalty [24].
There are a number of measurement models of service quality. These include
SERVQUAL and SERVPERF scales for offline service quality measurement.
SERVQUAL is a gap-based scale that compares customers’ perceptions and expec-
tations [25], while SERVPERF performance-based scale [26], an improvement of the
SERVQUAL. In the context of South Africa, retail banks need to improve service
quality based on SERVQUAL dimensions [27]. For online services, Parasuraman et al.
[22] developed the E-S-QUAL and E-RecS-QUAL scales for measuring service quality
in electronic service quality delivered by the electronic service provider and electronic
recovery for ecommerce returns, respectively. eTailQ is used to assess the quality of
retail electronic commerce [28]. The E-S-QUAL scale was chosen for this study to
measure service quality in online banking, the model has been used extensively in
similar settings for a number of years since the development of the scale. E-S-QUAL
measurement scale has been applied in online banking across different regions
including Turkey [29], Northern Cyprus [30], Australia [31], and China [32].
The original electronic service quality (E-S-QUAL) scale is a 22-item scale con-
sisting of four dimensions to measure online service quality. The dimensions are
efficiency, fulfilment, system availability, and privacy. Efficiency measures how
effective the website responds to customer needs. Fulfilment deals with timeous and
accuracy of service delivery through digital channels. System availability is concerned
about the system downtime, while privacy measures how the system protects cus-
tomers’ information. Given the increasing introduction of online services, a new scale
was necessary to measure service quality delivered through online services – hence the
emergence of E-S-QUAL. Kenova and Jonasson [33] developed an online banking E-
S-QUAL scale with these dimensions, service performance, website characteristics,
communication, and efficiency. Yaya et al. [34] evaluated a number of studies that used
E-S-QUAL scale and found that the scale is still relevant although some improvements
are needed as technology advances, especially regarding its application in different
environments.
5 Methodology
The E-S-QUAL measurement scale was used in a quantitative survey research. The
survey was administered through Google Forms online tool with invitations sent to
potential respondents using mediums that include email, social media, and online
forums. The target population and inclusion criteria were retail banking customers that
use online banking in South Africa.
The demographic section of the survey collected data on four independent vari-
ables. The measurement scale items were measured based on a 5-point Likert scale that
range from strongly disagree (1) to strongly agree (5). Based on convenience sampling
technique, the sample came from a wide range of different income levels, qualifica-
tions, and age groups. In the end the study obtained 184 valid and usable responses
from retail banking customers across South Africa. The scale used in this study is an
adaptation of the original E-S-QUAL that consists of 4 dimensions and 23 statements.
The statements gather customer perceptions that investigate the actual service quality
experienced by customers. The adaptation was necessary to align the dimensions to
online banking, as some of the original questions were deemed irrelevant in that
context.
6 Data Analysis
Using IBM SPSS 25 statistical tool, descriptive and inferential was conducted to
analyse the quantitative data. First, descriptive statistics reports on the frequencies of
the biographic information provided by the respondents followed by the scale relia-
bility test. The inferential statistical analysis section reports on group comparisons
using independent samples and correlation of E-S-QUAL constructs based on demo-
graphic groups.
Table 1 shows the frequencies for each category of the variables that were included
in the survey. Gender of respondents was split down the middle at 50% each. A large
proportion (40.2%) of respondents were aged between 30–39 years, with all income
groups evenly represented at around 15% except for highest income earners group at
22.8%. FNB was the most represented bank with 37% of respondents.
Experience in using online banking was measured using the number years users
have been using the service, users with 5 years or more accounted for the highest
percentage with 22.8%, while novices those that have been using the service for less
than a year accounted for 16.3%. Most users access online banking once a week
(45.1%), while mobile devices are used by most used (39.1%) followed by the use of
both mobile devices and desktop computers with 36.4%.
232 M. Mujinga
Table 1. Descriptive statistics (N = 184)

Variable Category Frequency Percentage Cum. Percentage
Gender Male 92 50.0 50.0
Female 92 50.0 100.0
Age Younger than 20 years 9 4.9 4.9
20–29 years 45 24.5 29.3
30─39 years 74 40.2 69.6
40─49 years 31 16.8 86.4
50 years or older 25 13.6 100.0
Income Less than R10 000 27 14.7 14.7
R10 000–R19 999 26 14.1 28.8
R20 000–R29 999 29 15.8 44.6
R30 000–R39 999 29 15.8 60.3
R40 000–R49 999 31 16.8 77.2
R50 000 or more 42 22.8 14.7
Bank FNB 68 37.0 37.0
S. Bank 30 16.3 53.3
ABSA 26 14.1 67.4
Nedbank 23 12.5 79.9
Capitec 37 20.1 100.0
Experience Less than 12 months 30 16.3 16.3
1–4 years 64 34.8 51.1
5 years or more 90 48.9 100.0
Use frequency Every day 56 30.4 30.4
Once a week 83 45.1 75.5
Once a month 45 24.5 100.0
Device Mobile device 72 39.1 39.1
Desktop computer 45 24.5 63.6
Both 67 36.4 100.0
Table 2. Lowest mean E-S-QUAL scores

Item Mean
The bank’s website contains just the basics and is simple to use 3.98
The bank’s website does not share my personal information with other websites or 3.94
third parties
The bank’s website does not crash 3.91
The bank notifies you in advance when the website will be unavailable 3.79
The mean E-S-QUAL statistics show that the overall mean for all respondents’
average scores for the 23 items is 4.19 with a standard deviation of 0.762. On face
value, 4.19 out of a possible perfect score of five indicates that users are generally
satisfied with the quality of service delivered by service providers.
Table 2 shows the lowest scoring questions relative to the rest of the questions in
the survey that are below mean score of four. These questions show that users are
unhappy with online banking websites containing more than the basic information
relevant to online banking. Also of concern is the sharing of personal information
provided to banks by users with third parties. The other two lowest scoring items
relates to the system availability, specifically website crashing and timeous notification
of system downtime.
However, further analysis is warranted to determine the statistical significance of
the difference in mean E-S-QUAL values based on moderating variables that were
investigated during the study. To ensure internal consistency, the scale was tested for
reliability using Cronbach’s Alpha. The reliability was found to be 0.969 based on the
instruments’ standardised items, which is acceptable as the minimum threshold for
reliability is 0.70 [35]. Further reliability tests on individual constructs of the E-S-
QUAL measurement scale (Table 3) were also above the threshold value.
Table 3. Instrument reliability

Item No of items Cronbach’s Alpha
Efficiency 8 0.921
Fulfilment 4 0.828
Privacy 5 0.887
System availability 6 0.851
Whole instrument 23 0.969
7 Inferential Statistical Analysis
The study collected data on moderating factors to enable the investigations based on
group comparisons. The moderating factors include gender, age, income, experience,
use_frequency, device, and bank. Inferential statistical analyses conducted include
independent samples t-tests, one-way ANOVA, and Pearson correlation.
7.1 Independent Samples T-Tests

Independent samples t-tests allow for comparison of variables that can be categorised
into dichotomous groups. Gender was the only dichotomous variable that could be
analysed using independent t-tests. Hence, the hypothesis that male and female
respondents have the same E-S-QUAL mean values was tested. The study conducted
independent samples t-tests using both the Levene’s test for equality of variances and
the t-test for equality of means with a p-value of Levene’s test of 0.347. Given that the
Levene’s test is greater than the acceptable threshold of 0.05, the study accepts the null
234 M. Mujinga
hypothesis and concludes that the variance in E-S-QUAL values for males and females
was equal. Hence, the difference was statistically insignificant, which meant that we
had to consider the output of equal variance assumed in order to test for equality of
means.
7.2 One-Way ANOVA

One-way ANOVA means analysis of variance was performed for variables with more
than two groups to determine the significance of statistical differences in mean values.
F denotes the test statistic for one-way ANOVA. Table 4 provides one-way ANOVA
F- and p-values, including post hoc tests for group comparisons.
The findings show that the mean E-S-QUAL values for different groups in the
variables age, experience, income, and use_frequency have no significant differences.
This is because the significance (p values) are all above the 0.05 threshold. Hence, the
study accept the null hypothesis that the means are not different.
The results also show that there was some significant difference in the mean values
based on the respondents’ bank as indicated by F value of 3.644 at 0.007 significance
level (p < 0.01). However, the differences are not significant when comparing each
bank against the other based on multiple comparisons that showed no significant
p values both at 0.01 and at 0.05 level. This implies that users’ perceived service
quality is influenced by the bank of choice but no significant influence when comparing
each of the investigated banks against each other.
Table 4. One-way ANOVA: E-S-QUAL mean scores

Factor df F Sig. Post hoc tests (multiple
comparisons)
Age 4 0.585 0.674 None p > 0.05
Experience 2 1.171 0.312 None p > 0.05
Income 5 0.625 0.681 None p > 0.05
Use frequency 2 1.999 0.138 None p > 0.05
Bank 4 3.644 0.007 None p < 0.05
Device 2 9.253 0.000 Mobile vs both p < 0.05
PC vs both
The choice of device between mobile, desktop computer, or both devices indicated
that E-S-QUAL values depends on the device of choice – with F value of 9.253 at
0.000 significant level (p < 0.01). Multiple group comparisons, both comparisons
between mobile device vs both devices and PC vs both devices showed significant
means difference at the 0.05 level. Hence, the device used to access online banking has
influence on how the user perceives the quality of service delivered by the bank.
7.3 Correlations
To determine the strength and direction of relationships between the dependent variable
E-S-QUAL values and independent moderating variables Pearson correlation analysis
was conducted. The Pearson correlation is a number between −1 and +1 that indicates
the degree of the relation among two or more variables. Table 5 has correlation analysis
results with the relations that are noted for discussion formatted in bold, as they are
significant at 0.05 level.
Pearson correlation values that are below 0.3 are considered weak, between 0.3 and
.05 are moderate with 0.5 to 1 considered strong [35]. Using this interpretation, Table 5
has only four moderate relationships as follows: age-income, income-experience,
income-use_frequency, and income-device. A positive coefficient means that there is a
direct relation between the two variables, meaning that as one variable increases, the
other increases [36]. Age-income have a moderate positive relationship, meaning as
age of users increases so does their income. The same trend is noted for both income-
experience and income-device relations. High-income earners tend to make use of both
mobile and desktop computer to access online banking and are generally more satisfied
with the service quality. On the other hand, the relations between income-
use_frequency have a moderate negative relationship. This implies that as income
increases the frequency at which users access online banking decreases. Interestingly,
only device has any notable correlation with E-S-QUAL mean values, that is, a very
weak positive relationship. This leads to the conclusion that E-S-QUAL is not influ-
enced by any of the variables investigated since no medium or strong relationships
exist at 0.05 level, albeit a very weak one with device. The rest of the bold relationships
in Table 5 are weak and no strong relationships exists.
Table 5. Correlation between moderating variables

Gender Age Income Experience Use frequency Device
Gender Pearson correlation 1
Sig. (2-tailed)
Age Pearson correlation −.031 1
Sig. (2-tailed) .681
Income Pearson correlation −.264** .420** 1
Sig. (2-tailed) .000 .000
Experience Pearson correlation −.059 .262** .468** 1
Use frequency Sig. (2-tailed) .427 .000 .000
Pearson correlation .213** .131 −.311** −.253** 1
Device Sig. (2-tailed) .004 .076 .000 .001
Pearson correlation −.156* .167* .407** .251** −.291** 1
.034 .024 .000 .001 .000
236 M. Mujinga
8 Limitations and Further Research
The E-S-QUAL scale need updating as electronic service quality has evolved since
2005 the year of its first introduction. For instance, the scale is heavy on infrastructure
reliability in meeting customer needs. The scale lacks emphasis on new aspects in
online customer satisfaction such as user experience and electronic satisfaction. These
can be considered for further research to assist in the evolution of E-S-QUAL. A larger
sample would also make the generalisation of findings across the whole population of
online banking users. This also allows the reporting to include bank names without
unwarranted prejudice. Further research is needed to also include current aspects such
as user experience of online banking that affect customer satisfaction and provide a
holistic service quality assessment. Also of consideration as future work is a qualitative
study that investigates new constructs by asking online banking users what services
they need, instead of an evaluation of the currently provided services. Moreover,
measurements based on customer perceptions are highly subjective, which requires
some caution in generalisation of such findings.
9 Conclusion
E-S-QUAL essentially measures the extent to which online users are satisfied with the
service quality delivered by the service provider. The study analysed the mean E-S-
QUAL values to determine the existence of any significant differences in mean scores
across moderating variables. The average mean E-S-QUAL scores for individual
respondents across the sample showed that users are generally satisfied with the service
quality of online banking. The exception were four questions that had mean scores of
below four with two lowest scores concerning system availability. Inferential statistical
results show that there are insignificant differences in mean scores based on indepen-
dent samples t-tests, one-way ANOVA, and Pearson correlation analyses. Using
Levene’s test, gender showed no statistical significance, as this was the only variable
with dichotomous values. One-way ANOVA tests identified the variable device as the
only variable that has influence on E-S-QUAL scores, while all other variables tested
had no influence customers’ perceptions of online banking service quality. This suggest
banks need to offer online banking through a variety of devices, in order to optimise
service quality to improve customer satisfaction.
Overall, the study accept the null hypothesis and concludes that the difference in E-
S-QUAL mean values are statistically insignificant for all moderating variables. This
means banks can take holistic approaches in improving service quality that does not
target specific demographic groups but the whole customer base in addressing service
quality problems. The significance of electronic service quality measurement is to
identify areas for improvement and encourage wide usage of digital channels. Espe-
cially, considering huge investments financial institutions are making in digital chan-
nels. This allows for higher return on investment on digital solutions while reducing in-
branch operational costs for banks.
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The Characteristics of Digital
Entrepreneurship and Digital Transformation:
A Systematic Literature Review
Joshua Antonizzi and Hanlie Smuts(&)

u15052682@tuks.co.za, hanlie.smuts@up.ac.za
Abstract. The characteristics of digital entrepreneurship and digital transfor-

mation and how they are related, is complex and important to understand in this
digital age. Such an understanding of digital entrepreneurship is perceived as a
key pillar for economic growth, job creation and innovation. However, a number
of issues regarding digital entrepreneurship and digital transformation are
prevalent, inhibiting digital entrepreneurs to optimise the advantages that digital
entrepreneurship contributes towards business value. Therefore, the aim of this
research paper is to investigate digital entrepreneurship and digital transforma-
tion, their characteristics and inter-relationships. Data extracted and analysed
through a structured analysis process, recognises and discusses the character-
istics of digital entrepreneurship and digital transformation. The characteristics
are reported by employing the Dynamic Capabilities Theory as the structure. By
understanding the characteristics of digital entrepreneurship and digital trans-
formation, individuals and organisations may either create new business ven-
tures or transform existing businesses through the development of novel digital
technologies or the innovative application of such technologies.
Keywords: Digital entrepreneurship Digital transformation
1 Introduction
Entrepreneurship, in its simplest form, can be described as self-employment [1]. Digital

entrepreneurship, on the other hand, diverges from this definition seeing as it involves
entrepreneurial pursuits which occur on a digital platform [2]. Digital entrepreneurs
have a reliance on digital media tools and Information Technology (IT) in the pursuit of
entrepreneurial prospects [2]. Digital entrepreneurship ensues when an asset owned by
a business, a service performed by a business or a fundamental element of a business
has been digitised [3]. Digital entrepreneurship expands on the traditional notion of
entrepreneurship in the sense that it includes a set of participants which is constantly
evolving and is highly diverse [4]. This moves away from the traditional, established
participant to a more ever-changing assemblage of participants who possess their own,
and differing, competencies, aspirations, and, ultimately, purposes [3, 4].
Furthermore, digital entrepreneurship is deeply entrenched in digital opportunity
[5]. The rate of technological development is at an all-time, ever-increasing high, and

https://doi.org/10.1007/978-3-030-44999-5_20
240 J. Antonizzi and H. Smuts
digital entrepreneurs are mindful of the opportunities that this growth is creating [5, 6].
To capitalise on these opportunities, entrepreneurs are looking towards digital trans-
formation. Digital transformation can be defined as companies who alter their opera-
tions, and, in broader terms, it can also refer to the persistent change of our civilization
through the use of technology [6, 7]. Digital transformation involves the redesign of
business practices to incorporate digital technology within all facets of the business [7].
Digital entrepreneurs are offered significant opportunity through the use of digital
networking capabilities. These opportunities present themselves through users of dig-
ital mediums who can now be offered support, can respond to messages and can offer
constructive criticism and suggestions which organisations can utilize [3].
However, there are a number of concerns surrounding digital entrepreneurship and
digital transformation. Using business processes and capabilities to achieve the wants
of customers is of paramount importance to up-and-coming companies and their digital
entrepreneurs [3, 8]. Digitisation spanning all functions and operations of a business
can be considered more and more difficult the larger the organisation [3, 8]. The
practice of large companies updating obsolete and outdated business systems to
modernized, digital systems can be problematic owing to the irregularities found within
these systems [9]. Other challenges related to digital transformation point to occur-
rences where existing business models generate sufficient profit to ward off the need for
establishing new, digitised products and services for clients to purchase [10].
Consequently, the main purpose of this study is to explore the following primary
research question: “What are the characteristics of the relationship between digital
entrepreneurship and digital transformation?” By considering such a digital
entrepreneurship scope, digital entrepreneurs may optimise the advantages that digital
transformation brings towards achieving business value.
The remainder of the paper is structured as follows: in Sect. 2 we provide the
background to the study presenting an overview of digital entrepreneurship (Sect. 2.1),
digital transformation (Sect. 2.2), and their interrelationship (Sect. 2.3). The approach
to this study is discussed in Sect. 3, where after we provide an overview of the findings
in Sect. 4. In Sect. 5, we present the framework for digital entrepreneurship enabled
through digital transformation and we conclude the study in Sect. 6.
2 Background
The nature of digital entrepreneurship based businesses is that of both IT and traditional
business knowledge. This translates to entrepreneurs requiring both technical and
business-related knowledge and skills, which is a duel-mastery, and not easily acquired
[11, 12]. Two types of entrepreneurs are prevalent [11, 13]. The first type of entre-
preneur is that of the research-based entrepreneur that commercialises original tech-
nological discoveries. The second kind of entrepreneur is an imitative entrepreneur that
develops present markets by assembling available organisational resources [13]. Digital
entrepreneurs have been found to have a reliance on digital media tools and Infor-
mation Technology (IT) in the pursuit of entrepreneurial prospects [11]. As a result, the
digital economy is suffering as digital entrepreneurs are intensifying the rivalries
between industry participants [14]. This means that digital entrepreneurs can fall within
The Characteristics of Digital Entrepreneurship and Digital Transformation 241
the classification of research-based or imitation entrepreneurs, who simply make use of

digital media in the pursuit of other, broader entrepreneurial opportunities [11, 12].
Scholars cite a number of barriers that prevent this pursuit of entrepreneurial
opportunities; excessive amounts of data which cannot be properly processed, a distinct
lack of training on business knowledge and digital skills, disproportionate competition
and competitor-drenched markets as well as a lack of investor interest or inability to
attain capital [15]. Finally, exorbitant cost to start-up and the inability to keep up with
disruption factors and costs, needs to be addressed when considering digital
entrepreneurship [15, 16].
In the next sections we explore digital entrepreneurship and digital transformation
in more detail, as well as the relationship between these two concepts.
2.1 Digital Entrepreneurship

Digital entrepreneurship can be defined as entrepreneurial opportunities being created
and pursued through the use of technological platforms and other information com-
municating equipment [2, 14]. Therefore, digital entrepreneurship may fall within
many categories of business [1, 5]. As technology advances and cultivates, so too will
these categories (e.g. marketing, sales, products, distribution, stakeholder management,
operations) and new categories can potentially be fashioned [1, 11].
Another characteristic regarding digital entrepreneurship is that it is multi-faceted
and is a combination of business-, knowledge- and institutional entrepreneurship
working symbiotically [14]. Business entrepreneurship is a form of entrepreneurship
which is most commonly heard-of and discussed. It explains the practice of seeking out
or identifying business opportunities which can be exploited [17]. These practices
include new product or service creation, raw material identification and use, new
industry creation, new forms of business and more [18]. Knowledge entrepreneurship
is categorised by the identification and quest for information or knowledge-based
prospects and encompasses the expansion of existing knowledge-bases as well as the
development of new ones [19]. Institutional entrepreneurship characterises the actions
of entrepreneurs who make use of resources in the pursuit of creating new organisations
or upgrading old ones [20]. Digital entrepreneurship is subsequently a combination of
the above three entrepreneurial practices. Digital entrepreneurs synergistically combine
business, institutional and knowledge entrepreneurship and this combination forms the
basis of being able to take traditional practices, such as the business categories listed
above, and alter them digitally [14, 21].
Owing to the fact that digital entrepreneurship is fundamentally based on digital
enablement, digital transformation is presented in the next section.
2.2 Digital Transformation

All around the world, companies across all industries are comprehending the impor-
tance of digital transformation to the sustainability of their profits and their continued
existence and prosperity [6]. Therefore, business functions, such as sales, marketing,
human resources, operations, finance, research and development and customer support
need to be transformed into the digital environment [7]. Gale and Aarons [22] studied
companies which had undergone digital transformation and found that they are able to
gain competitive advantages by simultaneously lowering their expenses, innovating
and becoming more organized and competent. Additionally, true mastery of an
organisation’s supply-chain activities will arise from digital transformation [23]. As a
result of this digital transformation necessity, companies need to design and create
strategies in order to make digital transformation possible [6, 7]. A digital business
strategy can be described as a corporate strategy designed, created and implemented
making use of digital resources to create new and unexploited worth [24].
There are 4 interrelated business transformation strategies, namely: use of tech-
nologies, changes in value creation, structural changes as well as financial aspects [25,
26]. Use of technologies speaks to an organisation’s technological drive and desire to
transform and determines an organisation’s opinions about a new IT factor, as well as
that particular organisation’s willingness and capacity to use it. Changes in value
creation describes the effect of digital transformation strategies on the value chains,
which presently existed within an organisation and determines the level at which the
digitised processes are different from the existing, traditional methods. Structural
changes form the foundation of an organisation’s ability to transform digitally and
make use of new technologies to change their value creation, while financial aspects
refers to the requirement of funding and capital that is required for digital transfor-
mation to take place [25, 26].
Much like the relationship between the above four strategies, digital transformation
has a strong, growing relation with digital entrepreneurship. This relationship is
explored in the following section.
2.3 Digital Entrepreneurship and Digital Transformation

Interrelationship
In order to understand the difference between digital entrepreneurship and digital
transformation, the supply-side and the demand-side of entrepreneurship needs to be
clarified [27]. The supply-side of entrepreneurship encompasses the human element of
entrepreneurship. That is, the people who are suitable to take-on entrepreneurial roles
and positions. The demand-side encompasses those aforementioned positions; new
positions which are available to those entrepreneurs who are willing and able to fill
them [27]. This typifies the necessary and present relationship between digital
entrepreneurship and digital transformation - digital entrepreneurs can take on roles and
responsibilities created through digital transformation, or could create digital trans-
formation themselves [21]. As a result, new disruptive growth for businesses leads to
an increase in opportunity for digital entrepreneurs.
Two strategies were developed towards growing new disruptive businesses [28]:
firstly, creating a new market as the foundation for the disruption and secondly, dis-
rupting business models which are held by industry leaders. New market creation
involves identifying a product or service which satisfies a need which people have, but
neither have the time, the energy, the drive nor the resources to do it. It is less
complicated and more cost-effective to attract customers who are purchasing nothing
than it is to poach or sway customers who are loyal to existing companies or
competitors. Disrupting business models propose that if a new market cannot be cre-
ated, an alternative possibility is to enter an existing market and to disrupt it instead
[28].
The next section presents an overview of the research methodology followed for
this research paper.
3 Research Approach
The objective of this paper is to investigate digital entrepreneurship and digital

transformation, their characteristics and inter-relationships. In order to achieve this
objective, a systematic literature review (SLR) was conducted in order to provide a
thorough, impartial amalgam of a number of studies relevant to the topic being
researched, collated within one document [29]. An SLR process comprises of 3 con-
secutive stages: (1) planning, (2) execution and (3) result analysis [30]. Planning
involves defining the research objectives and the manner in which the review will be
carried out. Execution points to the study selection and the data collection, while result
analysis encompasses the data synthesis and results discussion [29, 30]. The planning
phase was guided by the aim of the research study, namely, to propose a digital
entrepreneurship framework enabled by digital transformation. Technical reports,
academic books and specific scientific databases were chosen for the SLR process. The
sources considered are shown in Table 1 in the database column as they hold the most
important and highest impact full-text journals and conference proceedings in the
digital technologies field.
Table 1. Total number of papers found per database

Database Entrepreneurship Transformation Total
EBSCOhost 13 40 53
Emerald Insight 16 17 33
Google Scholar 30 30 60
IEEE Xplore 15 15 30
SAGE 2 1 3
Springer Link 59 15 74
Total 135 118 253
The following keywords were used to find relevant studies: for Digital
Entrepreneurship included (“Digital Entrepreneurship” OR “Digital Business” OR
“Digital Entrepreneur*” OR “Digital (NEAR/2) era”) AND (skills OR frame* OR
strat* OR review OR func* OR fail* OR barriers OR characteristics) NOT transfor-
mation. For Digital Transformation the search terms included (“Digital Transforma-
tion” OR “Transform* digital” OR “strategic transform*”) AND (strat* OR adopt* OR
benefits OR barriers OR practices) NOT Entrepreneurship. The initial search produced
a list of 253 papers as shown in Table 1.
The research studies were screened through the application of specific criteria to
exclude papers such as studies not associated with the research questions, non-English
studies, anecdotal or opinion-based papers and duplicate studies that formed part of the
result set. Criteria for inclusion of sources consisted of peer-reviewed publications
(journal papers, conference proceedings, books, case studies, book chapters) and
technical reports.
After the initial search, the application of exclusion and inclusion criteria, the
detailed screening of abstracts and analysis of the full-text of the prospective papers, 30
papers were identified for detailed analysis.
4 Data Analysis and Findings
Data was extracted from the selected papers based on the objective of this study, which
is to consider the characteristics of digital entrepreneurship and digital transformation.
Characteristic in the context of this paper refer to any distinguishing feature or attribute
of an item [31]. These distinguishing features or attributes were extracted and reported
in Table 2 together with the number of times the same theme occurred (frequency
count). For each characteristic identified, the source is indicated.
Self-employment refers to an individual’s aspiration of working for him/herself as a
freelance employee or the owner of a business, rather than for an employer. Self-
employment is viewed as freedom from traditional work assignments, work hours and
undesirable working conditions. Work satisfaction alludes to the measure of person’s
satisfaction with their job. Work satisfaction could be an important cornerstone of any
person’s reason to choose what industry to work in, which job they seek or how
strongly they wish to be an entrepreneur. Entrepreneurship is a practice which people
are drawn to, one which offers the potential for freedom, money, power and personal
purpose. Entrepreneurs across all industries, disciplines and practices, have certain
traits which set them aside from the rest of the work force such as business opportunity
identification and exploitation, vision and overcoming potential barriers.
Entrepreneurship can come from a range of areas and opportunities. This particular
characteristic was identified from entrepreneurship stemming from circumstances
which allowed for entrepreneurship to arise and flourish. These opportunities come in
the form of new markets, technological advancements, deficiencies in need satisfaction,
price-point vulnerabilities and a variety of other sources which lead to entrepreneurship
in multiple forms.
From a digital transformation perspective, digitisation allows for better relation-
ships. Critical to the success of almost all organisations globally is their ability to
create, maintain and prioritise relationships, and even more so for entrepreneurs. These
are relationships between the entrepreneur and other organisations within and outside
of their market, their suppliers, their employees and, most importantly, with their
customers; prioritising communication channels with their customer base have sig-
nificant competitive advantages over their competitors. Digitisation facilitates com-
munication, making it pivotal to the continuing success of an entrepreneur therefore,
understanding digitisation is critical. Digitisation, however, does not mean success is
automatically and easily attainable. While digitisation offers a range of opportunities to
Table 2. Characteristic and reference

Characteristic Source
Self-employment [15, 32]
Work satisfaction [32]
Entrepreneurship prospect [27]
Entrepreneurial traits [15–18, 27, 33]
Entrepreneurship can come from opportunity [3, 14–18, 20, 21, 27, 33–
38]
Digitisation allows for better relationships [9, 22, 23, 25, 34, 35, 39]
Digitisation does not mean success is clear and easy to [16]
entrepreneurs
Employee involvement is crucial [40]
Knowledge management [19]
Traditional organisational structures may slow progress [9, 23, 41]
E-strategies bolster competitive advantage [42]
Entrepreneurship aspiration [20, 37]
Business intelligence can facilitate entrepreneurship and [43]
transformation
Disruption comes from new market creation [14, 15, 17, 22, 28, 33, 34,
38]
Disruption comes from existing markets [17, 20, 25, 28, 37, 38, 40,
44]
Production competence comes from technology [25, 34, 45, 46]
Costs of technology [22, 37, 45, 46]
Technology adoption [25, 34, 45, 46]
Technology improves compatibility and working between [9, 35]
organisations
Understanding digitisation is critical [3, 21, 22, 24, 25, 39, 40,
44]
Digitisation allows for virtual teamwork [21, 35]
entrepreneurs, enacting it is not a guarantee of success to entrepreneurs. There is also

an array of other issues which need to be carefully considered, managed and mitigated.
There are resource issues, social issues, network requirements, market availability and
competitors which will constantly keep entrepreneurs vigilant, regardless of how
digitised their organisation has become. Employee involvement is also important as
having the best technology, processes, strategies, operations, partners and opportunities
in a market cannot add any value if the company has no one to endorse all of these
aforementioned strengths. The benefits of any technology can only be realised when it
is being truly accepted and utilised. User acceptance of technologies and the influences
on user attitudes, customer engagement and business operations have been widely
researched, and is a key characteristic enabling digital entrepreneurship.
Knowledge management involves the creation, control and use of all forms of
knowledge throughout an organisation. This is knowledge of systems, customers,
employees, strategies, threats, opportunities, and any other form of information which
an organisation can be sustained and improved using. Managing and effectively dis-
tributing knowledge throughout an organisation is crucial to both maintaining success
as well as pioneering expansion. Traditional organisations are heavily structured, rigid
bodies which possess a great deal of hierarchy. Upper management and associated
strategists decide on the direction of the organisation and dictate that direction to
subordinates. This may slow down progress drastically compared to fast-paced, new-
age companies. E-strategies bolster competitive advantage. As we move further and
further into the digital age, e-business strategies are becoming cardinal to successful
operations, sustenance and development of all organisations, especially those which
primarily operate within the digital realm. Organisations which employ e-strategies are
experiencing advantages over competitors who are not engaging in strategies of a
similar nature. Adoption can be increased or reduced based on a number of factors.
There is a broad spectrum of reasons organisations are either excited or reluctant to
adopt new technologies and practices. These reasons include cost, competitive
advantage, learning curves, training, revenue potential and all other factors which are
relevant to adoption. Entrepreneurship can also come from within. While
entrepreneurship is primarily associated with private, self-employed individuals start-
ing companies, it is important to note that entrepreneurship can arise from within an
existing organisation. Emerging markets allow for entrepreneurs to go from being
employees within an organisation to becoming self-sufficient entrepreneurs, creating
new businesses within those markets.
Business intelligence can facilitate entrepreneurship and transformation.
Entrepreneurship and transformation is impossible to achieve without data, and more
information and, most importantly, knowledge. Business intelligence is the driver
behind entrepreneurship and transformation. Business intelligence offers information
on technology, applications, processes, dashboards and other key tools entrepreneurs
require to be successful and organisations require to successfully transform themselves.
Disruption comes from new market creation. The creation of a new market is a
common occurrence when investigating disruptive companies. Creating a new market,
which solves the needs of customers across a variety of existing markets, can be crucial
to incumbent organisations sustaining their success. Organisations creating new mar-
kets and obtaining a large share of that market, while negatively impacting on the
performance of organisations in other, related markets, can cause a great deal of dis-
ruption. Disruption comes from existing markets. Disruption from within already-
established markets is an alternative, but equally common, approach to causing dis-
ruption for organisations which are incumbent to that market. When there is a number
of organisations operating within and profiting from the same market, competitor
activity may disrupt the market they know and capitalize off of, could be fundamentally
changed. Production competence comes from technology. The ability of an organi-
sation to produce competently is based on a variety of mechanisms. And technology is
at the centre of these mechanisms. Maintaining production competence in industries
where competitors are constantly improving their technology can be harmful to
organisations who are not improving their technology. There are a number of barriers
to the initial adoption of technology as well as to improving existing technology, but

the challenges of these changes could be outweighed by the negative effects that the
failure to change carries.
Costs of adoption are a primary negative. There is a multitude of possible reasons
why organisations do not want to adopt new technologies, techniques or operating
methods. Chief among these reasons is that of cost. The inordinate costs associated
with both adopting new technologies or operational methods, as well as improving on
existing technology or operational methods, is the principal reason organisations are
reluctant to digitally transform. Technology improves compatibility and working
between organisations. Communication, mutual operation and successful interactions
between organisations is facilitated and improved by technology. Traditional channels
of business are supplemented with technology, where organisations which rely on each
other have superior means of communication and operational efficiency stemming from
their use of supporting technology. Digitisation allows for virtual teamwork. Tradi-
tionally, employees would have face-to-face interactions with one another at a physical
workplace. However, owing to digitisation, organisations are now able to create virtual
teams, which have the potential to span a city, a country, or the globe. As a result,
teams can cooperate with one another at anytime from anywhere in the world without
having to physically meet. This allows for new perspective, ways of working, problem
solving and round-the-clock working on the same projects as well as more flexibility
and employee freedom.
5 Digital Entrepreneurship and Digital Transformation

Characteristics
In order to report the findings of the SLR, we utilised the Dynamic Capabilities Theory
which refers to the “ability to integrate, build, and reconfigure internal and external
competencies to address rapidly-changing environments” [47: 9]. The dynamic capa-
bilities approach emphasises organisational and strategic capabilities to realise com-
petitive advantage and consists of three main components of capabilities: (1) to sense
and shape opportunities and threats (sensing), (2) to seize opportunities (seizing), and
(3) to maintain competitiveness through enhancing, combining, protecting, and, when
necessary, reconfiguring the organisation’s intangible and tangible assets (“trans-
forming” or “shifting”) [47]. By mapping the characteristics identified (Table 2) to the
3 main components of the dynamic capabilities based on the definitions and scope of
each, the particular feature and attribute set of digital entrepreneurship and digital
transformation are depicted in Table 3.
The aim of this paper was to consider the characteristics of digital entrepreneurship
and digital transformation as they are not mutually exclusive (Sect. 2.3). Characteristics
pertinent to sensing and shaping opportunity includes the creation of self-employment
through prospects based on an entrepreneurs’ drive to succeed. Digital transformation
in this instance provides opportunities to create new markets or to optimise existing
collaborations and the understanding of digitisation may shape additional prospects.
Digitisation enables digital entrepreneurship and digital transformation. The manage-
ment, and the successful implementation thereof, is what allows for lucrative digital
Table 3. Digital entrepreneurship and digital transformation characteristics mapped to dynamic

capabilities [47]
Sensing Seizing Transforming or shifting
Self-employment Entrepreneurship can Work satisfaction
come from opportunity
Entrepreneurship prospect Traditional Entrepreneurial traits
organisational
structures may slow
progress
Entrepreneurship aspiration E-strategies bolster Digitisation allows for better
competitive advantage relationships
Disruption comes from new Disruption comes from Digitisation does not mean
market creation existing markets success is clear and easy to
entrepreneurs
Technology improves Production competence Employee involvement is
compatibility and working comes from technology crucial
between organisations
Understanding digitisation is Knowledge management
critical
Business intelligence can
facilitate entrepreneurship and
transformation
Cost of technology
Technology adoption
Digitisation allows for virtual
teamwork
entrepreneurship and digital transformation to take place. Characteristics relevant to

seizing opportunity are based on an entrepreneurs’ ability to exploit prospects that may
be derived from existing market- or digital transformation strategies. The potential of
technology in improving productivity also presents opportunity. Technology is
employed, in some form or another, by incumbent organisations which dominate
markets, start-ups, entrepreneurs and by those who are transforming organisations. The
fact that traditional organisations may slow down progress is highlighted as a char-
acteristic to be aware of in a digital entrepreneurship endevour. Characteristics appli-
cable to maintaining competitiveness include features pertaining to an entrepreneur
profile such as traits, work satisfaction, relationships, collaboration, technology
adoption and the management of knowledge. The facilitative role of data and business
intelligence on entrepreneurship and transformation, must be considered and the cost of
adoption is a characteristic highlighting potential drawbacks to be cognisant of.
Table 3 illustrates that a number of characteristics need to be considered in order to
achieve digital entrepreneurship enabled through digital transformation, signifying the
relationship existing between them. By taking the characteristics into account, both
organisations as well as individuals can consider creating new business ventures or

transform existing enterprises by creating, or making use of, innovative technologies.
6 Conclusion
The purpose of this paper was to consider the characteristics of digital entrepreneurship
and digital transformation. After investigating and analysing entrepreneurship and
digital transformation to determine a clearer understanding of what these concepts
entail, a SLR was conducted. Twenty-one characteristics were identified and presented
using the Dynamic Capabilities Theory, illustrating the key features and attributes of
digital entrepreneurship and digital transformation.
By referencing the data from this study, both individuals and companies can garner
a firmer grasp on what these concepts entail and how they can add value to intellectual
and practical knowledge. This paper contributed by highlighting a number of key
characteristics which exist for each digital entrepreneurship and digital transformation,
with focus on how these characteristics relate. By making use of the proposed con-
ceptual framework, individuals and organisations alike can either start new companies
or adapt existing ones to be aligned with the digital age.
As this study focused on identifying the characteristics of digital entrepreneurship
and digital transformation, the proposed findings may be tested in a real-world situation
within and organisation, with entrepreneurs or with an idea incubator and accelerator.
Through such a process, the proposed characteristic set may be enriched.
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(2016)
Mapping the Intellectual Progress
in e-Business, e-Services and e-Society
from 2001 to 2019
Zacharoula Papamitsiou(&) and Patrick Mikalef
Norwegian University of Science and Technology, Trondheim, Norway

{zacharoula.papamitsiou,patrick.mikalef}@ntnu.no
Abstract. This study aims to identify the conceptual structure and the thematic
progress in e-Business, e-Services and e-Society and to elaborate on
backbone/emerging topics in the field from 2001 to 2019. To address this
objective, this paper employs hierarchical clustering, strategic diagrams and
network analysis to construct the intellectual map of the I3E community and to
visualize the thematic landscape in this field, using co-word analysis. Overall, a
total of 835 papers from the proceedings of the e-Business, e-Services and
e-Society (I3E) conference, and the respective 2574 author-assigned keywords,
were included in the analyses. The results indicate that the community has
significantly focused in areas like technology adoption models, Social Media,
e-Government and business models; sentiment analysis and m-payments are
peripheral themes, yet topics like cloud computing and Open Data are emerging.
The analysis highlights the shift of the research interest throughout the past
decades, and the rise of new topics, comprising evidence that the field is
expanding and evolving. Limitations of the approach and future work plans
conclude the paper.
Keywords: Co-word analysis Bibliometrics Conceptual mapping

e-Services
1 Introduction
The subject area of e-Business, e-Services and e-Society has delved into the topic of
digitalization with regards to different facets of how we live, work, and conduct
business [8]. Since the early 2000s when the dot com period hit its peak, the research
interest has centered on the opportunities, challenges and implications that novel digital
technologies introduce. The proliferation of such technologies, coupled with the rapid
adoption of computer-based systems and the investments in network infrastructures,
created a new wave of opportunities on digitalized processes [1, 22]. Along this pro-
gression, research has focused on issues related to each transition, examining obstacles
of adoption from the individual to the industry level, value generating mechanisms, and
the anticipated and unanticipated effects of integrating these technologies in everyday
life.
Now that the field counts 18 years, based on the number of the e-Business,
e-Services and e-Society (I3E) conferences being organized, it is a good time to analyze
https://doi.org/10.1007/978-3-030-44999-5_21
Mapping the Intellectual Progress in e-Business, e-Services and e-Society 253
its past and current state. Doing so will allow researchers to understand the evolution of
the field over the past two decades and identify the challenges and opportunities that lie
ahead. The most appropriate way to examine all publications presented in the con-
ferences throughout these years is by applying a methodology that quantifies the core
topics, the marginal contributions, the under-developed themes, and the forthcoming
ideas that worth investing on, as well as how these topics are related and move between
these states during the last 18 years. The main objective of this work is to capture,
interpret and understand the big picture in the I3E domain from a quantified viewpoint.
The research presented in this paper is a mapping study of the I3E field; it is a review
that seeks to identify, not results, but linkages, shows the internal dynamics and
structure of the domain, and pinpoints the topics with impact in the given discipline.
Towards facilitating this objective, this paper employs co-word analysis, and
examines the associations and networks among concepts, ideas, and issues that have
contributed to the evolution of the field to date [5]. Co-word analysis allows for and
supports the identification of key patterns and trends that point to particular changes in
research topics (e.g., emerging or declining interests) or specific research directions
(e.g., paradigm shifts), using a graph of key-terms [11], extracted directly from the
metadata of the papers. Considering this, the present study maps the intellectual
progress of the e-Business, e-Services and e-Society landscape, as reflected in the
records of I3E conferences. The proceedings of this event provide a solid foundation to
the related work published to date. During the past 18 years, considerable work has
been published, allowing us to observe where the field currently stands, what are the
challenges and opportunities the researchers are facing, and what are the potential
driving forces in the near future. Accordingly, this work mainly contributes as follows:
• brings new insights on the intellectual mapping and progress of the area of I3E;
• raises awareness of the community on the mature, under-developed, emerging, or
declining research themes;
• highlights individual topics as popular, core or backbone topics within the
discipline.
2 Background and Related Work
The community of I3E is inherently diverse at the intersection of digital technologies,

business, social sciences, big data, artificial intelligence, and network infrastructures
[1, 8]. Digital services can make a global impact and therefore, the understanding of the
economic, technical, and social aspects of service development and innovation is a
demand [16]. The quantity and quality of the research activity within this community
has been the topic to a variety of literature reviews, aiming to evaluate the research
progress, impact and societal value, from different viewpoints (e.g., [9, 12, 26, 27]).
For instance, persuasiveness of electronic Word-of-Mouth (eWOM) communica-
tions has received much attention from scholars because it can affect consumers’ pur-
chase attitudes, intention, decisions, and hence sales. A dedicated review of existing
literature on the topic offered an overview of the determinants of eWOM persuasiveness,
identified gaps in current research and provided directions for future research [12].
254 Z. Papamitsiou and P. Mikalef
Another study reviewed inclusive eGovernment strategies and socially-aware

eGovernment policies, and highlighted the need for a better understanding of the role of
new intermediaries as actors that can impact the qualities of the citizens’ and public-
sector relationships [26]. The results recognized the usefulness of placing the inter-
mediaries in an institutional framework and the authors proposed an agenda for future
research.
More recently, the emergence and extended discussions about blockchain and what
it can offer to businesses in relation to consumers (B2C), businesses (B2B) and gov-
ernments (B2G) were under the lens of a systematic literature review of 40 articles from
business, management and accounting peer review journals [9]. The findings demon-
strate the role of blockchain as a facilitator of instant payments, trusted interfaces and
traceability of goods for the consumers. Specifically, businesses can be benefited from
blockchain in terms of machine-to-machine transactions, accounting, business process
management and provenance traceability. New business opportunities also arise in
government sector such as digital storage, authentication and maintenance of records,
smart trust codification and new market for digital payment services and global
commerce [9].
In another systematic review of 71 articles, social media applications over the
marketing context were explored [2]. The study synopsized the main themes and
trends, including the role of social media on advertising, the eWOM, customers’
relationship management, and firms’ brands and performance.
Apparently, despite the several literature reviews in the field, they are sparse and
there is no previous attempt – to the best of our knowledge – that maps the field as a
whole. As I3E is a highly diverse and continuously evolving field, it is important to
(a) identify and understand its core foundations that might contribute to reinforcing the
community’s identity; (b) detect under-represented or under-developed themes that
require attention for their inclusion and success; (c) highlight research gaps in bridging
theory and practice; and (d) find challenges and opportunities that hold the promise for
improving the digitization processes. As the digitalization process and its outcomes in
the 21st century accelerate transformation and the creation of sustainable societies,
offering tremendous opportunities for revising current business methods and practices
[22], there is a critical need for understanding and evaluating the field as a whole.
3 Methodology
3.1 Data Collection

The data analyzed in this study were downloaded from the I3E Springer proceedings
between 2001 and 2019. Overall, 835 peer-reviewed papers were produced within the
community of I3E and published to-date. The keynote speeches, prefaces to the con-
ference-, or track proceedings, as well as the papers that did not contain any keywords,
were excluded from the analysis. From the collected papers, the author-assigned
keywords were extracted from the metadata of each paper and were used as a unit of
analysis. The keywords used for the description of the content of a publication can be
seen as the basic building blocks of the structure of a research field; an article’s
keywords provide an adequate summary of its content, and thus can be utilized to
reduce a large space of descriptors (i.e., article text) to a network graph of smaller
related spaces (i.e., keywords) [6]. Although when authors choose keywords to
describe their work those keywords can either be very generic or very specific, still,
those keywords are human annotations on the content of the papers, reflecting human
judgement and perspective. The idea is to understand the conceptual structure and
evolution of a field directly from the interaction between keywords: if two keywords
co-occur within a paper, then the two topics they represent are related; higher co-word
frequency implies stronger correlation in keywords pairs, further suggesting that two
keywords are related to a specific theme [6]. The 835 papers are distributed per year of
publication as shown in Fig. 1.
Fig. 1. Number of I3E publications per year for the period 2001–2019.
3.2 Data Pre-processing

From the 835 published papers, the 531 had author-assigned keywords. Specifically,
2574 keywords (M = 4.85 per article) were identified in total. The retrieved author-
assigned keywords were manually pre-processed and standardized through merging
words that convey similar meaning (e.g., “electronic government” and “e-Gov” were
merged into “eGovernment”), fixing misspelled keywords (e.g., “goverment”), fol-
lowing a common spelling for UK and US terms (e.g., “behaviour” and “behavior”),
and filtering broadly used terms (e.g., “IoT” and “Internet of Things”; “WoM” and
“Word of Mouth”) - following the approach recommended in [11, 17], in a non-
invasive manner. Keywords appearing in singular and plural forms of nouns and
gerunds were also merged. At the end of this pre-processing, 1732 keywords (67.3% of
the original dataset) were identified as unique and were subjected to further analysis. In
order to be able to apply this method, papers from more than 5 years of research are
required.
The Kolmogorov Smirnoff test shown that the frequency of keywords follows a
power-law distribution with an alpha of 1.87. Due to this heavy-tailedness, the research
landscape of I3E is a scale-free network, with small number of popular terms acting as
“hubs”: they connect different topics, capture major research directions and influences
in the field, and shape its intellectual structure [11]. A scale-free network also suggests
that major research themes can be detected with small subset of popular terms.
A previous analysis in the HCI research field demonstrated that less than 100 keywords
are enough to describe the intellectual progress of a field [17]. Thus, in the present
study we decided to include only those keywords that appear more than four times
(n 4) in the period 2001–2019. This decision was grounded on two facets: (a) the
frequency of a term reflects its significance for a research community, i.e., the higher
the frequency is, the more often the term attracts the researchers’ attention/interest; and
(b) the retained 65 keywords (total frequency = 646, 37.3% of the total unique key-
words) cover 461 (86.8%) of the 531 articles (with keywords) published. Furthermore,
for the given datasets of terms and papers, n = 4 is the minimum term frequency that
achieves the highest inclusion of papers in the datasets. For example, for author-
assigned keywords with n 3, the retained keywords are N = 150 and cover 88.9%
of the papers, whereas for keywords with n 5, N = 57 keywords, covering 72.3% of
the papers. Thus, with fewer yet highly frequent terms we could satisfactorily describe
the I3E network of terms.
3.3 Co-word Analysis and Strategic Diagram

This study employs co-word analysis to shed light on the intellectual progress in the
I3E field. Co-word analysis has been proposed as a content-analysis technique to map
the strength of relations between terms in texts and to trace patterns and trends in term
associated-ness [5]. The idea behind co-word analysis rests on the assumption that key-
terms identified within an article (e.g., keywords) can adequately describe and com-
municate the content of that article; the co-occurrence of at-least two keywords in the
same article indicates a linkage between the topics, i.e., a “theme” [4]. The main units
of analysis are keywords, clusters (i.e., sets of keywords) and keyword networks [17].
Co-word analysis is applied to reduce the broad network of keywords into a smaller
network of related topics using graph theory [7]. Graphs consist of nodes that represent
the keywords, and links that represent the interactions between the nodes. Given a
network of keywords, a combination of clustering, network analysis and strategic
diagrams is used to model the conceptual structure of a field and to characterize it [4].
The graph theory concepts employed are centrality (i.e., the strength of the links from
one research theme or cluster to others, indicating its significance in the development of
the community [17]) and density (i.e., the coherence of a cluster and a measure of a
theme’s development [10]). Combining centrality and density allows for the creation of
two-dimensional strategic diagrams [4] (Fig. 2): the position of a cluster in the dia-
gram corresponds to the importance of the cluster in the whole network (i.e., centrality
– x-axis) in relation to how well the theme of this cluster is developed (i.e., density –y-
axis).
As one can observe, Quadrant I (Q1) holds the motor themes (i.e., mainstream
themes) that have strong centrality and high density. Quadrant II (Q2) contains themes
Fig. 2. Number of I3E publications per year for the period 2001–2019.
that are internally well-structured but have weak external ties. These research themes
are more specialized and peripheral to the mainstream work that is central in the
research field. Quadrant III (Q3) includes the themes with low density and low cen-
trality, that are either emerging, or disappearing. Finally, Quadrant IV (Q4) covers
basic and transversal themes of considerable significance to the entire research net-
work, i.e., central to the community, with potential to become important to the field as a
whole.
3.4 Data Analysis

To identify the major research themes in the I3E domain, hierarchical clustering
analysis on a correlation matrix with the retained terms was performed, using the
Ward’s method with Squared Euclidean Distance as the distance measurement [19].
The supervised clustering method allows to maintain content validity and cluster fitness
for the highest number of clusters [11, 17]. Each cluster represents a research theme or
sub-field. The co-word network was further analyzed using the following measures:
• Keywords: set of terms that constitute a cluster;
• Size: number of keywords in the cluster;
• Frequency: how many times all keywords (in a cluster) appear in the dataset;
• Co-word frequency: how many times at-least two keywords (from a cluster)
appear in the same paper. Computing this results in a symmetrical co-occurrence
matrix [15]: values in the diagonal cells are term frequencies, and values in non-
diagonal cells are co-word frequencies. High frequency of co-occurrence between
terms indicates connection between the topics they represent;
• Transitivity: how tightly connected is the cluster (the clustering coefficient), i.e.,
how close the keywords are to being a “clique”. Transitivity is the frequency of loops
of length three in the cluster; a loop of length three is a sequence of nodes x, y, z such
that (x, y), (y, z) and (z, x) are edges of the graph [25]. The value range is [0, 1];
• Centrality: the degree of interaction of a theme with other parts of the network, i.e.,
how many other clusters a cluster connects to [4]; Centrality refers to a group of
metrics that aim to quantify the “importance” of a particular node (or cluster) within a
network (e.g., betweenness centrality, closeness centrality, eigenvector centrality,

degree centrality) [20]. Here we used betweenness centrality (C), with 0 C 1;
• Density: how cohesive is the cluster of terms, i.e., the number of direct ties
observed for the cluster divided by the maximum number of possible ones [4].
Density is graph-dependent and can be any positive real number [14].
Based on the clustering results, we plotted the strategic diagram for the years 2001–
2019 to visualize the cohesion and maturity of the I3E themes [4, 17]. In addition, a
keyword network graph was created from the keywords list. In this graph, each key-
word is represented as a node, and the keywords that co-appear on a paper are linked
together. By creating associations between keywords, multiple networks associated
with different themes are also created. In this case, bridges are built between the nodes
of keywords, to allow communication and information flow between isolated regions in
the whole network. Those nodes are known as structural holes [21]. Keywords acting
as structural holes serve as a “backbone” of a network: if removed, the network will
lose its cohesion and will disintegrate into separated and unconnected concepts. Thus,
the network’s core-periphery structure needs to be computed, to determine which nodes
are part of a densely connected core (i.e., with a higher number of bridges), or a
sparsely connected periphery [24]. Core nodes are reasonably well-connected to
peripheral nodes, while peripheral nodes are sparingly connected to a core node or to
each other. A node belongs to a core only if it is well-connected to other core nodes and
to peripheral nodes [24]. A follow-up core-periphery analysis was performed to spot
the core research topics from the perspective of the whole network. In this analysis,
keywords were categorized according to their popularity, coreness (i.e., connectedness
with other topics) and constraint (i.e., backbone). The whole approach is illustrated in
Fig. 3.
Fig. 3. Research methodology.
4 Results
4.1 Mapping of the Field
The analysis on the retained 65 author-assigned keywords led to 14 clusters (labeled as
C1–C14, in Table 1), with each cluster representing a research theme or a sub-field. In
order (a) to better understand the relative “position’’ of these clusters within the overall
I3E field (i.e., what is the distance from each other in terms of cohesion and maturity of
research themes they correspond to); and (b) to create the conceptual structure of the
I3E discipline, we constructed strategic diagrams (plots) using the centrality and
density of each cluster [4, 17]. The overall results can be seen in reading Fig. 4 and
Table 1 together. In the plots, both axes are centralized to the average centrality and
average density respectively (i.e., 0.247, 1.361). The overall network’s density was
0.667.
As it can be observed from Fig. 4, one motor theme (Mainstream theme), repre-
sented by cluster C5 (i.e., literature review, TAM, adoption) is detected using the
human descriptors (keywords) of the papers. In other words, the field is in general
fragmented, with only one theme having received substantial attention from the
community, in terms of human annotations. Furthermore, in Fig. 4, the author-assigned
keywords indicate that the community has few internally well-structured research
themes, yet with weak external ties (Ivory Towers), acting as peripheral nodes to the
global network (i.e., connect only to core nodes, yet not necessarily to mainstream
topics only), and classified in clusters C2, C3 and C4 (e.g., mPayments, Digital Pay-
ment, Twitter, Sentiment Analysis, UTAUT2, Perceived Risk). Those topics appear to
have high-density, i.e., the clustering coefficient is high and the topics within each of
the cluster are very well connected to each other, but they lack strong ties with topics
that are external to them. The following-up core-periphery analysis will provide insight
on that issue.
Fig. 4. Strategic diagram for I3E for the period 2001–2019.

Table 1. Clusters of topics in I3E for the period 2001–2019.

Q ID Keywords (the most frequent in bold) Size FrEquationa CW- Ta Ca Da
Fr.a
Q1 C5 adoption, literature review, TAM, 5 45 82 0.90 0.43 1.50
India, use
Q2 C2 m-payments, digital payment 2 10 20 N/A 0.11 3.00
Q2 C3 twitter, sentiment analysis 2 18 27 N/A 0.19 4.00
Q2 C4 UTAUT2, information systems, 3 16 28 1.00 0.14 2.00
perceived risk
Q2- C12 Big Data, data quality, information 3 26 27 1.00 0.19 1.33
Q3 sharing
Q3 C6 eWOM, motivation, e-Services, 5 28 39 0.87 0.18 1.00
information seeking, online reviews
Q3 C7 Cloud Computing, SaaS, eBusiness 4 17 23 1.00 0.16 1.00
models, business intelligence
Q3 C8 Open Data, benefits, usability, 6 33 41 0.81 0.13 0.80
evaluation, AHP, public services
Q3 C9 SME, mobile devices, marketing, 5 28 28 0.33 0.13 0.50
technology adoption, CRM
Q3 C13 business model, strategy, value, 4 29 30 0.33 0.24 0.50
information technology
Q4 C1 Social Media, customer engagement, 7 86 108 0.87 0.49 1.29
Facebook, SNS, ICT, Social
Networks, Use and Gratification
Theory
Q4 C10 privacy, Social Commerce, WoM, 4 35 44 0.87 0.26 0.80
trust
Q4 C11 e-Commerce, collaboration, 9 86 93 0.53 0.46 0.67
interoperability, interorganizational
system, security, supply chain, e-
Business, web services, QoS
Q4 C14 e-Government, Smart Cities, artificial 6 61 62 0.33 0.35 0.67
intelligence, Internet, B2B
a
Freq: Total frequency of all keywords; CW-Fr: Co-word Frequency; T: Transitivity;
C: Centrality; D: Density
Regarding the themes that are either emerging or disappearing (Chaos/

Unstructured), the author-assigned keywords revealed that researchers have developed
a considerable number of topics with – in a sense – “marginal” interest in the I3E network,
classified in clusters C6, C7, C8, C9, C12 and C13 (e.g., eWOM, online Reviews,
motivation, information Seeking, eServices, Cloud Computing, SaaS, Business Intelli-
gence, eBusiness models, Open Data, information technology), as illustrated in Fig. 4.
The term “marginal” here is used to describe both the cases of “close-to-disappearing”
and “nearly rising” topics, i.e., topics that either tend to no-longer attract major interest, or
they have recently started to attract attention, but have not yet been well-developed.
Finally, a substantial number of transversal themes (Bandwagon) have been

detected as well, i.e., themes that are strongly linked to specific research interests
throughout the network yet are only weakly linked together. These are categorized in
the clusters C1 (e.g., customer engagement, facebook, social media, use and gratifi-
cation theory, social networks), C10 (e.g., social commerce, WoM, trust, privacy) C11
(e.g., eCommerce, interoperability, interorganizational system, security, supply chain,
eBusiness, web services, QoS) and C14 (e.g., IoT, Smart Cities, artificial intelligence,
eGovernment, b2b).
4.2 Keywords Network Map

A network of keywords demonstrates the relationships among different themes; to
better understand and visualize the interactions between the research themes in Table 1,
network analysis was used to create a granular map of the keywords. Figure 5 displays
the results. Each node in the graph represents a keyword that is linked to other key-
words that appear on the same paper. The size of the nodes is proportional to the
frequency of the keywords, the color of the node corresponds to the cluster the key-
word has been classified in, and the thickness of the links between the nodes is
proportional to the co-occurrence correlation for that pair of keywords. To reduce
visual clutter, a centralized subset of the complete network is illustrated, omitting
isolated nodes and keywords with less than 3 strong ties, that would lead to a highly
disconnected network.
Fig. 5. Keywords network map for I3E for the period 2001–2019.
Table 2. Summary of popular, core and backbone topics of I3E in 2001–2019.

# Popular topic Frequency Core Topic Coreness Backbone topic Constraint
1 Social Media 51 Social Media 0.45 Social Media 0.19
2 e-Government 37 e-Commerce 0.30 TAM 0.19
3 e-Commerce 36 TAM 0.29 Trust 0.21
4 Big Data 18 Adoption 0.28 Big Data 0.21
5 Business 17 e-Government 0.27 e-Commerce 0.22
Model
6 Adoption 15 Trust 0.25 Adoption 0.23
7 e-Business 15 Big Data 0.22 e-Government 0.23
8 Trust 13 Facebook 0.13 Motivation 0.24
9 Smart Cities 12 Open Data 0.09 Literature Review 0.26
10 TAM 12 Twitter 0.09 Technology 0.26
adoption
Finally, core-periphery analysis was performed to identify the core research topics,
from a whole-network perspective, as individual keywords, regardless of the cluster
they belong to. The analysis yielded 10 topics in each of the categories (Table 2):
• Popularity: how frequently a keyword is used;
• Coreness: how connected is a keyword with other topics; value range: [0–1];
• Constraint: how connected is a keyword with other otherwise distinct topics (i.e., if
the topic creates a backbone of the field); constraint is measured on a [0–1] scale.
High core value indicates a topic that is well connected to other topics. Lower
constraint suggests a keyword that brings together otherwise isolated topics
(“bridges”). Burts constraint (i.e., Constraint) [3] is commonly used for this purpose
(accurately speaking, the lack of it, because the larger the constraint, the less structural
opportunities a node may have for bridging structural holes). Topics with high Pop-
ularity and Coreness and low Constraint can be considered as driving forces for
advancements in the field: without these topics, the field of I3E would be completely
fragmented.
5 Discussion and Conclusions
The I3E conference on e-Business, e-Services and e-Society has grown and evolved
over the years. The mere fact that the conference has managed to keep and expand its
active community of researchers for almost two decades, demonstrates that the field is
of increased and growing relevance. The objective and contribution of this paper is
twofold: (a) to have a methodological contribution in the field (i.e., the method pre-
sented in this paper has not been employed in this research domain before); and (b) to
demonstrate and apply a quantified (objective) methodology that is beyond the qual-
itative (subjective) perspective of a systematic literature review, aiming to shed light to
the maturation of the field throughout the past two decades and to map the research
streams in the field, how they are connected, and detect those that would benefit for
more focus or integration. The analysis conducted in this study highlighted the major
themes that have dominated the researchers’ interest, as well as those that are likely to
be the core focus of future studies. The co-word analysis of the I3E proceedings to date
revealed some interesting findings regarding the progression of the field as a whole.
In coherence with the title of the conference, the three main (i.e., motor) themes
have been on e-business (i.e., e-commerce), e-services (i.e., e-government) and
e-society (i.e., social media) as is depicted in Fig. 5, and in line with previous sys-
tematic literature reviews [2, 26]. The underlying topic that has linked these three focus
areas has been adoption models, examining the factors concerning individuals, users
and organizations intention to adopt such systems, also noted in previous studies [8, 1].
This trend also indicates the maturity of these technologies, with substantial research
still concerning why and how adoption of emerging digital technologies can be
enhanced.
An intriguing finding is the emergence of big data as a linkage between the main
three pillars (Figs. 4 and 5). Research themes that fall within the “Chaos/Unstructured”
quadrant will attract attention in the years to come: as more and more people are
moving from the adoption of digital technologies to the routinization in everyday life,
so is the amount of generated data increasing. This has led to a surge of research on the
potential of big data analytics for extracting actionable insight confirming previous
findings [22].
As seen from the network map (Fig. 5), big data – in particular with relevance to e-
government and social media – is an area with much future interest, also highlighted in
[13]. The use of user generated data, and the integration with social media platforms
offers an interesting perspective into the generated insight, the services that can be built
based on this insight, as well as the implications and ethical issues that accompany such
ventures. Big data and business analytics ecosystems may pave the way towards digital
transformation and sustainable societies [23]. Furthermore, the strong link between
e-commerce and social media (Table 1), denotes the increased prevalence of social
commerce efforts over the last years (e.g., [18]). We witness an increased number of
social media platforms featuring commercial aspects, with some notable examples
being Facebook and Instagram. As more vendors utilize these platforms, trust emerges
as a core aspect [9], both regarding the sales side and the products featured on these, as
well as on the data exchanged and utilized for marketing and sales promotions [8].
Recent events (e.g. the Cambridge Analytica scandal) surfaced issues about privacy
violation and use of data by third-parties which have come to the attention of the
general population. As social media and e-commerce vendors become increasingly
more integrated, data sharing and ownership issues will be brought in the spotlight of
research/practice.
While these are some of the major trends that can be detected throughout an
analysis of the field covered by the I3E conference, there are many more sub-fields that
are likely to be fruitful areas for future research. Our ambition was to illustrate some of
these as well as to identify the core areas that have received the center light of attention
by researchers over the past two decades. Our analysis indicates that the three pillars of
the I3E conference are becoming increasingly more fussed, and that future research is
likely to bridge all three domains to derive important research and practical knowledge.
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Weight Analysis of the Factors Affecting
eWOM Providing Behavior
Elvira Ismagilova1(&), Yogesh K. Dwivedi2, Nripendra P. Rana1,

Uthayasankar Sivarajah1, and Vishanth Weerakkody1
1
Faculty of Management, Law and Social Sciences,
University of Bradford, Bradford, UK
{e.ismagilova,n.p.rana,u.sivarajah,
v.weerakkody}@bradford.ac.uk
2
Emerging Markets Research Centre, School of Management,
Swansea University, Swansea, UK
y.k.dwivedi@swansea.ac.uk
Abstract. Electronic word of mouth (eWOM) significantly affects the con-

sumer decision-making process. A number of studies investigated why con-
sumers provide eWOM communications. Existing literature has contradicting
factors regarding factors affect eWOM providing behaviour. This study aims to
evaluate factors affecting eWOM providing behaviour by performing a sys-
tematic review and weight analysis of existing research outputs. Based on the
result of weight analysis it was found that the best predictors of eWOM pro-
viding behaviour are involvement, self-enhancement, and trust in web eWOM
services. Scholars can use the results of this study when making decisions
regarding the inclusion of factors in their research. Practitioners can pay more
attention to the best predictors.
Keywords: eWOM, weight analysis Literature review eWOM providing

behaviour
1 Introduction
Electronic word of mouth (eWOM) significantly affects the consumer decision-making

process [1, 2]. eWOM is defined as “the dynamic and on-going information exchange
process between potential, actual, or former consumers regarding a product, service,
brand, or company, which is available to a multitude of people and institutions via the
Internet” [3].
An increasing number of researchers and practitioners have started paying attention
to eWOM communications [4–6]. A number of studies investigated factors affecting
eWOM providing behaviour [7–10]. Existing studies in this area have reported
conflicting results on the effect of factors affecting eWOM providing behaviour. For
instance, Luarn et al. [11] found that altruism does not affect eWOM providing
behaviour, while Cui et al. [12] found that altruism has a significant positive effect on
eWOM providing behaviour. Another study by Shen et al. [13] by using surveys found
that economic incentives do not have any significant impact on eWOM providing

https://doi.org/10.1007/978-3-030-44999-5_22
Weight Analysis of the Factors Affecting eWOM Providing Behavior 267
behaviour, while Son et al. [14] found the opposite results-economic incentives posi-
tively affect individual’s behaviour to provide eWOM. The mixed findings on the
factors affecting eWOM providing behaviour can lead to confusion for scholars and
practitioners.
Thus, it is crucial to conduct a review of existing studies on eWOM providing
behaviour and perform weight analysis. Thus, the aim of this research is to examine
factors affecting eWOM providing behaviour by performing a systematic review and
weight analysis of existing research findings. Conducting weight analysis will help to
investigate the predictive power of the independent variables on the dependent vari-
ables, by taking into account the number of times a relationship has been previously
studied. The model developed through the weight analysis will help eWOM practi-
tioners and scholars to focus on more influential factors of eWOM providing
behaviour.
The remaining part of the paper is organised in the following way. Section 2
focuses on the method which was used for this study. Section 3 will present the
literature review. After, the findings from weight analysis are presented and discussed
in Sect. 4. Section 5 presents a conclusion followed by the limitations of this study and
directions for future research.
2 Literature Search Method
To perform weight analysis peer-reviewed journal articles on eWOM communications

were collected from bibliographic database Scopus, which is one of the world’s largest
abstract and citation databases of peer-reviewed literature. The searched keywords were
selected after consulting the experts and included “Online review”, “Online reviews”,
“Electronic word-of-mouth”, “Electronic word of mouth”, “eWOM”, “Internet word-
of-mouth”, “Internet word of mouth”, “iWOM”, “Online word-of-mouth”, “Online
word of mouth”, “Virtual word-of-mouth”. As a result, more than 500 articles were
identified published from 2000 untill 2018. Articles that did not focus on eWOM
providing behaviour and did not have empirical findings were excluded, leaving 54
research papers relevant for this research.
3 Literature Synthesis
An extensive number of studies investigated factors affecting eWOM providing

behaviour. The studies were conducted in different contexts (e.g. SNS, opinion plat-
forms, online review websites), countries (e.g. USA, China, Spain), using different
products and services as examples (e.g. laptop, restaurants, hotels) [9, 15–18]. Addi-
tionally, studies used various methods for data collection such as surveys or data
mining [19, 20]. Studies applied a number of theories to study factors affecting eWOM
providing behaviour such as social exchange theory, motivational theory and Uses and
Gratification theory to name a few [17]. Based on the literature review 21 factors which
affect eWOM providing behaviour were identified (see Table 1).
268 E. Ismagilova et al.
Table 1. Factors affecting eWOM providing behaviour

Construct Definition Number Representative
of studies
studies
Influence of Influence by the behaviours and practices 6 [7, 8]
others of other users
Information Capacity to accept information from 4 [9, 10]
influence another knowledgeable person to select a
product or brand
Tie strength The depth of a relationship between 7 [21, 22]
source and information seeker. Variables
included: tie strength, social interaction
tie, perceived social relationships
Homophily The degree to which two or more 3 [9, 15]
individuals who interact are similar in
certain attributes (e.g. beliefs, education,
social status)
Economic Getting economic benefits (e.g. money, 12 [13, 14]
incentive web coupons, free delivery). Variables
included: economic incentive,
remuneration, extrinsic reward, open
market reward
Altruism The aim of increasing welfare of one or 8 [11, 12]
more person(s) other than oneself
Self- Presenting themselves positively, sharing 12 [12, 23]
enhancement information to look good
Satisfaction in Pleasant consumption fulfilment which 4 [17, 18]
helping other happens as a result of helping other
customers customers
Opinion seeking Behaviour focused on looking for 3 [24, 25]
eWOM communications
Opinion A domain-independent, trait-like set of 3 [25, 26]
leadership personality characteristics that are stable
over time and across respondent groups.
Opinion leaders shape public opinion by
selectively conveying mass media
messages to their social networks
Community Sense of belonging to the virtual (online) 3 [20, 27]
identity community. Variables included:
community identification, social
identification
Reciprocity Benefit for individuals to engage in 2 [19, 20]
social exchange; a person who offers
help to others is expecting returns in the
future
(continued)
Construct Definition Number Representative
of studies
studies
Information The degree to which the information 3 [28, 29]
usefulness assists consumers in making their
purchase decisions
Affective Affective (emotional) commitment 2 [30, 31]
commitment derived from emotional attachment to,
identification with, and involvement in
an entity
Normative Motivated by the actor’s moral 2 [30, 31]
commitment obligation that s/he must fulfil
Involvement The degree of psychological 8 [12, 32]
identification and emotional ties the
receiver has with the product/service
Customer A condition that happens as a result of a 8 [16, 33]
satisfaction pleasant consumption fulfilment
Loyalty Overall attachment with a favourable 3 [14, 16]
attitude manifested by repeated
purchasing
Perceived risk The uncertainty a consumer has in 3 [18, 34]
making a purchase decision
Brand loyalty Favourable attitude toward the brand 2 [35, 36]
Trust in web The subjective belief that a party will 4 [20, 37]
eWOM services fulfil their obligations
To determine the strength of the relationships between constructs, weight analysis

was conducted by dividing the number of significant relationships by the total number
of analysed relationships between studied independent and dependent variables. For
example, the relationship between economic incentive and engaging in eWOM com-
munications was examined 13 times and was significant eight times. As a result, the
weight significance of a relationship between these two constructs is calculated by
dividing 8 by 13, which gives 0.615. If weight is equal to 1 it indicates that the
relationship between two constructs is significant across all studies, while a weight
equal to 0 shows this relationship is non-significant throughout all examined studies
(Jeyaraj et al. [39]; Rana et al. [40]). Table 2 presents the weight analysis of all 21
relationships included in this study.
Researchers [38–40] classify predictors as follows: a predictor is ‘well-utilised’ if
examined five or more times, otherwise it is considered as ‘experimental’; a predictor is
a ‘best predictor’ if its weight is greater or equal to 0.8 and it has been examined more
than five times but is a ‘promising predictor’ if it has been examined less than 5 times
and has a weight of 1.
Table 2. Results of weight analysis

Independent Number of Number of non- Total number Weight
variable significant significant of
relationships relationships relationships
Satisfaction in 4 0 4 1.000
helping other
customers
Opinion seeking 3 0 3 1.000
Opinion leadership 4 0 4 1.000
Information 4 0 4 1.000
usefulness
Affective 3 0 3 1.000
commitment
Normative 3 0 3 1.000
commitment
Loyalty 3 0 3 1.000
Perceived risk 3 0 3 1.000
Trust in web 5 0 5 1.000
eWOM services
Self-enhancement 12 1 13 0.923
Involvement 7 1 8 0.875
Brand loyalty 2 1 3 0.667
Economic 8 5 13 0.615
incentive
Altruism 5 4 9 0.556
Customer 5 4 9 0.556
satisfaction
Influence of others 3 3 6 0.500
Tie strength 4 4 8 0.500
Community 2 2 4 0.500
identity
Homophily 1 2 3 0.333
Reciprocity 1 2 3 0.333
Information 1 4 5 0.200
influence
Note: Dependent variable is eWOM providing behavior
The following predictors of intention to provide eWOM communications fall

within the category of best predictor: involvement (examined 8 times, significant 7
times), self-enhancement (examined 13 times, significant 12 times), and trust in web
eWOM services (examined 5 times, significant 5 times). All of these predictors were
explored five or more times and have a weight equal to or greater than 0.80.
Predictors such as information usefulness (examined 4 times, significant 4 times),
affective commitment (examined 3 times, significant 3 times), normative commitment
(examined 3 times, significant 3 times), loyalty (examined 3 times, significant 3 times),
perceived risk (examined 3 times, significant 3 times), opinion seeking (examined 3

times, significant 3 times), and opinion leadership (examined 4 times, significant 4
times) are considered as promising predictors of intention to engage in eWOM com-
munications. Although these relationships were found to be significant across all
examined studies, Jeyaraj et al. [39] suggest that these types of experimental variables
need more testing to be categorised as best predictors.
Even though none of the studied relationships between predictors and intention to
engage in eWOM was found to have a weight of ‘0’, some of the well-utilised inde-
pendent constructs are considered to be least effective predictors, such as influence of
others (examined 6 times, significant 3 times), tie strength (examined 8 times, signif-
icant 4 times), information influence (examined 5 times, significant once), economic
incentive (examined 13 times, significant 8 times), altruism (examined 9 times, sig-
nificant 5 times), and customer satisfaction (examined 9 times, significant 5 times). It is
proposed by Jeyaraj et al. [39] that justification for continuing to examine such pre-
dictors should be convincing. Nevertheless, it may be premature to exclude such
predictors given that eWOM providing behaviour research is still emerging as far as the
empirical aspects and solid theoretical foundations of this research are concerned. Out
of the total 21 examined relationships only nine were found to be studied five or more
times (influence of others, tie strength, information influence, economic incentive,
altruism, involvement, self-enhancement, customer satisfaction, and trust in web
eWOM services), which proposes that eWOM research is still not that well developed.
Moreover, some researchers propose that weight analysis may not be a sufficient reason
to exclude any variables from further analysis (Rana et al. [40]). None of the predictors
was found to be the worst predictors of intention to engage in eWOM communications.
4 Discussion
Taking into account the increasing number of studies on eWOM providing behaviour,
it is important to discuss and analyse their collective findings. Figure 1 presents the
diagrammatic representation of the factors affecting eWOM providing behaviour with
their corresponding weight based on the results of weight analysis. The findings sug-
gest the best predictors such as involvement, self-enhancement, and trust in web
eWOM services should be included in eWOM research. Promising predictors such as
should be included in future empirical research to evaluate their overall performance.
Fig. 1. Factors affective eWOM providing behaviour Note: - - -> experimental predictors; !
well-utilised predictors.
5 Conclusion and Limitations
The aim of this research was to examine factors affecting eWOM providing behaviour
by conducting weight analysis of existing research findings. The weight analysis was
performed by identifying a number of significant and non-significant relationships
between studied variables.
The current study provides some implications for researchers and practitioners.
This research provided a framework for future research identifying factors affecting
eWOM providing behaviour. Scholars can use the results of this study when making
decisions regarding the inclusion of factors in their research. Practitioners can pay more
attention to the best predictors- involvement, self-enhancement, and trust in web
eWOM services.
The current research has a number of limitations. First, this study only conducted
weight analysis without performing meta-analysis which could strengthen those find-
ings of weight analysis and evaluate the significance of the studies relationships [41]. It
is advised that future research performs meta-analysis on factors affecting eWOM
providing behaviour. Second, this study only used the Scopus database for the col-
lection of study. This can affect the number of research outputs available for weight
analysis, the coverage and representativity of the sample considered in the analysis.
Thus, future research should employ other available datasets (e.g. web of science,
Google Scholar, EBSCO).
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An Intelligent Marketspace Mobile Application
for Marketing Organic Products
Oluwasefunmi ‘Tale Arogundade1(&) , Adebayo Abayomi-Alli1 ,

Kayode Adesemowo2 , Taiwo Bamigbade1, Modupe Odusami3 ,
and Victor Olowe1
1
Federal University of Agriculture, Abeokuta, Nigeria
{arogundadeot,abayomiallia,olowevio}@funaab.edu.ng,
bamigbadetaiwo@gmail.com
2
Nelson Mandela University, Port Elizabeth, South Africa
kadesemowo@soams.co.za
3
Covenant University, Ota, Nigeria
modupe.odusami@convenantuniversity.edu.ng
Abstract. Sustainable food security (Sfs) desires not only that people always
have passage to ample and nutritious food, but also that this food be formed with
minimum environmental impact. This research is aimed at developing a mobile
application for marketing organic farm products with the functionality of
automated geo-location services, preferred goods delivery services, easy access
to different organic farm produce. The mobile user platform consists of the
Presentation, Business, Data and Data storage which is a slight variation of the
Model-View-Controller architecture. It also takes into deep awareness the
configuration, security and communications aspect as these are the underlying
factors for the robustness of mobile application. The Presentation Tier consists
of the user interface and the logic used to navigate around the user interface
meaningfully. It modifies and shows information into a human distinct pattern.
The Business Logic tier is essentially efficient for information transfer between
the user interface and the database of the project. The last layer of the three-
tiered architecture is the Data Access tier, which is made up of the Database
servers. The application was implemented in Java, SQLite (local) and PHP for
the backend server and Amazon Web Services for cloud infrastructure. Farmers
were engaged in cursory testing. Users find the application concept very
interesting.
Keywords: Access Geolocation Marketspace Model view Orgafamob

Organic farming Pragmatism Sustainable food
1 Introduction
Agriculture is the main factor for the survival of humans and it also provides food, fuel
and other services in line with ecosystems. It plays an important function in economic
development and it is an essential source of livelihood. Agriculture is also a crucial
origin of environmental downgrading, adding to climate variation, decreasing fresh-
water resources, detracting soil fertility and contaminating the environment over
https://doi.org/10.1007/978-3-030-44999-5_23
An Intelligent Marketspace Mobile Application 277
fertilizer and pesticide [1, 2]. Essentially, food production relies on the lofty natural
resources it is derogating. Sfs therefore not only requires that all people always have
access to sufficient and nutritious food, but food be formed with minimal environ-
mental brunt. Hence, sustainable agricultural development desires that agriculture face
the demands of the present without negotiating the capability of future generations to
tourney their own demands [3]. Achieving these goals by current Agriculture practices
has not been very successful. Today, Agriculture is not only a dominating factor of
environmental degradation, it is a major force compelling the Earth System beyond the
‘safe-operating space’ for humanity [4, 5].
Knowing that we have not achieve Sf s today and given the fact that we will
probably need to double food production by 2050 so that we can feed 9 billion people
with rising demand for meat and dairy products [6], there is a drastic need for changes
in the food system. We need to increase the production of food in the right locations at
fair prices, protecting livelihoods to farmers and reducing the environmental cost of
agriculture. Recently, the market for organic food (ORF) has increased, and call for fair
sustainable farming.
It is worth mentioning that this research is aimed at developing a mobile application
for marketing organic farm products with the functionality of automated geo-location
services, preferred goods delivery services, easy access to different organic farm pro-
duce. Although a considerable amount of study can be found in the literature which
identifies the attitude of dairy farmers towards organic farming [7, 8], economic and
social implications of organic agriculture [9], these did not take mobile and real-time,
geo-location into due consideration. The contributions of this work are:
• Ensuring real time information delivery on changing trends and key discoveries in
the organic farm produce.
• Providing organic farmers cultivating crops with an e-commerce platform for easy
facilitation of their business.
• Enabling practicing organic farmers form a cluster around themselves thereby
empowering them with the benefits that comes with economics of scale.
The paper is organized in the following way. Section 2 comprises of related works
in the area of organic farming and mobile applications that has been developed to
improve the availability of organic products. Section 3 deals with the requirement
analysis and design methodology of the proposed mobile application. In Sect. 4, we
detail the implementation of the mobile application for organic market Space. Finally,
Sect. 5 includes our conclusion.
2 Literature Review and Related Works
In this section, we discuss the economic and social meanings of organic Agriculture,
and the usage of ICT and mobile technology in Agriculture.
278 O. ‘T. Arogundade et al.
2.1 Economic and Social Implications of Organic Agriculture (OA)

The advantage of OA for micro farmers is reliant on organic yields, the cost of organic
production, and the size of the organic price choice [10]. In [11], economic impact of
organic farming in livelihoods of farmers of Nepal was explored. Binta and Barbier in
[2], carried out a comparative study on the economic and environmental performances
of organic and conventional horticultural farming systems in the Niayes region in
Senegal.
Health has been one of the major reasons consumers purchase organic goods
[12, 13] so much as safety, quality and taste [14–17] are very imperative motivations
for purchasing ORF. In marketing and promoting organic ORF, eating pleasure (par-
ticularly tastiness) is now the main argument, followed by health and then environ-
mental benefits [18, 19]. It is surprising to discover that consumers appear to be
relatively incognizant of the constructive impact that OA has on the environment [20].
Results showed that economically, farmers were found satisfied and encouraged to
expand their organic business. Although, there is limited market for ORF in the region
unlike the conventional farming however, investment in agro-ecological research,
organic management can greatly improve it. Especially through the establishment of a
local market for organic crops. Hence, [21] explained that the study put out by the
Maine Organic Farmers and Gardeners Association (MOFGA) indicates that these
farms are contributing to Maine’s economy positively.
2.2 ICT and Mobile Technology in Agriculture

A short introduction of the implications of ICTs in agricultural sector was presented in
[22]. The authors demonstrated the fact that there are large number of ICT-enabled
services which can improve many processes in the agricultural sector. In [23] the
impact of proliferation of ICTs was investigated, due to the growth of mobile tech-
nologies, in order to know if it has actually had any significant impact on Agriculture. It
was confirmed that ICTs play a significant role in enhancing agricultural production.
Study [24] presented a research that assessed the traits, diversity and impacts of ICTs
used in African agriculture. The key challenges hindering more widespread use of the
technologies were also highlighted by the author. The study in [24], vividly reveals that
ICTs are making impact in increasing productivity and marketing of products but there
are still several constraints for adequate utilization by the farmers. Hence, there is
likelihood that combination of mobile technologies with other ICT platforms such as
mass media, will have exponential impact on agriculture. Study in [25] on the influence
of ICT in agriculture, (in developing countries), in respect of opportunities and chal-
lenges, found that one of the major benefits of ICT in agricultural sector is the
improvement of market activities.
Finally, it is merit observing that the motivation of buyers to buy ORF are interest
and sentimental federation of organic goods with realness and reminiscence taste of the
past. However, the loss of adequate provision of ORF [18] and, above all, its higher
price is often a strong obstacle to the purchase of ORF. Also, the inadequacy of
information on the meaning of ORF [26], coupled with diverse of ways to label organic
products has affected the purchasing power of organic products. Despite the fact that
organic farming looks quite comforting for consumers, the response of farmers to the
concept is not at an alarming rate. Only a minority of farmers, especially in dairy areas,
are in favour of organic farming.
3 Methodology
The Orgfarmob, is underpinned by pragmatism philosophy as it seeks to provide

practical solutions and outcomes [27]. It follows the build and process methods from a
design research point of view [28, 29], rather than design science research methodology
strategy. Given the emphasis on practical solutions, the logical design, presented as the
design process, is the primary focus of this paper: the development of orgfarmob
marketspace. It starts off tilting towards inductive approach to discern better the nature
of the problem within the context (organic farmers in Nigeria) and guide towards
gathering requirement [27].
Before proceeding with ‘requirement analysis’, ‘architectural framework’ and
‘design and use-case design considerations’, we quickly outline the orgfarmob mar-
ketspace build and process approach. In line with our pragmatic approach, we built on
aspects of the framework for computing research methods [29]. We only utilized
aspects that we required and applicable to our study. The following were considered:
3.1 Framework for Computing Research
• What do we want to achieve?

a. (Find out what is happening) – the authors wished to achieve a better under-
standing of the use and application of ICT mobile development in organic
farming (in Nigeria), starting with the western part of Nigeria.
b. (Develop something that works) – the authors will embark on developing a
mobile tool, orgfarmob’ to understudy and assist organic farmers.
• Where did the data come from?
c. (Read) – the authors will literatures on organic farming and ICT in agriculture.
d. (Observe, Ask) – the authors will engage with and get opinions from organic
farming practitioners in western part of Nigeria.
e. (Model) – the authors will conceptualise and utilize UML to model practical
design model covering user activity, admin activity, entity- relationship and
sequence.
f. (Where to collect) – the authors will collect and collate relevant requirement and
design data from the field and conceptual analysis.
• What did they do with the data?

g. (Identify themes, Identify trends) – the authors will use the collated information
to better understand organic farming and use of ICT in organic farming.
h. (Create frameworks/taxonomy/prototype) – the authors will in the first iteration
design an architectural framework for orgfarmob. Thereafter, in iterative man-
ner, the author will prototype the orgfarmob application.
• Had they achieved their goal?
i. (Evaluate results, Draw conclusions) – the authors, having gain understanding
and developed working prototype, will now be better placed to analyse and
iteratively finetune the design and build (software development).
j. (identify limitation) – the authors will draw from the design and development
process what are the bounds of limits and/or how prior studies can be extended
or critique.
Flowing from the framework for computing research approach, this study was
carried out through source of opinions from organic agriculture practitioners, some web
materials, survey of organic farmers in Nigeria and the world at large through the
internet and personal interview of organic farming practitioner.
The Unified Modelling Language (UML), Meta model elements are arranged
diagrammatically. Several diagrams are used for distinct purpose based on the angle
from which you are viewing the system. The various views are called “architectural
views”. These architectural views enable the organization of knowledge, and diagrams
allow the communication of knowledge. Then knowledge itself is contained in the
model or set of models that focuses on the problem and solution. Figure 1 depicts the
architectural view of the proposed study. The given implementation model is majorly
categorized into two broad categories which are the mobile user platform and the
remote infrastructure.
3.2 Architectural Framework

The mobile user platform consists of the Presentation, Business, Data and Data storage
which is a slight variation of the Model-View-Controller architecture. It also takes into
deep awareness the configuration, security and communications aspect as this are the
underlying factors for the robustness of the mobile application. The Presentation Tier
consists of the user interface and the logic used to navigate around the user interface
meaningfully. It converts and displays information into a human legible form. The
Business Logic tier is mainly responsible for information exchange between the user
interface and the database of the project.
The last layer of the three-tiered architecture is the Data Access tier, which consists
of the Database servers. The updates of the information and server communication exist
here.
3.3 Design and Use-Case Design Considerations

In line with the pragmatic approach of this paper, the logical design is the critical and
main design process [30]. The software coding thereafter results in the developed
prototype which is the first instance of validation of the design process.
Mobile Device
Presentation
User Interface
Presentation Logic
User
Communication
Configuration
Common
Security
Business
Application Facade
Workflow Component Entities
Data
Data Access Data Utilities Service Tool
Local Data
Remote Infra-
Data Access Services Sync structure
Fig. 1. Standard system architecture for mobile application development
Figure 2 depicts the User Activity Diagram and the Admin Activity Diagram of the
proposed study is shown in Fig. 3.
Activity diagram, an important diagram in UML, was used to conceptualised and
express driving aspects of the system. It is essentially a flowchart that depict the flow
from one activity to another.
Fig. 2. User Activity Diagram
Fig. 3. Admin Activity Diagram

3.4 Entity Relationship and Sequence Diagram

The Entity-Relationship Diagram (ERD) shows the relationships of entity sets stored in
a database as depicted in Fig. 4.
Fig. 4. Entity-Relationship Diagram
Sequence diagrams, also called event diagrams, with only one instance shown in
Fig. 5, describe interactions among classes in terms of an exchange of messages over
time. Due to space constraint, we couldn’t show the sequence diagrams for each of the
interactions and communications between the entities involved in the system.
4 Results and Discussion
In this section, we only discuss some of the modules incorporated into the mobile
application to achieve the objectives of this research work. The result thus far, which
flows from the framework for computing research and use-case approaches is a web
and mobile application management system for organic farming.
Fig. 5. Admin add category sequence diagram
Fig. 6. Admin user dashboard page
Fig. 7. Listing order page
Figure 6 outline the Admin-User dashboard page: part of the backend module to
view every activity from the aspect of ordered products to the order management, user
management, and mobile application management and so on. The listing order page,
Fig. 7, is the module used to view new ordered products, processed products and
processing products. Also, on this page, administrators can manage order status.
Sample cart and shopping market place are shown in Fig. 8. Readers should note that
due to paper length constraint, several application interfaces are not included.
Fig. 8. Sample Cart and shopping market place pages
5 Conclusion
This study was carried out through source of opinions from professionals in organic
agriculture, literature review, some web materials, survey of organic farmers (primarily
in Nigeria), and personal interview of organic farming practitioners.
Orgfarmob marketspace is a mobile application that helps in the process of Buying
and Selling of Organic products, gives them access to e-commerce platform and gives
them information about the registered cooperative bodies based on geolocation and the
aspect of organic farm produce. The system was model with UML.
The main contribution to knowledge of this project is the framework for computer
research approach to the conceptualisation and design of real-time, geo-location
information delivery system that enables practicing organic farmers to empower
themselves and leverage on economics of scale. It provides organic farmers cultivating
crops with an e-commerce platform for easy facilitation of their business. It enables
practicing organic farmers form a cluster around themselves thereby empowering
themselves with the benefits that comes with economics of scale.
5.1 Future Direction

In future iteration, usability, acceptance and observation studies are planned. This will
be followed by longitudinal studies over a three-to-five years period. Economic con-
sideration might be considered: contingent valuation, hedonic pricing. The authors
hope to develop a reference ontology, based on the architectural framework, to assist
body of knowledge in the use of mobile application in organic farming.
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How Corporates in South Africa Are Using
Serious Games in Business
Shiraz Amod and Sumarie Roodt(&)
University of Cape Town, Rondebosch, Cape Town 7700, South Africa

sumarie.roodt@uct.ac.za
Abstract. It has been shown that serious games are useful in the military,
healthcare, and education sectors. Meanwhile corporate interest in serious
gaming in business has rapidly grown internationally. However the level of
awareness and adoption of serious gaming among South African corporates in
business is still unclear.
This interpretive study explores South African corporate awareness of serious
gaming in business and the barriers to its adoption. Semi-structured interviews
were used to collect qualitative data from managers in Johannesburg Stock
Exchange-listed companies. Eight participants were interviewed across four
different industries. Data analysis was guided by the general inductive approach.
The absence of serious gaming adopters among the participants, and the
general lack of awareness of serious gaming in business were identified as the
most salient features. The analysis suggests that corporates currently use tech-
nologies related to serious games (e-learning, collaborative tools, and simulation
tools), and that there is a demand for the greater promotion and use of serious
gaming.
While the findings provide new insights into the level of serious gaming
awareness, caution should be exercised when attempting to generalize these
findings due to the small sample and the scarcity of prior research.
Keywords: Serious games Serious gaming Corporate Barriers to

adoption Awareness Digital Game-Based Learning Commercial off the
shelf Serious games in business
1 Introduction
The contribution offers a novel understanding on the adoption and potential use of
serious games in corporate business environments. Serious games use the artistic
medium of games to deliver a message, teach a lesson, or provide an experience.
A serious game is an “interactive computer application, with or without significant
hardware component that has a challenging goal, is fun to play and engaging, incor-
porates some scoring mechanism, and supplies the user with skills, knowledge or
attitudes useful in reality” (Bergeron 2006). Studies abound that show the application
of serious games in the entertainment, military, healthcare, and education sectors
(Levin 2010; Smith 2007; Zyda 2005). However, there are limited studies on the
application within the corporate sector. The field of serious games is relatively new and

https://doi.org/10.1007/978-3-030-44999-5_24
How Corporates in South Africa Are Using Serious Games in Business 289
therefore, limited research has been conducted in this area (Azadegan et al. 2012; Levin
2010). Few studies exist about the application of serious games in the South African
business context. Therefore, the study serves to raise corporate awareness of serious
games and the potential applications in the context of South Africa business.
2 Literature Review
2.1 Definitions
Serious games involve a broader spectrum of uses than Digital Game-Based Learning
(Breuer and Bente 2010; Connolly et al. 2012; Michael and Chen 2006). DGBL is a
term used in the domain of education as it involves the use of digital games primarily
for learning purposes (Breuer and Bente 2010; Susi et al. 2007). Serious gaming relates
to the concepts of virtual worlds and DGBL (Connolly et al. 2012; Susi et al. 2007).
DGBL found in education involves applying digital games primarily for learning
purposes (Breuer and Bente 2010; Susi et al. 2007). Virtual worlds are “computer-
simulated, usually 3-D, representations that allow avatars to interconnect and com-
municate in relatively lifelike environments” (Ives and Junglas 2008). These envi-
ronments persist; continue to exist and undergo changes even when players are not
present (Cox 2000; Ives and Junglas 2008). Serious games have their own virtual world
in which players play the game (Breuer and Bente 2010; Levin 2010). Serious games
can be divided into two broad categories: commercial off the shelf (COTS) games, and
games developed specifically for educational or corporate purposes (Azadegan and
Riedel 2012; Graafland et al. 2012). COTS involves re-purposing an existing game to
harness the power of serious games without the risk and expense of developing a
bespoke serious game that may not be sufficiently engaging (Connolly et al. 2012).
Both categories of serious games are included in this study.
2.2 Application of Serious Games

Three broad application areas of serious games in business exist: (1) conducting
training in a simulated environment; (2) as a platform for collaboration; and (3) as a
tool for demonstrations and education (Fernandes et al. 2012; Herrlich 2007; Ives and
Junglas 2008; Levin 2010; Michael and Chen 2006).
Training conducted with serious games, especially in simulated environments is
prevalent (Michael and Chen 2006; Susi et al. 2007). Games offer a simulated envi-
ronment in which training exercises can be performed, much like real-life training
simulations (Graafland et al. 2012; Susi et al. 2007). There are benefits of using serious
games over traditional forms of training. Serious games present a safe environment for
performing training (Graafland et al. 2012; Oliveira et al. 2012). The simulation of a
real life activity allows skills to be fine-tuned through practice in a risk-free environ-
ment without consequence (Graafland et al. 2012; Oliveira et al. 2012). Serious games
can also be deployed as a collaborative platform among multiple people (Bozanta et al.
2012; Fernandes et al. 2012; Oliveira et al. 2012). Using the internet as a communi-
cation medium enables serious games to provide Multi-User Virtual Environments
290 S. Amod and S. Roodt
(MUVEs) in the form of virtual worlds (Bozanta et al. 2012). The MUVEs provide a
virtual environment that players can communicate and collaborate to jointly achieve
their goals (Fernandes et al. 2012). Collaboration enables people in different locations
to collaborate effectively without needing to travel or for expensive teleconferencing
technologies to be purchased (Bozanta et al. 2012; Fernandes et al. 2012; Levin 2010).
Serious games are also employed for demonstrations and education (Herrlich 2007;
Levin 2010). Serious games provide unique immersive environments that teach com-
plex material (Susi et al. 2007). Serious games aid marketing and performing
demonstrations of products or services (Herrlich 2007; Levin 2010). COTS games have
been suitable for this purpose because of their low cost, fast implementation, and high
level of engagement (“flow”) (Herrlich 2007; Rankin and Shute 2010).
2.3 Barriers to Adoption of Serious Games

The application of serious games is new, especially in a business context (Azadegan
et al. 2012). Companies which are unaware of serious games will not adopt them, and
those which are aware of the concept, but not of the benefits are equally unlikely to
adopt serious games (Azadegan et al. 2012). Perceptions of employees and managers
towards games heavily influence the likelihood of adoption (Azadegan et al. 2012; Ives
and Junglas 2008). Games perceived as easy and not contributing to training or pro-
moting the company’s purpose, will not be adopted (Azadegan et al. 2012; Ives and
Junglas 2008). Based on the work by Azadegan et al. (2012) in the area of serious game
adoption in businesses, four categories of barriers are identified: barriers with famil-
iarity about serious games (familiarity barriers), financial barriers, barriers in terms of
the practicality of serious games (practicality barriers), and the level of Information
Technology facilities and support (IT facilities and support barriers) (Azadegan et al.
2012).
3 Materials and Methods
The primary research question asks, “What is the state of use of serious games by South
African corporations in a business context?” Secondary questions asked include: (1)
What is the level of awareness of serious games within South African corporates?
(2) What uses for serious games are South African corporates embracing? (3) What
barriers are preventing the adoption of serious games by South African corporates?
In-depth semi-structured interviews were conducted with corporate managers, who
were prepared with a briefing on serious games before answering related questions on
awareness and adoption. The work follows the study on the adoption of serious games
in corporate training in the United Kingdom (Azadegan et al. 2012). The sample
consists of eight South African corporations across a range of four industries that
includes; Financial Services, Retail, Insurance, and Construction. A qualitative analysis
of the interview transcripts was conducted via a thematic analysis. Thematic analysis
was performed using open coding and then axial coding to assess the most common
uses and barriers to adoption of serious games in South African corporations. To avoid
biased results comparative analysis was only performed on the questions that were
consistently posed to all subjects.
4 Results and Data Analysis
Interviews were conducted with eight participants from different South African cor-
porations for this study. For a description of the sample data, the characteristics of the
participants are summarized (See Table 1).
Table 1. Overview of participants

Name Organizational Role Industry
Participant A Training Manager Financial Services
Participant B Executive Manager: Learning and Development Retail
Participant C Skills Development Manager Construction
Participant D Learning and Growth Partner Retail
Participant E Human Resources Programs Manager Insurance
Participant F Training and Methodology Manager Financial Services
Participant G Executive Head of Training Insurance
Participant H General Manager Construction
Data on awareness of serious gaming for each participant shows that there is little
awareness of serious gaming among the South African corporate (See Table 2). Since
none of the participants had used serious gaming only one of the eight respondents
(Participant D) demonstrated a proper understanding of the concept of serious gaming,
while two others (Participant A and Participant G) indicated partial awareness of the
concept.
Table 2. Awareness of serious gaming concepts

Area of awareness Participant %
A B C D E F G H
Concept awareness No No No Yes No No No No 13%
Partial concept awareness Yes No No No No No Yes No 25%
Benefits awareness Yes No No Yes No No Yes No 38%
Partial benefits awareness No No Yes No No No No No 13%
Limitations awareness Yes Yes No Yes No Yes Yes No 63%
Participant D became aware of serious gaming (more specifically DGBL) at a

learning conference in 2010 where “there was an international speaker and he was
very, very keen to bring in some kind of digital gaming for learning into Africa”. The
other participants who were partially aware of serious gaming understood it in relation
to gamification (Participant G), or generally as “a way to aid learning by using

technology so that learning is more practical, hands on, [and] simulated” (Participant
A). Although there is very little awareness of the concept of serious gaming, there is
slightly more aware of the potential benefits that gaming can provide in a corporate
context. Four of the eight participants acknowledged the benefits of serious gaming:
“…you’re able to engage more as a learner…I think one of the big advantages is you can
learn alone, you don’t always have to rely on group learning. One of the disadvantages of
group learning is that you sometimes have to go at the pace of the average learner, so your
slower learners need more attention and your quicker learners actually get quite impatient. So
when you’re able to engage with technology, you can cater more to individuals.”
- Participant A
“It could even be used in our company which is a construction company and it could be used in
simulation for our [crane] operators which could be very beneficial to the company.”
- Participant C
“If you continuously use gaming I think you are able to learn concepts faster without even
realising that you are, you know, by the very repetitive nature of gaming, because if you like
something you’ll do it over and over again, you would probably be learning much more.”
- Participant D
“…introducing a gaming element provides an experience that people almost learn while they
play kind of thing. So I think if you’re looking to drive up knowledge and skill levels, using
gaming techniques can help do that in the business context other than, sort of, traditional
training methods.”
- Participant G
Participants were more aware of the limitations than the benefits or the concept of
serious games. Five of the eight participants (63%) identified limitations of gaming in
the corporate environment. Although more participants were more aware of the limi-
tations than benefits of serious games, their descriptions of the limitations were less
detailed and more abstract than descriptions of the benefits. Limitations include; the
impracticality of using games for certain business activities: “You’re not going to be
able to convert every kind of organisational functioning into some sort of gaming
concept…without losing something in the process” (Participant G), and target audi-
ences: “…it probably depends on the target audience… I think it would be very suited
for the new generation of trainees or staff” (Participant F). Participant B highlighted
the need for a broader strategic programme to ensure serious games are used appro-
priately: “They should be effective within a proper context of a strategy to utilise
learning technology to support development of [the] businesses”.
Positive relationship exists between the participants’ level of awareness and their
attitude towards serious gaming. As participants’ awareness of serious gaming (the
concept, benefits and limitations) improve, attitude towards serious gaming became
move toward positive. An exception to this rule is Participant G who demonstrated
higher than average awareness of serious gaming and was not particularly positive
about the prospects of serious gaming. Upon closer review, it became apparent that the
lack of positivity shown by Participant G is not directed at serious gaming in general,
but specifically at using serious gaming within her particular company:
“I think there is value [in serious games]…you’ve got to be careful that you don’t try and take
the next biggest thing and make it the only thing, especially depending on the kind of business
we have… It’s not an easy fit for the kind of business we are. We’re an insurance business…a
more traditional kind of conservative business. The profile of employee and customer we have
are probably not your target market for that typically.”
- Participant G
A considerably low level of serious gaming awareness (13%) is a significant result.
The observation is even lower than the result of Azadegan et al. (2012) of awareness in
the UK (29%). The low level of awareness is likely to affect the results of the sub-
sequent section on “Barriers to Adoption of Serious Gaming” because little is known
about the concept of serious gaming itself. Participants correctly identified the potential
of serious gaming for education and simulations; however, none identified the potential
for collaboration or demonstrations. This could indicate that the participants understand
serious gaming in a narrow scope, relating only to training.
Analysis performed is on the barriers to adoption of serious gaming using the
framework defined by Azadegan et al. (2012) and the results summarized in Table 3.
Table 3. Barriers to adoption

Type of barrier Participant %
A B C D E F G H
Familiarity barriers Yes Yes Yes Yes Yes Yes Yes Yes 100%
Financial barriers No No No Yes No No No No 13%
Practicality barriers Yes No No No No Yes Yes No 38%
IT facilities & support barriers Yes No No No No No No No 13%
All participants reported that their lack of familiarity with serious gaming was a
barrier to its adoption. The prevalence of familiarity barriers is significant, but expected,
considering the preceding findings on the low level of serious gaming awareness.
Practicality barriers are the second most common reason for not adopting serious
gaming, as indicated by three participants (38%). The barriers that participants described
least were financial barriers (13%) and the lack of IT facilities and support (13%).
Lack of familiarity is more than telling as a barrier to serious gaming adoption. To
analyse the data further, barriers because of familiarity is distinguishable under five
related themes. The themes are game perceptions, the lack of promotion of serious
gaming, the need for proven cases, unfamiliarity with the technology, and unaware of
the concept of serious gaming. Refer to Table 4 distribution of these themes across the
various participants.
Half the number of participants, i.e., 50% were unaware of the concept of serious
games. These participants were unable to identify other barriers to adopting serious
gaming because they were uninformed of this concept, its requirements, and limita-
tions: “I don’t know much about the field…I need to get more information before I can
comment” (Participant C). The other half of the participants had some amount of
awareness of the concept of serious games. This informed 50% of the sample; all
mentioned the lack of promotion of serious gaming (75%) and/or called for the need for
publicizing cases of serious gaming implementations (50%).
Table 4. Breakdown of familiarity barriers

Theme Participant %
A B C D E F G H
Unaware of concept No Yes Yes No Yes No No Yes 50%
Lack of promotion Yes No Yes Yes No No No No 38%
Need proven cases No No No Yes No No Yes No 26%
Unfamiliar with techNology Yes No No No No Yes Yes No 38%
Negative perception of games Yes No No No No No No No 13%
Calls for promotion of serious games in corporate and demand for public cases that
had a serious games implementation. Participant G, who was not positive towards
serious gaming, hinted at the power of successful case studies:
“…if we could get some practical, tangible case studies and examples of businesses like ours
who are utilising it in certain spheres, [we] might find that there’s more opportunity than we
think. I might change my mind”.
- Participant G
Three participants mentioned issues relating to a lack of familiarity with the
technology involving serious gaming. However, the accuracy of these issues is ques-
tionable as the statements were speculative and vague: “…there’s also stuff around
tech-savviness, you know…” (Participant G), “I’ll leave that up to our IT departments
who actually do that…” (Participant F), Participant A was the only participant to
suggest that negative perceptions of games, that games are easy and do not add value,
among the decision makers would affect the company’s adoption of serious gaming.
Only one participant (13%) described financial barriers for adopting serious
gaming:
“…to set up something like that is always costly to start with and then you realise the benefits of
the learning but they don’t give it quite the chance because most of us operate on the low cost
operating model, so initial setup is always difficult.”
- Participant D
The use of serious gaming was considered impractical firstly because of the nature
of the business itself: “Our environment…doesn’t lend itself well to gaming” (Par-
ticipant A); and “It’s not an easy fit for the kind of business we are” (Participant G).
Secondly, serious gaming is impractical for the type of people the company employs:
“The profile of employee and customer we have are probably not your target market
for that typically” (Participant G). Thirdly, the absence of the skills needed to
implement serious gaming, is why it may consider it as impractical. As explained here
“I think it can be done I just don’t know how it can be done” (Participant F); and “I
think it’s a very specialist set of expertise that know how to really utilize the serious
gaming or the gamification concepts in the right way. We probably don’t have that
here” (Participant G).
Participant A was the only one (13%) to mention the lack of IT facilities and
support as a barrier to adoption of serious gaming. This observation conflicts with the
finding of Azadegan et al. (2012) who identified that 45% of companies in the United
Kingdom experienced barriers related to their IT facilities and support. Given the low
level of serious gaming awareness, this inconsistency is likely to be the result of

insufficient awareness regarding the IT requirements of serious gaming (as with the
case of financial barriers).
Data obtained suggests that there is interest in serious gaming, but possibly not
enough interest for companies to embark on serious games. The call for greater pro-
motion of serious gaming and successful case studies reflects an appeal for either a
driver of serious gaming – another corporate or a vendor of serious games.
Only one participant (13%) mentioned that the perception of games might have a
negative impact on their company. This observation is lower than Azadegan (18%),
which is a positive indication for the future of serious gaming in South Africa.
Practicality barriers identified relate to the lack of skills for serious gaming, or the
limitations of serious games. Scarcity of serious gaming skills is due to widespread lack
of awareness and the adoption. The more companies adopt serious gaming, the more
people would acquire the skills necessary to teach and learn the use of serious games.
Considering the low level of serious gaming awareness, companies may already pos-
sess the skills for using serious gaming that is yet unrecognized by them.
The inability of most participants to identify barriers in terms of finance and IT
facilities and support is a further indication of low awareness of serious gaming. South
Africa presents numerous relevant IT challenges, such as the high cost of internet
bandwidth (Gillwald 2009). Azadegan et al. (2012) found that 45% of companies
identified IT facilities and support barriers, compared with 13% in this study. This to
mean that participants’ inability to identify these barriers indicates a low level of
readiness to adopt serious gaming in South Africa.
Analysis carried out on the use of technologies related to serious gaming for each
participant. This examination assists in knowing the extent of each participant’s
technology profile and inclination to use technologies like serious gaming. The tech-
nologies of interest are electronic learning, collaborative tools, and simulation tools.
For the result of that summarize the analysis, refer to Table 5.
Table 5. The use of related technologies

Technology Participant %
A B C D E F G H
E-Learning Yes Yes No Yes Yes Yes No No 63%
Collaborative tools Yes Yes Yes Yes Yes Yes Yes No 88%
Digital simulations Yes Yes Yes Yes Yes Yes Yes No 88%
Physical simulations No No No No Yes Yes Yes No 38%
Seven participants (88%) reported that they currently use two or more of the related
technologies in their corporations. Five participants (63%) currently use all three
technologies (E-learning, collaborative tools and digital simulations). Participant H is
the only participant that does not use any related technologies.
Digital simulations were used by 88% of participants, and 38% also used physical
simulations. The purpose of the simulations was to teach system usage or to simulate a
business process as part of training. The extensive use of related technologies by the
participants demonstrates their awareness of the technologies and they had the capa-
bilities for implementing them. This implies the participants have the willingness,
budget, and skills to implement technologies like serious gaming. The participants with
the least use of related technologies are Participant C and Participant H, both of which
are in the construction industry. This result may be an indication that the construction
industry in general is averse to the related technologies, or that the technologies are
impractical in the construction industry. The former is more likely to be true consid-
ering the potential of serious gaming for improving construction site safety (Connolly
et al. 2012) and visualizing landscapes and architecture (Herrlich 2007).
On the potential for Serious Gaming in South Africa and based on the feedback
from participants, there appear to be various opportunities for the use of serious gaming
in South Africa. A benefit of serious gaming that is relevant to the participants is its
ability to assemble groups of geographically dispersed people. These virtual gatherings
are beneficial for corporations because they enable collaboration and training on a large
scale without the associated travel and lodging expenses. Data suggests that serious
gaming may be useful for dealing with geographically dispersed employees. This
observation supports the finding of Ives and Junglas (2008) who identified the benefits
by using serious games to connect dispersed people in a virtual world. The data
indicates a demand for technology that will improve access to knowledge and reduce
operating costs. Connolly et al. (2012) found that serious gaming improves knowledge
acquisition, which suggests that the participants will be more inclined to adopt serious
gaming if it is not more expensive than their current training methods.
5 Conclusion
The researchers show that none of the participating corporations had used serious
gaming and only one participant (13%) was aware of the concept. Familiarity barriers
were the most common reason for not adopting serious gaming (100%), highlighting
the scarcity of serious gaming knowledge. A key finding was the demand for greater
promotion of serious gaming and publicised cases of serious gaming implementations.
The majority of participating corporations were interested in serious gaming, although
previously unaware of it, and sought more information on the topic. This could rep-
resent an opportunity for a serious gaming vendor to enter the South African market
and drive the adoption of serious gaming. Another key finding to emerge from the data
was the widespread use of e-learning, collaborative tools, and simulation tools. By
providing an outline of the current state of South African corporations, this study forms
the foundation for future research into the adoption and usage of serious games. This
research may be of particular interest to South African corporate considering the use of
serious gaming, as well as serious games vendors.
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Business Processes
A Theoretical Framework for IT-Enabled
and IT-Enforced Corporate Governance
Compliance Utilizing BPMSs
Hendrik Willem Pretorius and Alta van der Merwe(&)
University of Pretoria, Pretoria, South Africa

{Henk.Pretorius,alta.vdm}@up.ac.za
Abstract. Corporate governance has been severely condemned, as a result of

company failures around the world. Regulatory and legislative measure have
been introduced in response to these failures. However, arguments by sceptics
advocate that it is time consuming and costly to comply these legislative
measures that cause overregulation. These measures further do not always add
value to business initiatives and adherence to these measures cannot be enforced
or guaranteed. This paper argues for the use of business process management
systems (BPMSs) to improve corporate governance. The “dynamics capabilities
theory model of IT-enabled organisational performance” [1] is applied in this
study as theoretical underpinning. A theoretical framework is proposed for IT-
enabled and IT-enforced corporate governance compliance using a BPMS, after
collecting data from seven BPMS user companies and a BPMS vendor company
in South Africa.
Keywords: Fraud Electronic compliance Corporate governance Business

process management systems Automation Corruption
1 Introduction
Corporate governance is defined as the method by which corporations are controlled

and directed [2]. Corporate governance in the United States (US), has been condemned
because of corporation failures like Tyco, WorldCom, Enron, Global Crossing and
Adelphia [3]. Furthermore, industries in the US lose around USD400 billion a year as a
result of criminal and unethical behavior [4]. In the US, corporate irresponsibility and
managerial negligence carries the blame after the arrest and resignation of top-level
corporate US managers. This eroded trust in these corporations, domestically and
internationally [5].
Parmalat was one of the biggest corporate failures in Europe [6]. In 2003, Parmalat
collapsed showing a hole of 14 billion Euro in its accounts [8]. The Parmalat CEO,
Calisto Tanzani, was arrested only hours after the bankruptcy of the corporation.
Tanzani was imprisoned for ten years on charges of money laundering and financial
fraud. The Parmalat group collapsed and many investors lost their investment money
[6]. In the last 10 years, fraud and corruption has doubled in the United Kingdom,
while it remained stabled or worsened in other European countries [29].

https://doi.org/10.1007/978-3-030-44999-5_25
302 H. W. Pretorius and A. van der Merwe
South Africa, like the US and Europe, experience similar corporate governance
problems. In South Africa, particularly in the State Information Technology Agency
(SITA), IT vendors are frequently guilty of bribing government employees during
tender processes [7]. Around R10-billion was spent on ICT in the 10 years of existence
of SITA from 2002 to 2012 [8]. Vendors who want a share in the stake are very
attracted to this large amounts of money. The scenario led to numerous forms of fraud
and corruption within SITA, at the expense of improving service delivery to citizens of
South African [8]. Today, corruption and fraud cases are killing the dreams for a better
South Africa for many citizens of South Africa [30, 31]. The various forms of fraud and
corruption at SITA include but are not limited to extortion, bribery, nepotism,
embezzlement, favouritism, abuse of power, collusion and over-or under-invoicing [8].
In reply to the many failures of corporations around the world, regulatory and
legislative changes were developed in numerous countries [3]. The Sarbanes-Oxley Act
of 2002 (in the US) was developed to return confidence to capital markets in the US
and internationally [3]. Sceptics argue that compliance efforts are costly, timely and
cause overregulation [9, 10]. These efforts in many cases lack business value.
Adherence to these measures cannot be enforced, are ineffective, unnecessary and at
best are seen as an overreaction to the Enron failure [11].
In this article, the authors develop a theoretical framework that utilize electronic,
cost-effective means in favor of good corporate governance and business value,
asserting that not all corporate governance problems can be resolved with IT or IT
automation. Technology increases transparency, information delivery, accountability,
promotes efficiency and offers various levels of security [32]. A theoretical framework
for effective and improved corporate governance is developed by making use of a
BPMS approach that introduces automation, enforced compliance and electronic
monitoring to address the issues raised. However, it is unknown what the requirements
and components are for a framework like this, therefore the following research
question:
What are the requirements and components of a theoretical framework for IT-
enabled and IT-enforced corporate governance compliance when using a BPMS
approach?
2 Business Process Management Systems and Its

Architectural Components
A BPMS is defined as a general software information system which is used for the
management and automation of organisational processes [12]. A process is defined as a
collection of activities that takes various forms of input and generates value for a
customer [13]. A BPMS allows for rapid changes in business processes in an organ-
isation in a real-time business environment [14].
A BPMS consists of the BPM Engine, the Database or Repository, Process
modeling, Software integration engine, Business rules and Frameworks and Templates,
as illustrated in Fig. 1:
A Theoretical Framework for IT-Enabled and IT-Enforced Corporate Governance 303
Fig. 1. A BPMS and its architectural components [15, 16]
3 Theoretical Underpinning
A summary of the “dynamics capabilities theory of IT-enabled organisational perfor-

mance” by Schwarz et al. [1] is offered in this section. This theory functions as the
theoretical underpinning for the research study.
A business process is: “the specific ordering of work activities across time and
space (or place), with a beginning and end, and clearly identified inputs and output”
[17]. In the context of this study which is focused IT-enforced and IT-enabled business
processes through automation, IT-enforced and IT-enabled business processes can be
defined as the extent to which IT enforces and enables “the specific ordering of work
activities across time and space (or place), with a beginning, an end and clearly
identified inputs and outputs” (adapted from Davenport [17]).
Schwarz et al. [1] advocate that IT resources (including business applications) are
responsible for the creation of automated or IT-enabled business processes, as depicted
in Fig. 2. Automated processes is the degree to which IT allows for the specific
ordering of business activities across space and time [1]. These activities have a
beginning and an end with recognized inputs and outputs [1].
Fig. 2. A dynamics capabilities theory model: information technology-enabled organisational

performance [1]
According to Schwarz et al. [1] automated business processes self, do not lead to
gains in organisational performance, but it is the gains in operational efficiency through
automated business processes that cause operational performance [1]. This is called the
operational efficiency of business processes.
The theory model of Schwarz et al. [1] is appropriate to guide and inform this
research project, because the theory model later introduces a corporate governance
dimension and perspective to the existing model, when demonstrating how business
performance and corporate governance are bettered through automated IT-enforced and
IT-enabled business processes using a BPMS (an electronic IT business application) in
the organisation.
To conduct the research, which was to investigate how to utilize a BPMSs and its
components for improved corporate governance, the researchers used qualitative
methods and followed an interpretive research paradigm approach. Case studies of
seven South African companies (of varying industry sectors and sizes) that uses BPMS
software and one South African BPMS software vendor company were involved. Case
study research allows for a wider understanding of the research phenomenon through in-
depth analysis and review [18, 19]. Case study research informs the interpretive research
stance well and have the potential to improve on practice-based problems [18, 19].
Data was collected thought surveys and interviews at the BPMS vendor company.
This involved 12 developers (24%), 8 trainers (16%), 14 business analysts (29%), 12
managers (24%) and 3 other positions (7%). Data at the BPMS user companies, was
also collected through surveys and interviews. This involved 17 business analysts
(68%), 2 general managers (8%) and 6 IT managers (24%). In all of the case studies,
the participants represent different genders, social backgrounds and language groups.
The data was systematically coded into categories and themes as it emerged from the
various case studies (thematic analysis), using the constant comparative method [20].
Triangulation between findings of the seven BPMS user case study companies and
the BPMS vendor case study company was applied to increase the validity and cred-
ibility of the research results, also providing a richer description of the research phe-
nomenon and eliminating research bias [21]. Furthermore, in this study, triangulation
assisted to present a more plausible and richer account of a research phenomenon [21].
Finally, the theory of Schwarz et al. [1], namely “dynamics capabilities theory
model of IT-enabled organisational performance”, was used to synthesize the research
results and to provide the base for developing a theoretical framework for IT-enforced
and IT-enabled business processes for the improvement of business performance and
corporate governance.
5 A Framework for IT-Enabled and IT-Enforced

Compliance
This section describes a theoretical framework for IT-enabled and IT-enforced cor-
porate governance compliance following a BPMS approach, as depicted in Fig. 3. The
theoretical framework was developed from the research findings obtained from seven
companies that uses BPMS software and a BPMS vendor company, while the theory of
Schwarz et al. [1] was used as underlying theory to synthesize the different stages of the
theoretical framework.
Fig. 3. A theoretical framework for IT-enabled and IT-enforced compliance following a BPMS
approach
IT resources (see 1 in Fig. 3) consists out of technological artefacts and human

agents that develop, configure, design and adapt the technological artefact for a specific
purpose in the organisation. In this case, the artefact is a BPMS that is used in the
automation of organisational processes. The result is IT-enforced and IT-enabled
business processes managed by a BPMS.
IT-enforced and IT-enabled business processes is then used by users (see 2 in
Fig. 3), which results in improved process governance and performance (see 3 in
Fig. 3). Technological resource support is an essential condition for improved and
automated process governance and performance. The efficient enforcement and
ordering of work activities cannot be accomplished without these resources.
The control and efficiency gains of automated processes lead to improved gover-
nance, compliance, control and operational performance (see 4 in Fig. 3), particularly if
aligned strategically to the objectives of the business [1]. These aspects improves
organisational competitiveness.
To conclude, to adapt to the changing and flexible environments that businesses
face, IT-resources need to adapt tactically to cater for the environmental changes,
therefore the feedback loops in the theoretical framework, as indicated in Fig. 3.
Furthermore, automated processes on a tactical and strategic level, must be adaptable to
handle the dynamic, changing and competitive environments that organisations face for
improvements in business compliance, control and performance [1]. The components
of the theoretical framework (Fig. 3) are now explained.
5.1 Context – Interplay of Situated Forces

There are continuous contextual forces, called situated forces that impact the design
and usage of an IT artefact. Therefore, when such an artefact is designed and used for
better corporate governance, the contextual forces will also impact the artefact when it
is designed and used for the purpose to improve corporate governance.
Various frameworks and checklist have been developed as a way of categorizing
possible contextual forces that may impact an organisation. For example, A PEST
analysis classifies situated forces as political, economic, social and technological. Two
extra forces may be added, namely environmental and legal, to make the analysis a
PESTEL analysis, as showed in Fig. 4. The impact of each force on the organization
and their interplay with each other are studied and examined during a PESTEL anal-
ysis. The forces influence organizational governance. Situated forces outside and inside
the organization must be understood better to manage them better with an IT artefact,
such as a BPMS, in support of corporate governance [23].
Fig. 4. Context – interplay of situated forces
Furthermore, an IT artefact, such as a BPMS, is embedded in various intersecting

social systems [24]. BPMS use within an organisation cause behavioural changes in
organisations and therefore, BPMS use may also cause corporate governance sup-
portive or anti-supportive behavioural changes in the intersecting and overlapping
social systems of an organization. For example, investors outside an organization may
have better trust in an organization, if they know there are good corporate governance
supportive measures and practices in place.
5.2 Phase 1: IT Resources

As stated before, a generic software system, such as a BPMS can be used to manage,
configure design and execute organizational processes. (cf. Sect. 4). Orlikowski and
Iacono [22] state, when using an IT artefact such as a BPMS, one must admit that it
consist out of several components which may be fragile and fragmentary (cf. Sect. 4).
A BPMS consist out of several architectural components namely the Process Modeller,
the BPM Engine, the Software Integration Engine, the Business Rule Engine, Moni-
toring (Reporting Engine) and the Database or BPM Repository.
The technology, in its context, is typically configured by human agents called the
designers of the technology [24]. A technology therefore start to exist through human
creative action [25]. The technology is further sustained through on-going human
adaption and maintenance [25]. The technology designers, even under organizational
directive, make use of their situated knowledge and assumptions of the world when
configuring the technology for as specific context [24]. In other words, the technology
designers, proactively bring forth their own situated organizational realities of “how
things are” by using their own interpretive schemes, norms (including corporate
governance directives and principles) and organisational facilities, despite the reality of
how things really are [24]. Designers are therefore constrained by existing organiza-
tional structures, organizational norms, reality and by their own sense making (Fig. 5).
Fig. 5. IT resources configure and design the BPMS
However, there are limits when inscribing norms and principles (e.g. King [11, 26,
27]) into a BPMS for better corporate governance. Business rules that are vague, ad-
hoc, unstructured and abnormally complex may be difficult to configure or inscribe in a
technology such as a BPMS by technology designers or users.
On the other hand, a technological artefact, such as a BPMS may address problems
for which solutions are logical, structured and programmable very well during the
inscribing or configuration process. Programming involves externalised (not tacit),
explicit, structured and logical solutions.
5.3 Phase 2: IT-Enabled and IT-Enforced Business Processes

This study investigated how to inscribe norms, such as principles of good corporate
governance into the architectural components of a BPMS. Now, when users (human
agents) use the system, they draw on the inscribed and configured properties (by
designers and users) of the IT artefact [24], as depicted in Fig. 6.
Users also draw on their own experiences, assumptions, power, abilities, skills,
training, knowledge and expectations linked to BPMS use [24]. Finally, users, when
using the IT artefact, may also draw on the situated facilities within their working and
living contexts that is associated with social and cultural conventions [24]. In this
manner, situated use of the BPMS, inscribed and configured (in this case also with
corporate governance norms), becomes institutionalised in the organisational context,
resulting in IT-enforced and automated processes.
Fig. 6. Situated BPMS use
5.4 Phase 3: Business Process Governance and Performance

Orlikowski [24] states that the continuous use or enactment of an organizational
technology, such as a BPMS, strengthens that technology in the organisation. After a
while, the technology becomes routinised and regularised (standard) through repeated
and habitual use. The continuous use of the same technology reinforce that technology
in the organisation [24]. The technology, in such a way becomes taken for granted
within the organization [24]. The technology now dictates behaviour so that it becomes
an interpretive template for those that makes use of the IT artefact [24]. With regards to
corporate governance, the BPMS acts as a corporate governance behavioural template,
as indicated in Fig. 7.
However, when technology designers or users configure or inscribe the technology,
the outcome when the technology is used, may be different from that as what was
originally anticipated. Then re-design or corrective action need to take place by the
designers of the technology, so that the users can use the technology in its anticipated
and intended way. In the case of corporate governance, to achieve the anticipated and
desired supportive governance behaviours. Corrective intervention is illustrated by a
feedback loop in Fig. 7, to accomplish the correct anticipated supportive governance
behaviour, going back to the first phase.
Fig. 7. Corporate governance supportive structuration
5.5 Phase 4: Improved Corporate Governance and Organisational

Performance
The theoretical framework developed from this research caters for continuous change,
as the designers and users reconfigure the technology (the BPMS) for organizational
improvement [22, 24]. Reconfiguration also occurs when users alter their habits of use
or as economic, political and social practices (environmental forces) play out [22, 24].
The findings of the research shows that organisational behaviour, different than
expected may occur. As consequence, there may be various iterations of reconfigura-
tion or inscribing to resolve the issues. One can therefore argue that the nature and role
of BPMS’s towards corporate governance is one of continuous improvement.
Continuous enhancement of IT-enabled (automated) organizational processes cause
enforced and improved compliance to corporate governance objectives (acts, rules,
legislation, etc.), business strategy and other business initiatives that may have value.
Because of improved compliance to standardised processes (all process instances are
performed in similar fashion), there may be fewer process exceptions and therefore
better risk management.
The research also shows that BPMS use, for improved corporate governance,
resulted in behaviour supportive of corporate governance. This may results in con-
textual best practices for corporate governance.
On the other hand, in manual processes (not automated), there are reduced control,,
reduced monitoring, less process compliance, less corporate governance supportive
behaviour, poorer risk management, etc., that will end in less best practices for cor-
porate governance.
However, corporate governance initiatives must still be aligned to corporate
strategy and business value initiatives for the corporation to perform better. If a cor-
poration performs well in corporate governance and is still not aligned to value ini-
tiatives of the business (e.g. alignment to the strategic business objectives), the
organisation have a greater risk to fail or perform poorly.
Long-term decisions making and activity planning within an organisation occurs on

the strategic planning (SP) level of the organisation. The medium-term activities of the
organisation is controlled on the management control (MC) level (middle manage-
ment). Finally, the short-term activities is controlled within the operational control
(OC) level. As result, the scope of each function in an organisation narrows as one
moves down in the organisational hierarchy [28]. The operational-level (bottom-level)
managers deal with more detailed and complete data and shorter time spans than
strategic-level (top-level) managers.
The result is that decisions making and control in upper levels are more unstruc-
tured while at the lower levels it is more concrete and structured [28]. As consequence,
a BPMS may better support and enforce corporate governance at operational levels of
the organisation, where processes and information are more concrete, structured and
easier to automate, inscribe and configure in a BPMS (Fig. 8).
Fig. 8. Implications of using a BPMS in support of corporate governance
To conclude, a holistic organisational approach to corporate governance, will

contribute to make the theoretical framework for IT-enabled and IT-enforced corporate
governance in organisations successful. A holistic approach to corporate governance
may include aspects and enablers such as change management, top-management
support, leadership, resources to support the process system, a process and process
thinking culture and policies.
6 Conclusion
This paper proposed a theoretical framework for IT-enabled and IT-enforced corporate
governance, by applying a BPMS perspective. In answering the research question: The
components of a theoretical framework for IT-enabled and IT-enforced corporate
governance compliance when using a BPMS approach consist of an inscribing and
automation component (Phases 1 and 2), an organisation performance component

(Phases 3 and 4), a feedback component and a contextual influence component
(Context), which requires a holistic organisational approach to corporate governance,
which may include aspects such as leadership, resources, top-management support and
change management to support the process system.
The practical and theoretical contribution of this research lies in explaining the
components, insights and facets of a theoretical framework for IT-enabled and IT-
enforced corporate governance compliance’s drawn from Orlikowski’s [24] work to
study and address fraud, misconduct, corporate corruption and other corporate gov-
ernance weaknesses.
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The Role of Information Technology in Fintech
Innovation: Insights from the New York City
Ecosystem
Stanislav Mamonov(&)
Montclair State University, Montclair, NJ 07030, USA

stanislav.mamonov@montclair.edu
Abstract. Fintech is an active area of innovation and a rapidly growing sector

of the economy, yet relatively little is known about how information technology
contributes to innovation in fintech. We draw on the business model canvas
framework and we examine the role of information technology in the business
models of leading fintech startups in the New York City fintech ecosystem. We
find that information technology plays a key role across nearly all components
of the business models, orchestrating resources and processes to efficiently
deliver personalized financial services to customers. Focusing on the IT-enabled
value propositions across the fintech startups in our sample, we find that the
startups tend to emphasize low-cost offerings that may pose a threat to incum-
bent business models in financial services.
Keywords: Fintech Innovation Business model Information technology
1 Introduction
Disruptive innovations are a common concern for established firms [11]. Disruptive
innovations introduce significant changes in the value creation process within estab-
lished industries by either developing new markets or changing the existing value
creation networks [8]. In many cases, such innovations may initially target the less
profitable segments of the market, but evolve into dominant business models within the
respective industries [38].
Fintech, defined as design and delivery of financial products and services through
technology [24], is one of the most active areas of startup innovation. Forecasts for the
global fintech market suggest that global fintech revenues will reach $300 billion by
2023 [27]. Despite the practical importance of the fintech market there has been rel-
atively little research on how startups leverage technology in this market and how
information technology (IT) may contribute to the disruption of traditional business
models in financial services.
To address this gap in research, we draw on the business model canvas literature
[29, 30] and we examine the key technology-enabled innovations offered by the
leading fintech startups located in New York City. New York City is a global center of
finance hosting the headquarters for JPMorgan Chase & Co, Citigroup, Goldman
Sachs, Morgan Stanley, AIG, and American Express among other financial institutions,

https://doi.org/10.1007/978-3-030-44999-5_26
314 S. Mamonov
offering an ideal ecosystem to support fintech development [18]. This study is a part of
a broader research stream exploring the role of technology in innovation. Here, we seek
to address the following research questions: (1) How does IT contribute to innovation
in fintech? and (2) What types of IT-enabled innovations are likely to disrupt existing
financial services? To address these questions, we focus on the leading startups in the
NYC fintech ecosystem based on the funds raised from investors in the past 5 years and
we examine how IT contributes to the value creation within each product or service
offering. We also evaluate the likely disruptive impact of the IT-enabled innovations.
Our analysis reveals that information technology is deeply interwoven into nearly all
components of the fintech startup business models in our sample. IT plays a dual role of
serving as the customer facing artifact in service delivery, but it is also a key coordi-
nation mechanism that orchestrates all business processes within the respective com-
panies. Focusing on value propositions offered by the fintech startups in our study, we
find that the majority emphasizes low-cost alternatives to traditional financial services,
thus posing a potential disruption threat to the incumbent firms in the respective markets.
2 Empirical and Theoretical Background
2.1 The Role of Technology in Innovation

The connection between technology and innovation is a rich area of research [6, 32, 36]
and a full review of this literature is beyond the scope of the current study. Here, we
briefly review the key themes that are relevant to our work.
Information technology is broadly acknowledged as an important element of
internal process optimization [28, 34], as well as new product and new service
development [28]. Whereas much of the earlier work on the impact of IT investments
focused on the macro level outcomes, e.g. firm survival and firm revenue [35], more
recent research has shown that the effects of IT go beyond increasing operational
efficiencies. Mithas et al. [28] have shown the IT investments increase new product and
new service introductions, demonstrating that IT investments have a positive effect on
innovation within established firms.
Open innovation, i.e. engagement of external parties in the innovation process
[5, 13] has emerged as a dominant theme in the discussions on the role of IT in
innovation more recently. Open innovation encompasses both supplier-side as well as
customer-side innovation. Open source software emerged as a dominant paradigm in
supplier-driven innovation [1, 22]. Value co-creation has similarly emerged as an
important area in customer-driven product and service innovation [4, 17]. Several
scholars suggested that information technologies fundamentally alter the innovation
process and they require novel organizing logics designed to capitalize on the core
benefits of digital technologies [20, 37].
2.2 Fintech
Although a number of competing definitions of fintech have been proposed, we adopt
the following definition in our study. Fintech is defined as design and delivery of
The Role of Information Technology in Fintech Innovation 315
financial products and services through technology [24]. Financial services encompass
a broad range of services that include payments, wealth management, lending, capital
markets and insurance among others [23].
An economic analysis of financial services has revealed that despite digitization and
adoption of novel technology-supported business services in finance, the industry as a
whole has shown little in the way of increasing overall efficiency and the cost of
financial intermediation remain stable over time at roughly 2% of GDP [31]. The
perceived lack of efficiency in financial services industry has spurred many startups in
the fintech domain and their efforts have generally focused on disintermediation and
automation [7]. Industry surveys suggest that novel fintech offerings may be particu-
larly appealing to young, high-income, high-value customers [11].
Although the research on fintech is just beginning to emerge, there have been
several attempts to develop general taxonomies of fintech innovations. Focusing on the
services offered by the companies, Lee and Shin [23] suggested that all fintech startups
belong to one of the following categories: payments, wealth management, crowd-
funding, lending, capital markets and insurance. Focusing on the technical capabilities,
Gai et al. [12] proposed that technical innovations in fintech can be characterized as
innovations in authentication and control, risk management, data usage, risk detection,
and data storage and processing. Examining innovations in the insurance industry,
Szopinski et al. [33] suggested that innovations fall into infrastructure, service or
network promotion related categories.
Although prior research contains several fintech taxonomies [12, 23, 33], they do
not address the question of how information technologies affects fintech business
models. In the next section, we discuss the business model canvas framework [2, 39]
that provides the theoretical foundation for the examination of the role of IT in fintech
business model innovation in our study.
2.3 Business Model Canvas and Business Model Disruptions

Business model innovation has been long recognized as an important element of
business strategy [2, 39]. Business model canvas emerged as a pragmatic framework
focused on defining the key components of a business model with the goal of identi-
fying opportunities for business model innovation [29, 30]. Business model canvas
suggests that identification of the (1) key partners, (2) key activities, (3) value
proposition, (4) customer relationships, (5) customer segments, (6) key resources and
(7) distribution channels can lead to reassessment of the current state and identification
of novel options within each of the components that can pave the way to business
model innovation.
Disruptive innovation theory emerged from the observation that many dominant
firms fell victim to innovations that the firms dismissed at the time of the innovation
introduction [8]. For example, IBM famously dismissed the personal computer market
opportunity early on [19], and the firm later had to play catchup to the early movers in
the market. Christensen’s theory of disruptive innovation [8] highlights the fact that
ignoring innovative offerings in emergent markets often makes economic sense to the
incumbent firms, thus highlighting a fundamental impediment to innovation within the
incumbent firms.
316 S. Mamonov
The focus of the current study is on understanding how fintech startups leverage IT
to produce innovations within the components of the business models and to under-
stand when such innovations may produce disruptions in the incumbent business
models. In the next section, we discuss the methodology in our study.
3 Methodology
Methodologically, we take on a pragmatic stance that emphasizes the connection to the

real world [16]. We follow a multi-case methodology [10] to assess and contrast
observations across a theoretically based [15] sample of fintech startups.
3.1 Sample Selection

We relied on Crunchbase [9] to identify fintech startups headquartered in New York
City. Crunchbase collates information on over 5000 startups across the globe in dif-
ferent sectors of the economy. We filtered Crunchbase listings for “fintech” as the
category and “New York” as the headquarters location. We further limited our search to
active startups that were founded in the period 2014–2019.
We obtained a list of fintech startups located in New York that includes 224
companies. Many of the startups on the list are in the early stages of development. 95%
of the startups had received only a single round of financing and therefore the long-term
prospects of these companies are less certain [3]. Historical trends suggest that less than
12% of VC investments lead to successful exits [14]. Because the focus of our analysis
is on the effects of IT on business model innovation in fintech, we decided to focus our
analysis on the startups that progressed to the second round of raising funding (typi-
cally a series B) and raised at least $20 million dollars in total funding. The resultant
list contains ten companies that collectively raised over $1.1 billion.
3.2 Analytical Methodology

In our analysis on the role of technology in innovation we focused the role of tech-
nology in addressing the key components of the business model canvas. We examine
the following questions within the analysis of each component [29, 30]:
Value proposition What is the role of IT in the value proposition of each

company?
Customer segments and How does IT enable the company to address different
distribution channels customer needs?
How does IT facilitate/enable different distribution channels?
Key activities How is IT involved in the key activities associated with
value delivery?
Key resources How is IT involved in the acquisition/development of key
resources associated with value creation/delivery?
Key partners How is IT involved in managing relationships with key
partners?
Revenue stream What are the sources of revenue for the company?
To assess the key value proposition, customer segments and distribution channels,
key activities, resources, partners and revenue streams, we reviewed the respective
company web sites and news announcements. We used NVivo version 12 software to
code the collected documents for the components of the business canvas model as well
as the role of IT in the respective components.
4 Results
In our sample, we have startups offering a broad spectrum of fintech products and
services that offer very different value propositions. Six of ten startups (60%) in our
sample are B2C companies offering insurance brokerage, equity trading, retirement
planning, online banking, and real estate investment opportunities. One other startup
offers consumer purchase financing, but it offers its service via partnerships with
retailers, thus operating on a B2B/B2C model. Another startup developed a peer-to-
peer (P2P) money transfer services for consumers, but it sells its service to financial
institutions that integrate the offering within their digital banking services. This is also
an example of hybrid B2B/B2C business model. We find only one pure B2B startup in
our sample that offers fraud prevention services to businesses.
The ten startups in our sample have collectively raised $1.175 billion. The mean
amount of funding raised is $117.5 million and the median is $97.4 million. Better-
ment, an online retirement planning service, has raised $275 million putting it in the
lead in terms of total fundraising. Venmo, a P2P payment service, raised only $26.2
million.
Focusing on the whether the startup offerings represent low-cost alternatives to
existing services or entirely new offerings, we find that nine of ten startups (90%) in our
sample are targeting lower price points in the respective markets, whereas only one
startup – Cadre - is offering novel services. Cadre is a real estate investment platform
that emerged in the wake of the JOBS Act passage that reduced regulator requirements
in startup financing reporting and enabled equity crowdfunding as a practice [25]. The
company is leveraging the regulatory changes to provide investors with novel invest-
ment opportunities that were previously only available to accredited investors [25]. The
results are summarized in Table 1 below.
Table 1. Startup value proposition, business model type, market focus and funding raised.
Startup Value proposition Market Model Funding,
focus type $ mil
Policygenius The online service provides an L B2C 51.1
opportunity for insurance seekers to
compare policy premiums across
several providers and select the best
option
Stash The online platform offers low-cost L B2C 78.75
equity trading for individual
investors – a basic account costs
$1/month
(continued)
318 S. Mamonov
Startup Value proposition Market Model Funding,
focus type $ mil
Bread The IT-based platform enables L B2B/B2C 140.3
online retailers to offer purchase
financing to their customers
Riskified The IT-based platform offers fraud L B2B 63.7
prevention services in B2B
transactions
Betterment The online service offers low-cost L B2C 275
retirement planning for individual
investors
N26 An online bank offers a streamlined L B2C 212.8
list of services to clients
TransferWise An online service that offers lower- L B2C 116
cost international wire transfers to
individual consumers
Cadre An online service that provides N B2C 133
access to high quality real estate
investment opportunities for
individual investors
CommonBond An online service that offers lower L C2C 78.6
interest rates on education loans
Venmo A service that enables P2P L B2B/C2C 26.2
payments among individual
financial services users
L- low cost focus, N – new market focus
In the next step of the analysis, we examined the role of IT in (1) managing
relationships with different customer segments, (2) management of distribution chan-
nels, (3) support key activities associated with value delivery, (4) provisioning and
managing key resources required for product/service delivery, (5) management of
relationships with key partners. We also evaluated the key revenue streams for each
startup.
4.1 IT in Customer Segmentation and Service Delivery

Eight of ten startups in our sample offer online B2C services. It is not surprising then to
find that IT plays a key role in service delivery and customer segmentation. IT systems,
commonly a combination of web and mobile applications as well as backend services,
are the key artifacts that customers interact with. Customer facing systems also facil-
itate customer segmentation, i.e. identification of customer groups with distinct needs.
For example, PolicyGenius assists its customers in finding and evaluating available
insurance policies and associated costs in different categories of insurance: home, life,
auto, etc. The segmentation based on the insurance needs is seamlessly implemented on
the site. Different customer segments navigate the evaluation paths setup to fit the
specific insurance needs.
4.2 IT Function in Key Activities Associated with Service Delivery

Information technology uniformly plays a key role in automating the key business
processes within each startup. For example, the trading platform Stash automates
account setup for its customers and it supports efficient workflow on the backend
associated with anti-money laundering (AML) and know-your-customer (KYC) regu-
lations. We find similar patterns of front-facing automation and standardization of
back-office operations across other B2C platforms in our sample.
The firms operating on the hybrid B2B/B2C models wherein the startups are
providing financial services to individual consumers, but service delivery requires
integration with business partners, solve the increasing channel complexity with
encapsulation of the service-related activities in the IT-systems that are integrated with
business partners’ systems. Bread, for example, integrates with online retailers to offer
purchase financing for consumers. Venmo integrates with financial institutions and
provides seamless support for financial transfers among bank account holders who may
not even be aware of Venmo’s role in the process.
4.3 IT in Coordination/Development of Key Resources

Focusing on the role of technology in the development and coordination of key
resources, we find that the IT systems themselves become the singular most important
resource for each of the startups in our dataset. The IT systems encompass the
customer-interfacing digital artifacts for B2C firms. The IT systems also encapsulate
the business logic that underpins the operations of all firms in our sample.
4.4 IT in Management of Partner Relationships

We find that several of the startups in our sample are critically dependent on their
partners for the key resources required for service delivery. For example, an online only
bank N26 is critically dependent on its partnership with Mastercard that enables N26 to
offer its customers an ATM card that operates across the Mastercard’s Maestro plat-
form. N26 leverages IT systems to assure seamless integration of its online banking
services with the Maestro network so that its customers can have access to the funds
kept at the bank. TransferWise, an online cross-border payment service, is similarly
dependent on the Mastercard network in the execution of the international money
transfers. TransferWise similarly employs IT systems to assure seamless integration
between its web service and the Maestro payment network.
We find several other types of dependencies on IT services for integration with the
key partners for service delivery. Riskified, a B2B fraud prevention service is depen-
dent on third-party data in building its risk models. Stash, an online trading platform, is
critically dependent on using IT services to connect with exchanges, clearing and
settlement partners to assure proper execution and settlement of customer trades.
320 S. Mamonov
4.5 Revenue Models

We find startups commonly inherit business models from the respective industries in
which they operate. For example, PolicyGenius collects referral fees for the insurance
policies that customers purchase through the service. Betterment, an investment and
retirement planning platform, charges account fees and transaction fees. Riskified offers
its service on the software-as-a-service (SaaS) model to business customers and it
charges integration and usage fees.
We do find several more aggressive revenue model stances among the startups in
our sample. Stash, for example, eschews trading account fees in contrast to many
traditional brokers. Similarly, N26, an online bank, offers free accounts and free other-
institution ATM use, presumably subsidizing these services from investment revenues.
Table 2 summarizes the analysis on the role of IT across the key elements of the
business models within the business model canvas framework.
Table 2. The role of IT in customer service delivery, key activities, managing relationships with
key partners and revenue stream.
Startup Customer Key activities Key resources Key partners Revenue
segment/distribution stream
Policygenius The IT platform The IT platform The IT platform The IT platform Commissions
offers services supports lead supports manages on purchased
directly to anyone generation and it relationships relationships with insurance
looking for life, automates the with insurers and life, disability, policies
disability, auto and early stages in clients auto and
homeowner’s the lead homeowner’s
insurance screening insurance
process providers
Stash The IT platform The IT platform The IT platform The IT platform Trading
provides a trading facilitates all provides a full- supports rebates from
platform to value- aspects of the service trading relationships with exchanges
conscious traders online investing platform partners that
services offered provide account
by the company servicing, trade
execution and
clearing
Bread The IT platform The IT platform The IT platform The IT platform Interest and
provides integration enables purchase offers manages fees on
with online retailers financing for integration, relationships with financed
as a conduit to consumers credit scoring financial partners purchases
individual and financing who are a source
consumers management of capital
Riskified The IT platform The IT provides The IT platform The IT platform is SaaS
integrates with a platform for encapsulates a self-contained licensing
enterprise customer risk assessment proprietary data offering, however
workflows in B2B and risk it is dependent on
transactions modeling third-party data for
algorithms service delivery
(continued)
Startup Customer Key activities Key resources Key partners Revenue
segment/distribution stream
Betterment The IT platform The IT platform The IT platform The IT platform Account
provides direct provides is the core asset streamlines management
access to budget- retirement of the company, relationships with and trading
conscious planning it provides investment funds fees
consumers looking financial that are the key
for retirement management partners to the
planning services for platform
clients
N26 The IT platform The IT platform IT infrastructure The IT platform Investment of
provides direct provides online is the core asset integrates with customer
access to online banking services that supports Mastercard to funds
banking to service delivery support the service
technology-forward to clients offerings
consumers
TransferWise The IT platform The IT platform The IT platform The IT platform Forex fees
provides a lower- facilitates cross- is the core assetintegrates with
cost option for border financial of the company Mastercard to
international funds transfers support the service
transfer offerings
Cadre The IT platform The IT platform The IT platform The IT platform Fees and
provides accredited supports the full streamlines deal integrates with interest on
investors with life cycle of real flow acquisition Goldman Sachs. investments
access to real estate estate investment and due GS provides a
investment management diligence source of
opportunities financing
CommonBond The IT platform The IT platform The platform The IT platform Transaction
provides students supports C2C that encapsulates streamlines fees
with lower-cost education loan relationships with
educational loan lending underwriting is institutional
options the core asset of participants on the
the company platform that
provide capital
Venmo The IT platform The IT platform The IT platform The IT platform Transaction
targets financial enables P2P and the provides fees
institutions and payments among relationships integration with
enables P2P individual with financial the financial
payments for banking institutions are institutions that
individual customers the core assets of are clients
customers the company
5 Discussion
5.1 The Contribution of IT to Innovation in Fintech
Our analysis reveals that information technology plays a key role across all components
of the business models in fintech firms. IT plays a central role in value proposition
formulation across all firms in our sample. IT systems developed by the startups
encompass business process logic that underpins the core value creation by the
respective companies. This is the case for firms in the B2C and B2B/B2C startups
322 S. Mamonov
where the IT systems are the focal points of contact with customers. This is also the
case in the B2B scenario where the systems deliver value to business partners.
IT systems that are typically developed by startups as layered architectures with
web and mobile frontend components, afford a direct channel to end customers. The
direct route to end customers is consistent with the general role of technology in the
disintermediation trend in fintech innovation that has been noted in prior research [7].
But the IT systems do more than just establish a direct route to end customers, the IT
systems also support customer segmentation and personalization. The online insurance,
equity trading, wealth management and banking service startups are in a unique
position to elicit individual customer preferences and provide service personalization
for each individual client through automated segmentation and personalization
algorithms.
Across all startups in our sample, the IT systems also perform a key resource and
process coordination function. The systems encapsulate and automate business pro-
cesses, e.g. account application processes, they also provide seamless integration with
partner systems where such integration is vital to service delivery, e.g. in the case of
online banking and wire transfer services. By the virtue of encapsulating the core
business processes and key partner relationships, the IT systems developed by fintech
startups become the focal assets that support resource coordination that create value for
the customers. In other words, information technology is interwoven into all elements
of the fintech business model.
5.2 Potential for Disruptive Innovation

In his discussion of disruptive innovations, Christensen noted that disruptive innova-
tions can emerge from low-cost offerings, focus on distinct customer segments,
introduction of novel technologies and regulatory changes [8]. In our sample, Cadre
exemplifies the case of disruptive innovation brought about by regulatory changes.
Cadre offers real estate investment opportunities that were not available to investors
prior to the passage of the JOBS Act [26].
We find that all other startups in our dataset focus on cost savings as the primary
point of differentiation vis-à-vis traditional financial service providers. For example, the
insurance broker PolicyGenius promises savings on the insurance policies. The online
bank N26 offers free banking account and no ATM fees. The online trading platform
Stash offers free equity trading. These offerings do put pressure on the traditional
revenue streams in financial services. For example, Wall Street Journal recently
reported erosion in the trading commission income across financial institutions offering
equity trading that has been driven by online trading platforms offering free equity
trading [21].
6 Conclusion
Fintech is a rapidly growing area of practice that is expected to reach $300 billion in
revenues by 2023 [27], yet relatively little is known about how fintech startups leverage
technology for innovation. To address this gap in research, we examined the leading
startups in the New York City fintech ecosystem that have collectively raised over $1.1
billion in funding. We drew on the business model canvas framework and we examined
how the startups leverage technology across their business model components. We find
that technology platforms form the core of the innovative service offerings developed
by the startups in our dataset. Further, we find that startups use low-price offering as the
dominant strategy for disrupting the existing financial services markets. These obser-
vations provide empirical support for the theoretical arguments that call for the reex-
amination of the organizational logics underlying technology-driven innovation [36].
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Governance Challenges Constraining Business
Process Management: The Case of a Large
South African Financial Services Corporate
Carmen Doyle and Lisa F. Seymour(&)
University of Cape Town, Cape Town, WC, South Africa

lisa.seymour@uct.ac.za
Abstract. Obtaining and maintaining a competitive advantage is vital for

profit-driven organizations. Business Process Management (BPM) and the
governance thereof offer such organizations a framework of management
practices within which to achieve this goal. The objectives of this study were to
identify and describe the BPM governance challenges that constrain BPM in
large South African corporates as BPM in South Africa had not previously
received any comprehensive BPM governance focus. Additionally, the BPM
and BPM governance bodies of knowledge lack literature on studies focused on
BPM governance challenges. Qualitative research methods were utilized to
collect useful and descriptive data through secondary document collection and
interviews in a single case study. The study confirmed eight of the literature-
identified governance challenge themes that constrain BPM and contributed
eleven new BPM governance challenge themes to the BPM and BPM gover-
nance body of research.
Keywords: Business process management governance Business Process

Management Financial services
1 Introduction
Business Process Management (BPM) is a considered, all-encompassing solidification

of process practices sharing a common belief that an approach centered on processes
leads to significant advancements in system compliance and performance [1, 2].
Increased resource availability, awareness, attention, and formalized responsibility
facilitate an increase in BPM success [3]. Though BPM has yielded some success, and
despite significant organizational investments in BPM activity, BPM still experiences
implementation and expansion challenges [4]. These challenges relate to organizations’
inadequate grasp of their methodologies. Additionally, organizations often apply ad-
hoc, instead of organization-wide (org-wide), enhancements that yield more effective
and longer-term results [4, 5]. It, therefore, is apparent that an understanding of the
various aspects that facilitates BPM success remains vital [5, 6]. To this end, BPM
provides a governance structure that regulates the modernization of always-
transforming businesses and org-wide value chains [2].

https://doi.org/10.1007/978-3-030-44999-5_27
326 C. Doyle and L. F. Seymour
BPM governance’s impact is far-reaching. It allows organizations to monitor and

scrutinize their BPM practices, BP performance, and outcomes. BPM governance,
furthermore, helps to rank the importance of BP improvements, increase the organi-
zation’s capabilities, and manage downstream improvement initiatives [5, 7, 8]. Still,
enterprises often struggle to address BPM challenges effectively [9, 10]. The literature
is unable to assist as it lacks empirical examination of the business aspects that cause
governance-related challenges in BPM. Hence the grand challenge from the BPM 2019
conference that we “take a more empirical angle in our work, trying to identify genuine
issues that organizations are facing” [11]. To contribute to this knowledge gap, this
study’s research question was “What are the governance challenges that constrain BPM
in a large South African financial services corporate?” Thus, this paper aimed to
describe the corporate’s governance-related BPM experiences. The sections that follow
provide an overview of the relevant literature, detail of the research method and case
description, the results of the findings, followed by research limitations and suggested
future research.
2 Literature Review
This section summarises the literature on BPM, BPM governance, and governance-
related BPM challenges. The study’s theoretical framework is then discussed, followed
by the literature summary.
BPM interest remains on the rise [7]. Since companies employing BPM practices
elevated their levels of interest in the realization of BPM benefits, BPM methodology
skills have become sought-after. Benefits realization is achievable when these orga-
nizations follow a BPM framework. Frameworks should be well-thought-out to enable
BPM understanding as enterprise expertise instead of insulated process improvement
initiatives [12]. BPM’s comprehensive nature and environment also require a frame-
work construction such that it supports its complexity breakdown [13].
Much research on governance, its meaning, relevance, and benefits are evident in
the literature. It is, therefore, no longer perceived as a new concept [14]. BPM gov-
ernance focuses on process assets as quantifiable assets [14]. This research study adopts
the comprehensive view that BPM governance comprises a management framework
aimed at guiding all BP-related decision-making and design. Thus, it focusses on the
functional, cross-functional, and cross-business unit, org-wide initiatives, and all of its
BPM-related practices [1, 9]. Cited BPM governance elements include BP standards,
BP roles and responsibility, BP objectives, control methods, assessment methods,
governance structures, architecture, and infrastructure [15].
2.1 Theoretical Framework

This study examines governance challenges that constrain BPM, to assist Table 1
represents BPM governance challenges derived from the literature which was derived
as follows. Firstly elements and their challenges were identified from the literature and
then re-categorise into a known BPM governance framework selected to guide the data
collection. Secondly, the researcher rationalized the BPM governance categories,
Governance Challenges Constraining Business Process Management 327
themes, and sub-themes identified in the BPM governance frameworks found in the
literature. These frameworks are (1) the de Bruin and Rosemann BPM Maturity Model
[13]; (2) the Bhat and Fernandez elements of BPM Governance [16], and (3) the
Spanyi BPM governance framework checklist [8]. Next, the researcher mapped the six
literature-derived BPM governance categories, along with their themes and elements, to
the five capability areas contained in the de Bruin and Rosemann BPM Maturity
Model’s governance factor [13]. The five BPM governance capability areas are
(1) Process Management (PM) Decision-making; (2) PM Roles and Responsibilities;
(3) PM Metrics and Performance Linkage; (4) PM Standards; and (5) PM Controls.
Lastly, the researcher removed the BPM governance elements as they were useful to
the framework construction only for categorising the corresponding challenges.
Table 1. A summary of the literature-derived BPM governance challenges

Category Related challenges Authors
PM standards Lack of standard methods [8, 15–
Lack of effective BP’s 18]
Lack of robust BPMG frameworks
Lack of BP enhancement methods
Lack of training, skills definition [8, 15,
Lack of adequate incentive schemes 17]
Lack of suitable academic programs
Lack of BPM definition and shared vision
PM metrics and performance Lack of management focus: [19]
linkage How to strategically align BPs to objectives
Essential information systems’ strategic
alignment
Lack of attainable & complex maturity [8, 18]
models
Lack of representation of customer and org-
wide
Cooperation needs in popular reference
models
Low enterprise integration [15, 17]
Lack of BP infrastructure integration [15–18]
Lack of internal client infrastructure
Difficulties relating to legacy systems
PM controls Difficulty with legislation [15–18]
PM roles and responsibilities Lack of role definition, BPM skilled roles [8, 17,
Loyalty division (admin and process) 20]
Resistance to change
Traditional BPM governance leadership
Slow changing executive thinking
Despite BPM governance’s significant role within organizations and, particularly in

BPM initiatives, it is still an unsuitably addressed enterprise issue. Management
commitment remains essential to attain favorable BPM maturity and to transform

strategy into realized benefits. Still, as organizations are not able to effortlessly commit,
these challenges persist and effective org-wide deployment of these elements’ progress
remains slow and minimal. The literature review did not surface any studies that have
comprehensively examined BPM governance challenges. Thus, the need for the
comprehensive examination of BPM governance challenges in all business sectors,
industries, and context is substantiated.
3 Method and Case Description
The study’s research question, research objectives, research strategy and literature
guided the data collection. The research objective was to identify and describe gov-
ernance challenges constraining BPM in large South African financial services cor-
porates. The study embraced a subjective ontological stance and an interpretivist
epistemological stance, which promoted understanding the research participants, their
interactions, and their impact on the world around them [21]. The purpose of the study
was descriptive, and qualitative research methods were employed. By using a case
study research strategy, the study described the BPM governance challenges experi-
enced and perceived by the case organization, as well as the complexities that influence
these experiences [22, 23]. The single case study organization was known as InvestCo
throughout the study to ensure anonymity. At the time, the primary author had been in
the case organization’s service for many years. Thus, the author had a fair under-
standing of its strategic objectives and culture. InvestCo was selected for this research
study because (1) it is considered one of the largest private sector investment managers
in South Africa with an employee count of over 500 and several branches over the
breadth of the country; (2) it has not officially adopted BPM; (3) though its maturity
level was low, it had established process management practices.
Table 2. Research participants’ business roles

Position Experience
Senior IT manager (3) 19, 10, 15 years
Senior business analyst (2) 14, 5 years
Senior operations manager (1) 21 years
Senior analyst programmer (1) 6 years
Senior compliance officer (1) 11 years
The eight participants in Table 2, were purposely sampled. InvestCo’s

Management-level employees were deemed more likely to contribute to a broader view
of the role of BPM governance and its enterprise-wide impact on their organization.
InvestCo’s organizational permission was secured after the study received university
ethical clearance. Useful and descriptive data was obtained through semi-structured
interviews with the relevant subject matter experts within the organization. Secondary
data (Table 3) was obtained through document collection to achieve triangulation [24].
Table 3. Research study-related secondary data

SDID Description SDID Description
SDST01-4 PM standards STDOTH01-03 Case description
SDST04 PM metrics and performance linkage STDOTH02 Case description
SDCT01-6 PM controls STDOTH03 Case description
The interview protocol ensured that participants were informed of the study’s
purpose and allowed the flexibility to adjust the interview to suit the outcomes of the
individual interviews [25]. After transcribing all interviews, thematic analysis of the
data was performed iteratively using Nvivo, and themes were inductively coded as they
emerged from the data following Braun and Clarke’s method [27]. The analysis took
place concurrently with the data collection [24]. The secondary data was analysed in
the same wasy as the primary data. The first phase included reading and rereading the
data and noting initial ideas. The second phase resulted in initial coding. In the third
phase the codes where collated into themes and in the fourth phase the themes were
iteratively reviewing by re-reading all text. The final two phases included naming and
renaming themes and selecting vivid extracts for each theme. The literature-derived
theoretical framework merely served to guide the study and categorization of themes
that emerged from the data. The principle of contextualization acknowledges that
contextual differences bring about variances in experiences, perceptions, and under-
standing [26].
4 Research Findings
This study aimed to describe the BPM governance challenges experienced in the
financial services industry. Through the thematic analysis of the research data, the
study derived 19 BPM governance-related themes and 31 BPM governance-related
sub-themes. A discussion of the themes appearing now follows. The theoretical
framework employed in this study served as a lens for the categorization of the themes
to render the research findings comparable to the literature.
4.1 Lack of PM Controls

The thematic analysis of the data highlighted six PM controls-related challenges.
Table 4 reflects data excerpts related to the challenges discussed.
Table 4. PM-controls-related BPM governance challenges

Theme Text reference
Difficulty with capacity “Technical debt is our biggest problem. We know what we
constraints (C1) need to fix, but we run lean teams – Lean, as in our teams
are too few for how much work needs to be done.” [RP06]
Lack of pre-change control “Change Control Forum is to identify ahead of time
rigor (C2) downstream side effects rather than just before
implementation.” [RP08]
Impact of external parties on “Regulatory changes take precedence over anything that
BPs (C3) has an impact on daily trading or client reporting, and
after that, the internal processes that aim to improve the
existing world.” [RP08]
Lack of BPM architecture (C4) “Everything is available, and you can find it, it is just that
we do not have one, big, process library” [RP06]
Risk around remaining manual “We still have manual BPs, and it brings the risk for
BPs (C5) errors.” [RP07]
Lack of established BP A boutique will have BPs mapped, and their business
controls and criteria (C6) process is its IP (intellectual property), which is why it
stays inside the boutique.” [RP06]
Difficulty with Capacity Constraints. The organization’s capacity-related challenges

pertained to resourcing difficulty, workforce retention, and the complexities around
skilled recruitment. Technical debt was said to include the nice-to-have BP improve-
ment initiatives that, due to strategic priorities, higher priority focuses, and capacity
constraints, never reach the top of the list.
Lack of Pre-change Control Rigor. Lack of pre-change control rigor challenges
comprises a lack of solution design rigor, data governance, and problematic sub-team
cultures. Thus, the understanding of BP change requests and implementations need to
be adjusted. Adequate data governance is required as data-related updates have a
potentially more significant impact on the organization.
Impact of External Parties on BPs. The participants mentioned that external parties
that often impact the organization’s various BPs included their outsourced adminis-
trator, data vendors (includes the economic markets), and regulatory bodies. When
incidents, originating with the outsourced service provider or data vendors, occur, all
business-as-usual activity ceases until the issues are resolved.
Lack of BPM Architecture. Although all BP artifacts are available and accessible,
awareness is lacking, and storage of these artifacts are not centralized. The lack of
dedicated storage resources and policies cause much frustration, particularly when
artifacts are stored in multiple locations with various version numbers.
Risk Around Remaining Manual BPs. Concerns exist around the organization’s few
remaining manual BPs. The secondary data suggests the challenge lies somewhere
between business-and-IT oversight and prioritization. These issues are possibly brought
about by the capacity constraint difficulties mentioned earlier.
Lack of Established BP Controls and Criteria. There is the perception that the
organization does not have a high-level process management plan. This perception
exists as the organizational structure necessitates role-based access and permissions.
4.2 Lack of PM Roles and Responsibilities

The thematic analysis highlighted nine PM roles and responsibilities-related chal-
lenges. Table 5 reflects data excerpts related to the challenges which are now
discussed.
Difficulty Resulting from the Business Unit (BU) Structuring. Participants shared
that the way in which the organization structures its business units and its lean strategic
stance of managing income and costs were at the root of the challenges that they are
experiencing. The secondary data supported the participants’ experiences.
Lack of Governance Structures. There was no mention of an officially defined
obligation to adhere to BPM or BPM governance. All participants mentioned that their
BPM and BPM governance roles were informal. Furthermore, there was a strong sense
that cost-saving, and not BPM, had been the strategic goal for the last few years.
Lack of BPM Roles and Governance Discipline. No-one is formally driving BPM in
the organization. Concerns exist about the organization’s perception that documenta-
tion of BPs ownership resides in IT. Additionally, concerns exist about the current
inability to track BP ownership activity once the BP is handed over to the business.
Ineffective BP Design Process. Challenges experienced when the upfront BP design
process does not include Information Systems and IT representatives. Often, the
business will only discover this oversight when the solution encounters its first
exception in a production environment.
Lack of BPM Principles and Practices. The challenges that participants mentioned
included the fact that no-one was monitoring business activity, or whether they
employed BP standards and best practices. Furthermore, no enforcement of best
practices was evident in this regard.
Resistance to Change. Some of the business units’ resistance to change relates to the
fear of redundancy. Therefore, they have not been able to embrace the opportunities
that automation delivers.
Division of Loyalty. Process owners lack authority. Thus complexities, such as
capacity constraints, appear to exacerbate the problem. This complexity is particularly
true when process managers attempt to manage their BPM initiatives.
Lack of Catalog Management. Process catalogs are lacking and would serve as
upfront communication around the business’ service offerings and process involved
with securing those services. In the absence of such a catalog, it is particularly chal-
lenging to coordinate building-block BPs.
Ineffective BP Prioritization. Various managers review and prioritize work packages.

Thus, when the last manager reviews a business units’ work package list and, their
opinion of priority may differ from another manager’s opinion. Such an initiative may
then unnoticeably drop of the worklist, or execute without an actual business need.
Table 5. PM roles and responsibility-related BPM governance challenges

Difficulty resulting from the BU The main thing they care about is alpha, and not the data
structuring (C7) integrity, even though data integrity is central to alpha.
[RP08]
Lack of governance structures “We do not typically think of BPM as a practice in the
(C8) everyday world.” [RP04]
Lack of BPM roles and “I think what the organization lacks in terms of BPM is
governance discipline (C9) someone to see that it gets done, that there are standards
implemented, tools used, and best practices implemented.”
[RP02]
Ineffective BP design process “IT is bolted onto the decided upon the business process.
(C10) Any controls we build are never going to be complete
controls.” [RP08]
Lack of BPM principles and “What is passed on is “Do this,” not “Why we are doing
practices (C11) this.” This lack of context leads to people doing what they
are told” [RP08]
Resistance to change (C12) “They are only now starting to speak up because someone
has left, and now realize that they have an issue.” [RP06]
Division of loyalty (C13) “So much pressure … to deal with people that are
overworked because of under-resourcing, and I am not the
line manager.” [RP03]
Lack of catalog management “Every request should have an associated BP - which also
(C14) speaks to this idea of a service catalog which has come
up.” [RP06]
Ineffective BP prioritisation Different subject matter experts log or create the work
(C15) packages; there might be underlying differences in the
interpretation of exactly how fair the alignment is with the
strategy. [RP01]
4.3 Lack of PM Standards

The thematic analysis of the data highlighted two PM standards-related challenges.
Table 6 reflects data excerpts related to the challenges which are now discussed.
Lack of BP Documentation Standards. BP documentation that does not include the
process’ key risk areas, escalation points, or frequently asked questions is often the
result of ineffective BP’s. The lack of secondary data supports the participant’s views
that the organization does not currently enforce any particular BPM standard and very
few BPM governance standards.
Ineffective Employee Assessment. Unclear links exist between the management of

BPs and the organization’s incentive reward system. Though the secondary data lightly
hinted at his link, the association could easily be overlooked when the staff has a small
window to read non-BP related communications. Non-standard requests do not have
existing BPs and often result in dissatisfied clients.
Table 6. PM standards–related BPM governance challenges

Lack of BP documentation “They sometimes miss critical information that would have an
standards (C16) impact on the effectiveness of that specific business process.”
[RP01]
Ineffective employee “Initiatives should be better aligned with our rewards
assessment (C17) recognition process. [RP02] “There is frustration on both
sides. But, again, that is an outcome of poor work
management on the part of the influencer.” [RP08]
4.4 Lack of PM and Performance Linkage

The thematic analysis of the data highlighted two PM metrics and performance link-
age-related challenges. Table 7 reflects data excerpts related to the challenges which
are now discussed.
Ineffective Business Unit Monitoring Capabilities. A concern exists that business
units might not all have useful monitoring capabilities. All of the participants felt that
the lack of regular BP review was capacity-related.
Ineffective Performance Review Criteria. The organization’s consideration of the
criteria that determined the effectiveness of their BPs’ performance is lacking. The
missing criteria relate to framework-fit and effective use of staff and teams.
Table 7. PM and performance linkage-related BPM governance challenges

Ineffective BU monitoring “We have not, and I think that might be one of our failings,
capabilities (C18) but the business is now asking ‘how can we get that, as
well?’” [RP08]
Ineffective performance “Broader criteria such as ‘is this allocated to the most
review criteria (C19) applicable team?’ are not part of the conversation.” [RP08]
5 Discussion
The discussion of the research findings was used to answer the research question,
“What are the governance challenges that constrain BPM?” Table 8 contains a matrix
of the 19 challenges that emerged from the research study, the codes are in Tables 4, 5,
6 and 7. New themes not found in the literature are indicated with an asterisk. While the
dominance of certain challenges can’t be simplisticly assigned to the number of text
references it does give an indication. The interpretation of the findings also supported
that the dominant challenge categories were the lack of PM controls (C1-6) with 79 text
references and a lack of PM process roles and responsibilities (C7-13) with 45 text
references. The dominant challenge was the difficulty with capacity constraints (C1)
with 35 text references. No evidence was found to support the PM Decision-Making
category within the case organisation. To mitigate potential bias in the grouping of the
challenge, interviewees were consulted during the latter part the analysis process. As
most of the organization’s functions require specialized skills, the recruitment and
retention policies require closer scrutiny to assess how they can aid in reducing the
challenges experienced in this area. The lack of BP documentation standards challenge
is brought about by a lack of organizational policies and results in inconsistent stan-
dards applied by individuals. The next steps for the organization are to address
influencing policies, prioritize BPM, and embed the much-needed BPM and BPM
governance principles, practices, and training.
Table 8. Summarised comparison of BPM governance challenge themes with Data sources
(DS) and Text references (TR) to the literature.
# DS TR New*/Existing # DS TR New*/Existing
C1 8 35 * C11 3 6
C2 3 13 * C12 1 4
C3 5 12 C13 1 2
C4 5 10 C14 1 1
C5 3 5 * C15 1 1 *
C6 3 4 * C16 6 17
C7 5 11 * C17 4 9 *
C8 4 9 * C18 6 13 *
C9 3 6 C19 2 3 *
C10 3 5 *
6 Conclusion
This paper described South African Financial Services governance-related BPM

experiences. This study found support for eight of the existing BPM governance
challenges identified in the literature. The matching challenges were those that could be
generalized across multiple organizations and industries. Additionally, the study has
added contextual variation to existing themes, as well as introducing eleven new
themes. This empirical study contributes to the BPM and BPM governance body of
research in two ways. The study contributes to practice in that its comprehensive BPM
governance theoretical framework, together with the literature-derived BPM gover-
nance elements framework could hold great value for future top management BPM and
BPM governance-related decision-making in financial services and similar organiza-

tions. Not forgetting, though, that any framework should be adjusted to suit the context
in which it is used. The study contributes to theory, in that it provides an initial
contribution to BPM governance challenges-focused research.
The specific research focus may limit the generalizability of the study’s findings.
The following research limitations are inherent in the study. Single case studies’
research findings and their application may not be generalizable. Instead, this study’s
findings relate to financial services organizations with informal BPM and BPM gov-
ernance practices and low BPM maturity levels. Additionally, the collection of more
abundant data would have compromised the case organization’s competitive and
strategic advantage. The main author’s proximity to the case organisation introduces
potential bias, the possibility exists that the analysis process may have resulted in some
inaccuracies. The literature review identified that research gaps remain concerning
BPM governance challenges-focused research. South Africa was the deliberate focus as
the literature review indicated that a comprehensive examination of the governance
challenges constraining BPM had not yet been conducted in the global context,
developing context, or the South African context. Therefore, we encourage researchers
and practitioners to conduct further empirical studies of the same or similar phenom-
ena, using different research paradigms. Such studies would yield incredibly rich and
comprehensive contributions to the BPM and BPM governance bodies of knowledge.
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Overcoming the Ivory Tower: A Meta Model
for Staged Maturity Models
Katja Bley(&), Hendrik Schön, and Susanne Strahringer
Business Informatics, esp. IS in Trade and Industry,

TU Dresden, Dresden, Germany
{katja.bley,hendrik.schoen,
susanne.strahringer}@tu-dresden.de
Abstract. When it comes to the economic and strategic development of

companies, maturity models are regarded as silver bullets. However, the existing
discrepancy between the large amount of existing, differently developed models
and their rare application remains astonishing. We focus on this phenomenon by
analyzing the models’ interpretability and possible structural and conceptual
inconsistencies. By analyzing existing, staged maturity models, we develop a
meta model for staged maturity models so different maturity models may share
common semantics and syntax. Our meta model can therefore contribute to the
conceptual rigor of existing and future maturity models in all domains and can
be decisive for the success or failure of a maturity measurement in a company.
Keywords: Maturity model development Meta model Conceptual modeling
1 Introduction
Economic development, the assumption of growth, and the ongoing transformation of

processes increase the competitive pressure on enterprises of all sizes. Hence, they
search for tools that can help determine their current benchmarking position or assess
their subsequent performance compared to a predefined best-practice performance [1].
One famous example of these benchmarking tools is Maturity Models (MMs). Con-
sidering their components, two definitions result: ‘maturity’ as a “state of being
complete, perfect or ready” [2] and ‘model’ as “an abstraction of a (real or language
based) system allowing predictions or inferences to be made” [3]. Thus, an MM can be
regarded as an abstraction of a system that allows predictions or inferences about a
complete or perfect state. Its aim is a structured, systematic elaboration of best practices
and processes that are related to the functioning and structure of an organization [4].
The MM is divided into different levels, which are used as benchmarks for the overall
maturity of an organization. By application, an object is able to assess its own position
in a predefined best-practice approach. An awareness of the maturity level in a par-
ticular domain is necessary in order to recognize improvement potentials and stimulate
a continuous improvement process [5]. Especially when it comes to emerging phe-
nomena like digitalization or the Industrial Internet, MMs became a favored instrument
especially for SMEs in order to determine their own digitalization status and corre-
sponding guidelines for improvement. But it is not only in this area that there has been

https://doi.org/10.1007/978-3-030-44999-5_28
338 K. Bley et al.
an enormous increase in MM publications in recent years. Due to their general

applicability, the rather simple development, and the promising competitive advantages
many MMs have emerged in both science and practice over the last decade. They differ
in the concepts of maturity, the considered domains, the development approach, or the
target group [4, 6].
Although there exist several approaches to the rigorous development (i.e. [7–9]),
and there are MMs that already follow these guidelines and should be considered as
complete and thorough, a plethora of developers still see a need for new and different
kinds of MMs. A possible reason for this phenomenon may be that current MMs lack in
consistency regarding their semantics, syntax, and concepts. This leads to a situation
where many different MMs introduce ontologies that are either conceptually the same
but are used for different subjects and in different contexts so researchers do not
understand or recognize similar models or they try to differentiate from existing
approaches by using different terminology (e.g. level vs. stages, maturity vs. assess-
ment, dimension vs. area). This in turn weakens the benefits of MMs for companies, as
they are unable to understand, compare, and apply the models due to different termi-
nology or incomprehensible concepts and relationships. As a consequence, a solution is
needed that proposes theoretical and practical solutions for the semantic and syntactical
pitfalls and difficulties mentioned.
We address this problem of conceptual divergence by introducing a UML-based
meta model of MMs – a formal construct that summarizes the various MM concepts,
features, and interdependencies and relates them to each other. We introduce this meta
model regarding the different MM concepts, where each MM can be an instance of it as
it provides a conceptual template for the rigorous development of new and the eval-
uation of existing maturity models. We thereby focus on staged MMs, as they have a
holistic and cross-organizational structure that is dominant in MM research. Based on
the most popular MMs as well as several newly developed MMs, we summarize and
discuss already existing MM concepts. We are able to show a valid instantiation of our
maturity meta model by classifying different staged MMs in their properties and
concepts with our meta model.
2 The Anatomy of Maturity Models
2.1 Definition and Application of Maturity Models

According to [10], MMs typically consist of: (a) a number of levels (commonly 3–6),
(b) a generic description of each level, (c) a number of dimensions or “process areas”,
(d) a number of elements or activities for each process area, and (e) a description of the
performance of each activity or element as it might perform or might be performed at
each maturity level. The purpose of MM assessment can vary. Depending on its
intended aim, the MM focuses on an assessment of the current state of development
(descriptive), the identification of improvement potential (prescriptive), or its appli-
cation as a benchmarking tool (comparative) for an object under study [11].
MM development has faced an evolution of around 40 years. The early approaches
of these models reach back to the late 1970s, when Crosby and Nolan developed the
Overcoming the Ivory Tower: A Meta Model for Staged Maturity Models 339
first preliminaries of today’s MM: the five-staged Quality Management Maturity Grid
and the stage theory on electronic data processing [12, 13]. The concept of these
models gained more and more attention, and to date, the Capability Maturity Model
Integration (CMMI) [14] represents one of the most well-known and applied MMs.
Although there are different types of MMs, we focus on the dominant form, the
staged MM. Its basic assumption is that an organization is constantly evolving, inter-
and intra-organizationally, due to learning effects and improvements. This evolution
process is represented in a simplified step-by-step approach using a certain number of
degrees of maturity (usually 3–6), a combination of key factors that must be given in
order to achieve a certain level of maturity. Figure 1 shows a common representation of
a staged MM. When using such an MM, the presence of relevant factors is measured
via indicators. After conducting this assessment, the results are summarized with
corresponding evaluations and a representative maturity level (see Fig. 1).
Fig. 1. Structure of a staged MM
2.2 Development of Maturity Models

Researchers who develop an MM have to decide on a research design for model
development (i.e., empirical qualitative/quantitative, conceptual, design-oriented or
other), specific research methods to be applied (i.e., case studies, surveys, literature
reviews, interviews, conceptual developments or no method at all), and the research
content that has to be elaborated and described (i.e., conceptual, descriptive, assess-
ment, comparative, or others) [4]. Considering the long history of MMs, multiple
development guidelines evolved over time that focus on these decisive processes and
can be regarded as supportive instruments for MM development. [9] present the most
established standard for the development of MMs: a six-step generic phase model
comprising scope, design, populate, test, deploy, and maintain. A different procedure
model is postulated by [8], who strongly focus on a design science research approach.
They suggest an eight-phase development approach, focusing on problem definition,
comparison of existing MMs, determination of the development strategy, iterative MM
development, the conception of transfer and evaluation, implementation of transfer
media, evaluation, and rejection of MM. [7] set up general design principles (principles
of form and function) for the development of useful MMs. A framework for the
characterization of existing MMs is presented by [15]. In order to create sound and
widely accepted MMs, he proposes two “maturity model cycles”. Based on a
340 K. Bley et al.
development cycle, focusing on a developer’s perspective and an application cycle,

focusing on a user’s perspective, he identifies different decision parameters MM
developers should take into account (Fig. 2) [15].
Fig. 2. Development and application cycle of maturity models (in accordance with [15])
Summarizing, many approaches can support researchers in creating MMs. How-

ever, these guidelines are limited in their interpretability and validity, as they do not
provide concrete terminology specifications or structural concept models. Conse-
quently, many models were built following these recommendations, but they still differ
in the terminology used, their descriptive principles, the extent of provided information
about factors, and the factors’ influence on the degree of maturity [7].
2.3 Criticism and Inconsistencies of Maturity Models

In spite of their salient popularity, there are also critical voices regarding the scientific
implications and the practical applicability of MMs. From a scientific point of view, [7]
criticize a lack of empirical research foundation during the development process. This
in turn, often leads to a simple copy of existing model structures (i.e., five-staged-
MMs) without considering the conceptual suitability for the given context. Further-
more, [16] mention the lack of validation when selecting factors or dimensions for the
model as well as the linear course of maturation. Another aspect is the missing oper-
ationalization of maturity measurements which impedes replication of an evaluation.
Similarly, [17] argue that a simple demonstration of a gap (as done in many MMs) is
not enough. Only understanding cause and effect can help to guide action. Otherwise
these models might convey the impression of “falsified certainty” to their users [18].
A common promise of MMs is an increase in competitiveness, effectiveness and
efficiency in a specific domain or a general improvement of constitution. However,
MMs lack a clear description and definition of these concepts in their conceptual
grounding, making them theoretical constructs but not applicable models for users (i.e.,
SMEs).
[19] summarize shortcomings of MMs from a practical perspective. They state that
MMs are often inflexible, although a high flexibility is required. Similar to [17], they
argue that MMs focus on identifying gaps and raising awareness towards a specific
topic, but enterprises are in need of concrete recommendations for action. Furthermore,
these models are disciplinary, impractical, and overwhelming for many enterprises,
especially for SMEs where a corresponding executive management level is missing.
However, not only the application and general structure of models is a topic of
criticism. Inconsistent terminology of the models’ concepts plays a major role in MM
research. When developing new MMs, developers tend to invent new titles for common
MM approaches in order to stand out from the plethora of already existing MM terms.
For instance, designations like “Maturity Model”, “Assessment Model”, “Roadmap”,
“Maturity Framework”, “Maturity Matrix”, “Guide to Maturity”, and “Excellence
Model” are synonyms for the concept of an MM. Inconsistent terminology used within
MMs, indirectly results in an inflation of similar MMs, as these models will not be
identified as identical or at least similar approaches. This inconsistent terminology may
cause, among other problems, two different semantic-syntax errors between MMs:
(a) developers use the same terminology for maturity concepts, but each concept has a
different interpretation (e.g., homonyms), and (b) developers address the same concept
but label it in a different way (e.g., synonyms). For instance, to describe the field of
interest an MM is applied to, MMs use different terms: “domain”, “area”, or “di-
mension”. But not only the terminology, also the relationships between these concepts
remain unclear. There rarely is a standardized definition framework of concepts and
relationships. Although there exists a meta model for project management competence
models, it is only available in German and focuses on the broader application context,
not on the maturity model itself [20]. In conclusion, these inconsistencies represent a
research gap as they lead to a situation where a comparison of existing MMs is almost
impossible due to a lack of understanding what is actually provided.
3 A Meta Model for Staged Maturity Models
A recent study revealed that almost all scientific and many consultancy MMs (in the
field of Industrial Internet) are still not being used or are even unknown in business
practice, although potential applicants stated a need for and interest in these models in
general [21]. As this discrepancy comes as a surprise, we assume a weak point either in
the development or application of MMs (Fig. 2); otherwise, the reluctant use in praxis
is not explicable. A possible explanation for this phenomenon may be located in the
different interpretations of MMs’ concepts on both sides of stakeholders. Developers
may use concepts and relationships that are interpreted differently by model applicants
and by other developers in the same field of research. As a result, possible applicants as
well as researchers misinterpret an MM’s structure and concepts. In other words,
syntax and semantics vary across MMs, which is why, on the one hand, companies (as
applicants) do not use or apply the models, as they simply do not understand their
structure and effects. On the other hand, researchers tend to develop even more and
new MMs, as they do not recognize existing models as similar or comparable MM
approaches (i.e., from 2016 to 2018, 18 new MMs had been developed in the domain
of Industry 4.0 [21]). What is needed is an overarching, holistic conceptual framework
that can unify and standardize the individual objectives and goals. By focusing on the
developer’s perspective in this paper, the consistency of existing models can be vali-
dated, and future models can be developed in a rigorous way, which will then be the
342 K. Bley et al.
foundation for a sound assessment of models later on. A Meta Model, as “a model of
models” [22], is an approach that is able to meet the above-mentioned requirements.
Originating from software engineering, it can be understood as a model specifying
underlying models that are considered instantiations of the meta model. The meta
model itself is instantiated from a meta model [23]. In many cases, the meta meta
model specifies a subset of the modeling language UML. A meta model typically
represents the language (linguistic) and/or structure (ontological) of the underlying
(that is, the subordinate) models [24]. It is used as an abstract description of (1) the
unification of concepts that are part of the model, (2) the specifications and definition of
concepts, and (3) the specifications and definition of concepts. Thus, multiple valid
models can be instances from the same meta model. The schematic meta-modeling
approach for MMs is shown in Fig. 3. On the top layer (M2), the developed meta
model is located. It specifies the underlying MM on M1. Every concept on M1 has to
adhere to a type concept specified on M2. Please note that the MM on M1 is, in
principle, generally valid for all enterprises. It specifies the ranges and used concepts
for a later assessment. The developer creates an MM type on M1 (according to the meta
model on M2), which is “instantiated” on M0. On the M0 level, the “instantiated” and
applied MM characterizes a concrete enterprise. This can be done by the user (the
person who applies a constructed MM onto an enterprise).
Fig. 3. Schematic overview of a meta model for MMs (own illustration)
With a detailed meta model for MMs, different MMs can be regarded as instances
of it, leading to common semantics and syntaxes between those models. Only by
providing a unified meta model (“specification” in Fig. 3), that reveals concepts,
relations and entities, will the developer be able to develop a rigorous and logical MM
through instantiation (“structure” in Fig. 3). Our research can therefore contribute
fundamentally to the development of future staged MMs in all areas, as its structure on
the M1 level and its instantiation on the M0 level are directly interdependent and thus
decisive for the success or failure of a maturity measurement in a company.
However, compared to classical meta-modeling, where the M1 model concepts
serve as types for M0 level instances, here, the instantiation of M0 from M1 must be
interpreted differently. During assessment (the process that creates the M0 instances),
only some of the concepts from the M1 level are instantiated with “values” that
ultimately (typically by calculation) yield the resulting maturity level for the assessed
enterprise.
4 Meta Model Development and Concepts
The development of the Meta Model for Maturity Models (4M) was based on a study of
the most common and representative staged MMs. In order to elaborate sufficient meta
model elements that are valid for a broad class of staged MMs, an analysis of different
staged MMs, their development and their structure was conducted to summarize and
analyze existing concepts, their relationships as well as their multiplicities and
instantiations. As a result, universally applicable meta concepts were found and related
to each other. For that, we followed an opportunistic approach: we identified the
necessary meta model concepts (and their relations) by reduction and selection via
decision criteria based on the available content of the investigated MMs. The resulting
meta model in Fig. 4 and Table 1 show the M2 level structure as a conceptual and
formal description of an MM, whose instances (on M1 level) reflect the actual concepts
and interrelations within various staged MMs investigated in our study (see also
Sect. 5).
Fig. 4. Meta model for maturity models: 4M

344 K. Bley et al.
The staged structure of MMs is built on common assumptions, which influenced

the meta model’s design:
1. A maturity model is typically developed within a domain, as it represents a path of
growth for a specific field of interest.
2. An MM consists of several maturity levels (i.e., L1–L5), which have an ascending
order and are intended to represent the improvement path of an object’s ability.
3. The MM can (but does not have to) be divided into dimensions (i.e., D1–D5). These
dimensions divide the object of study into fields of interest, mostly depending on
the domain in which the model is applied. This subdivision serves the possibility of
an incremental measurement of maturity in a certain area.
4. Factors are properties of the maturity level and (if available) are grouped in
dimensions. There are two possible ways of maturity determination by factors:
a. In the first approach, the respective maturity level is specified by checking the
threshold of certain (related) factors that are applied. Due to the fact that a factor
could be used on several levels (however, with different values per level), the
factor specification, which assigns the concrete expected value of a factor per
maturity level, is used between both. Thus, e.g., level L1 could use factor f with
the factor specification fL1 while level L2 is still able to use f as well (then with its
own factor specification fL2). This is used to express evolving enterprise maturity
via growing requirements per level of the same factor.
b. Second, there is the possibility that the maturity level can be determined per
dimension instead of “requirements per level”. For this purpose, the factors need
to be assigned to the respective dimensions and calculated by using a dimension-
specific aggregation formula (e.g., sum, average, median). In contrast to the
approach (a), the dimensions do not use any threshold as intermediate value.
Thus, a factor can only be assigned to one dimension, and the dimension
maturity is calculated by its set of factors (and their current value). A factor
cannot be used twice, and the dimension maturity is always a representation of
the current state of the enterprise (within this dimension).
The MM can make use of both, several dimensions of maturity and an overall level
maturity since maturity levels and dimensions are modeled orthogonally in the meta
model. However, the specification of the maturity level is still mandatory.
5. Although a factor represents a measurable part of a maturity level and a dimension
within an MM, its value is still abstract and not directly transferable into an object
under study. This transfer is done by using indicators. Indicators are measurable
properties of one or more factors and are directly retrievable (measurable) for an
object under study. As a factor can have many indicators, and each indicator can be
relevant for multiple factors, the factors retrieve their values from their indicators by
using an indicator aggregation. This is a pure technical construct to allow the shared
usage of indicators by different factors. However, the aggregation functions (e.g.,
sum, average, median) are assigned to the factor to yield its value.
6. The indicator measurement is done on the basis of indicator types. This could be,
e.g., Likert, ordinal, or cardinal scales, counting or index values.
Table 1. Definition of the meta model’s concepts

Concept Definition
Maturity Model for the assessment of the relative fulfillment or ability (maturity) of
model an organizational in a domain; can be specified by dimensions and consists
of several maturity levels
Domain Field of interest on which the maturity model is developed
Dimension Subdivision of an organizational structure into areas of interest and results
from the context of a maturity model applied; can aggregate factors related
to it
Factor Property of the organization, which represents the object/area/process of
investigation; used by one or more maturity level and can be related to a
dimension within an organization
Factor Technical and foundational requirement construct for determining the
specification maturity level; acts as the maturity level’s individual expression of a factor
(needed due to multi-usage of factors)
Indicator Measurable property of one or more factors within an organization; uses an
indicator type for measurement
Indicator type Measuring method for determining of the value of the indicator
Maturity level Rank of the organizational maturity that results from factor evaluation by
using the factor specification (see 4.a) or aggregation of a dimension’s
related factors (see 4.b); subdivides the maturity model and represents a
relative degree of organizational ability/maturity
5 Meta Model Application and Discussion
The final meta model with its concepts can be used to develop the initial-staged MM.
The defined elements (concepts) and their relationships are regarded as best practices in
MM development and are practically needed concepts in order to build a functioning
staged MM. Although one could decide for several variations, the already discovered
concepts in the meta model are the sum of (extracted) expert knowledge from previous
MMs. Thus, the non-existence of any part of the meta model in an actual MM is neither
considered as an issue in the meta model nor is the MM regarded as incorrect. Rather,
the interpretation is that the actual MM lacks a feature that is typically used by other
MMs, and it could potentially be improved with such. Further, the relatively small
amount of meta concepts is not necessarily a drawback, since the meta model only
contains the most powerful concepts found. Despite the few concepts, it provides a
strong, defined, and universal framework for a whole class of staged MMs.
Table 2 summarizes an analysis of currently existing and applicable staged MMs
regarding the mapping between the developed meta model and the concepts used. The
selected MMs represent a sample from different domains, years, and development
approaches. The BPMM and CMMI are representatives of the most famous MMs
developed [14, 25]. Leyh et al. [26], Gökalp et al. [27], Schumacher et al. [28], and
Luftman [29] are representatives of scientific MM approaches from different years.
346 K. Bley et al.
Table 2. Comparison of existing MMs with the meta model concepts (■ concept defined;
concept mentioned; □ concept mentioned implicitly; – concept not available)
Meta model concept [25] [14] [26] [27] [28] [29]
Maturity model ■ ■ ■ ■ ■ ■
Domain ■ ■ ■ ■ ■ ■
Maturity level ■ ■ ■ ■ – ■
Dimension – ■ ■ ■ ■ ■
Factor ■ ■ □ ■ ■
Indicator ■ ■ – –
Indicator type □ □ – ■ ■
Factor specification – – ■ □ ■ –
From the analysis of existing MMs, we conclude that very few models have in-
depth explanations of all the concepts and relationships used. However, almost every
examined model fulfills common concepts like the MM’s name, the domain in which it
is located, as well as a description of its respective maturity levels (except one). The
concepts’ names “factor” and “indicator” are not used within the models. Although
[27] use the term “indicators”, the definition matches the 4M-concept of a factor. The
4M-concept of “indicator” is not further described in their model. In general, the low-
level concepts (like, e.g., indicator) are rarely specified, possibly due to abstraction
from the actual calculation of a maturity level. When it comes to the interpretation of
the examined concepts and relationships of factors, indicators, and requirements, no
MM can be regarded as an exact instantiation of our meta model, as not every concept
is present. There is often a lack of information in the available publications about
factors and indicators, which are subject to further calculations, or information on
which requirements can be used to derive the maturity level. The mere mentioning of
concepts allows conclusions to be drawn about the fact that the authors have basically
dealt with the respective concepts, but the relationships between them remain
undefined.
Possible, general reasons for this phenomenon could be the length of the publi-
cations in which the MMs are presented. Conference papers are often too short to
describe a comprehensive presentation of all underlying assumptions. Another reason
could be that papers do not describe MMs for application purposes, but rather focus on
their contribution. However, we do not consider existing staged MMs that do not match
the meta model as incorrect. The meta model, as a conceptual orientation, could help
other researchers or developers to understand and interpret the respective intention and
improves the developer’s cycle of MM development. We claim that this will help these
models to overcome their ivory tower. The rather few but strong concepts defined in the
meta model are a core skeleton of staged MMs that may lead both the development as
well as the understanding of MMs.
Although we have built our meta model on a broad analysis of existing models, our
research has limitations. Thus, our meta model approach is only valid for staged models
and therefore cannot explain other types of MMs (continuous or focus area MMs). In
addition, the meta model initially only considers the development cycle and must be
further developed for the application cycle. However, as [15] proposed, both cycles
should not be analyzed concurrently anyway, as they differ in their requirements. To
this point, we have been able to show with the current approach that the consistency
and concepts of existing MMs are often not entirely described in the development
cycle. It will be the focus of our future work to concentrate on the application cycle and
to compare concepts of assessment with provided concepts in existing MMs.
6 Conclusions
In this paper, a meta model for MMs was introduced, which can be used for a stan-
dardized and consistent development of MMs. The related concepts, elements, and
their relationships were explained and specified in detail. This was done by the analysis
of relevant literature that introduces staged MMs and by extracting their core concepts,
including their syntax and semantics. Further, the final 4M was evaluated against
several MMs from the research literature showing that the majority of MMs lack in the
exact specification of their elements and relationships. This uncertainty and divergence
in MM specifications often lead to inconsistent applications and implications derived
from their application. The presented 4M is therefore beneficial regarding consistent
MM development and comparison. The 4M, together with its defined concepts and
relationships, is a compact but powerful tool for MM developers for initial develop-
ment and evaluation of their work, as well as to be consistent with related work and the
staged MM semantics in general. However, the 4M only covers the structural part of an
instantiated MM. Consideration of the assessment part as an integrated aspect of the
4M would be valuable for the MM user. We therefore intend to develop the assessment
aspect in the next research step. Also, we do not claim completeness regarding the
concepts in the 4M since we only introduced the concepts that are used by many
different MMs. Additional concepts could be introduced; however, we strived for
simplicity and usability instead of a complex and over specified meta model. The 4M is
only applicable for staged MMs; thus, a meta model for other MM types (e.g., con-
tinuous MMs) has to be constructed separately.
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Towards a Strategic Model for Safeguarding
the Preservation of Business Value During
Human Interactions with Information Systems
Chris D. Grobler and Thomas M. van der Merwe(&)
School of Computing, University of South Africa, Science Campus,

28 Pioneer Avenue, Florida Park, Roodepoort 1709, South Africa
cdg.postman@outlook.com, vdmertm@unisa.ac.za
Abstract. This paper considers the dichotomy inherent in Information Systems

where its introduction, for the purposes of creating new or sustaining existing
business value, subsequently also inadvertently or deliberately dissipates value.
We investigate root people-induced causes, delineated within a rudimentary
Conceptual Technology Value Framework. To support a qualitative investiga-
tion, the framework is forthwith applied as the basis for a series of interviews
within a major South African financial institution operating within the disci-
plines of information technology, business operations and organisational
development. The constructs identified are discussed and find gestalt in an
Adjusted Technology Value Model which can be used to safeguard business
value against destructive HCI behaviors.
Keywords: Information systems Business value Value creation Value

Dissipation Human computer interaction
1 Introduction
A topic that has been debated for many years without a clear resolution is the dualistic
nature of an information system (IS) impacting on business value, where the adoption
and use of an IS in an organisation as an explicit value creator, also brings about the
destruction of business value [1]. In adopting a slightly dystopic view, our focus in this
paper is seated within the context of the potentially negative impact that end-users have
on organisations when discontinuing the use of a particular mandated IS [2], or making
misuse of information within an IS that is intended to drive value realisation [3, 4].
Of the numerous studies [e.g. 5, 6] that have placed specific focus on the interactive
relationships between humans and computers (HCI) and endeavoured to explain how
these relationships contribute positively towards organisational objectives, none have
attempted to expressly illuminate the phenomenon where human agents erode information
technology enabled benefits through the consumption of IS. Although the primary cause of
organisational value erosion was identified by several authors [e.g. 7, 8] to be the human
agent, again, none of these authors attempted to articulate the actual IS related behavioural
activities or actions executed by the human agent contributing directly to business or
organisational value erosion. This is the issue that this paper seeks to investigate.

https://doi.org/10.1007/978-3-030-44999-5_29
Towards a Strategic Model for Safeguarding the Preservation of Business Value 351
The primary research question this paper asks is: How can business value be
safeguarded against destructive HCI behaviors? The primary purpose is to build a value
framework from which an empirically-endorsed model can be constructed, and through
which the unintended business value dissipating effects on institutions, as a direct result
of end-user’s misuse of IS, may be investigated and moderated.
Three secondary objectives that dictate the structure of this paper are pursued: (1) to
review key characteristics from several germane models and theories relating to the
business impact of HCI that maps to, and refines, a rudimentary Conceptual Tech-
nology Value Framework (CTVF), (2) to apply the CTVF as a basis for a qualitative
investigation from which an Adjusted Technology Value Model (ATVM) may be
derived and contextualized, and (3) to present the ATVM as a first benchmark to
identify, investigate, mitigate and minimise or eliminate unintentional value destroying
effects.
2 Background
In construction of our CTVF, key characteristics from selected germane models and
theories relating to the negative business impact of HCI as they relate to our own
professional experiences as end-users and IS practitioners were considered. Here it is
noted that the relationship between IS use and performance is complex and therefore
invites multiple theoretical approaches. Our approach is mainly inductive i.e. the CTVF
we propose is not intended to be fully grounded in the literature. We simply chose to
follow a bottom-up approach while maintaining a minimum level of theoretical sen-
sitivity. An extensive review of the literature yielded the following three models that
contained elements of both HCI and delinquent employee behavior which in turn
provided the conceptual constructs framing the CTVF delineated in Fig. 1.
Task-Technology Fit (TTF): The model [9] asserts that for technology to have a
positive impact on a user’s performance, IS user utilisation is required, while an
alignment between the characteristics of the task that the user must perform, and the
technology needs to exist. In our view, the TTF supports a phenomenon where users
may unintentionally misuse an IS if some form of misalignment between the user,
enabling technology and the task that the user must perform, exists.
Lazy User Theory (LUT): The theory [10] moves from the premise that in fulfilling a
user need, he will be biased towards those solutions that are perceived as most suitable
and usable based on the lowest level of effort. The LUT presents a theoretical situation
where a user, partial to a legacy IS, will favour the use of said system above that of a
newly introduced system, thereby passively disusing the new system, regardless of its
utility.
Agency Theory (AT): When a self-interested (agent) individual is requested (by a
principal) to perform a specific task, he will be motivated by three different conditions:
He will perform the task because he is forced to, or he knows he must, or he wants to
[11]. AT potentially considers the phenomenon where a self-interested employee will
endeavour to actively abuse the company’s IS for personal gain, and/or, in extreme
352 C. D. Grobler and T. M. van der Merwe
cases, intentionally sabotage the assets of an organisation to achieve some self-

interested objective.
From the succinct review of the model/theories it is evident that the benefits
realisation of IS usage is fundamentally informed by the actions and behaviours of
individuals within the organisational context. Within the context of systems thinking,
the structure of a system is constituted by the systemic interrelationships between
feedback loops, concluding that said structure constitute the primary driver for a sys-
tem’s behaviour [12]. Within our CTVF, two feedback loops are proposed. The degree
of control loop attempts to control both quiescent and recalcitrant user behaviour
during system usage, while the degree of influence loop endeavours to influence user
beliefs, attitudes, and intention, towards correct and optimal system use.
Fig. 1. Conceptual technology value framework
In Fig. 1, moving from left to right, the CTVF constructs are described as follows:
behavioural beliefs, behavioural attitude and behavioural intention will be applied
as in the Wixom and Todd Research Model [13], the latter which ties constructs from
the user satisfaction and technology acceptance literature into a single research model.
Next, unintentional misuse and passive disuse are both assumed to possess quiescent
qualities. The unintentional misuse construct denotes actual behaviour where the user
is misapplying the system, either consciously or unconsciously, due to a lack of skill or
negligence. In contrast, passive disuse can be described as a user’s passive-aggressive
attitude towards having to use a system, causing the user to avoid interaction with said
system. The two recalcitrant value eroding behaviour constructs describe a more sin-
ister scenario. Active abuse encompasses situations where a user determinedly
employs the system for personal gain or to perform unauthorised transactions. Finally,
intentional sabotage designates the purposeful disruption or damage to a system by a
disgruntled user. The outcomes of each of the actual value eroding behaviour con-
structs is summated into the inherent value eroded determinate which is a precursor to
the mitigation gate. The latter mediates between the inherent value eroded and the
residual value eroded as it attempts to moderate undesirable actioned behaviour
through system controls and human influence. The final construct of residual value
eroded defines the latent value eroded after measures had been taken to reduce the
value erosive effects caused by system users.
3 Methodology and Results of Metadata Analysis
The data collection process comprised semi-structured interviews with a convenience

sample of 31 professional and experienced employees at a major South African
financial institution operating within the disciplines of information technology, busi-
ness operations and organisational development. Semi-structured interviews required
participants to deliberate on the CTVF constructs, their validity, significance, rankings,
interrelationship and impact management. A descriptive content analysis method [14]
was applied to extract themes and contradictions within the data.
Table 1 presents the results of our metadata analysis. It is evident that, on average,
the participants used phrases and terms specific to the four value-eroding behaviours
most, followed by the three Behavioural Constructs and the four factors comprising the
mitigation of value erosion. The concept of Value Dissipation also scored highly, as did
various behavioural relationships. Value Eroding Potential returned mid-range totals.
By and large, participants concurred with the statement that the introduction of IS may
not only create value for, but likewise inadvertently dissipate value from organisations.
Participants also consistently referred to value erosion as a by-product of value creation
especially within the areas of unintentional misuse and passive disuse.
Table 1. Most mentioned aspects by 31 participants
4 Findings
4.1 Behaviour Constructs Themes
Unintentional Misuse: Users may simply not be aware that they are engaging unin-
tentional misuse: “…if you don’t know what you’re doing is wrong, it means in your
mind what you’re doing is correct and it’s appropriate. So it goes hand in hand with
unintentional misuse”. (Participant 09). Unintentional misuse was extended to cases
where individuals do not make optimal use of a system e.g. front-line completing only
mandatory fields, with the role of management in correcting unintentional misuse
considered important.
Passive Disuse: Passive disuse is perceived to be destroying value: “…that destroys
value because, immediately what you have is, you have double work and you also have
something that you’ve paid for that’s not being used, so you’re effectively wasting a
license. So, that is definitely also dissipating value”. (Participant 05). A shared con-
sensus prevailed that passive disuse introduced numerous instances of complexity and
undesirable noise into the overall IS landscape with time pressure identified as a
contributing factor to users returning to familiar legacy systems. Individual passive
disuse is also viewed a precursor to team passive disuse, where individuals rationalise
improper behaviour and ultimately tend to share workarounds with their colleagues.
System controls and managerial superintendence were identified as the most effective
counter measures.
Active Abuse: Except for agreement on the pervasive nature of active abuse, partic-
ipants did not agree on the extent to which active abuse eroded business value. Active
abuse and intentional sabotage were perceived to be reinforcing constructs that: “…
feed each other”. (Participant 23). Some users may perceive themselves to be self-
appointed end-user testers of production systems, and through actions of unsolicited
active abuse create awareness of weaknesses and inefficiencies in a particular IS.
Intentional Sabotage: No evident pattern emerged. Despite the improbability of
intentional sabotage, many agreed that it could possibly cause the greatest harm. One
participant noted that a user’s deviant belief system developed: “…when people’s
behavioural beliefs don’t align with the values of the organisation”. (Participant 27).
Two participants highlighted the possibility that some users may be sabotaging systems
with good intent, i.e. to draw attention to problems embedded in systems.
Interrelationship Between the Four Constructs: While to most participants the
relationships between respectively the two quiescent behaviours and the two recalci-
trant behaviours were clear, not all agreed on the existence of potential relationships
crossing over between quiescent and recalcitrant constructs.
4.2 Mitigating Constructs Themes
Degree of Control: Participants described control measures as being useful in the

prevention, detection and correction of undesirable behaviour, but of little value in
addressing individuals’ beliefs, attitudes and intentions. Preventative controls were
perceived to be more desirous as well as managerial oversight and the examples they
set.
Degree of Influence: Of paramount importance, executive leadership should posi-
tively influence the moral values of employees, to cascade down to every end-user, and
which will marginalise individuals with corrupted belief systems, attitudinal problems
or malicious intention. “The technology is important but without the users to drive the
systems, and effectively leaders to guide the users, the unfortunate outcome would be a
failed IS”. (Interviewee 10).
5 Discussion and Adjusted Technology Value Model
While all the framework constructs were qualitatively endorsed, various arguments
exist for, and against relationships, or not. Comparing the CTVF (Fig. 1) to the pro-
posed ATVM (Fig. 2), it is evident that participants were not in agreement as to the
flow of the former, the most common view suggesting that while there appears to be a
tendency for Behavioural Beliefs and Behavioural Attitudes to display a closer rela-
tionship with the quiescent behaviours, and Behavioural Intention, in turn, to display a
closer relationship with the recalcitrant behaviours, ultimately, any one may function as
a precursor to any one of the four value eroding behaviours. Moving on to the rela-
tionships between the four value-eroding behaviours, several participants argued
against the existence of any kind of interrelationship between the constructs while
others provided unique examples of instances where a specific primary behaviour could
trigger a secondary behaviour.
Fig. 2. Adjusted technology value model
While all four the mitigating constructs were perceived to be valid, the two Degree
of Control constructs, were seen to be more effective in mitigating value eroding
behaviour, while the two Degree of Influence constructs were seen to be less effective
yet not as costly in the prevention of behaviours that destroyed business value.
The results from the primary research and ensuing ATVM are consistent with the
updated DeLone and McLean Model [15] in that both utilization and user attitudes
toward technology were shown to be important. The research also supported the
Intention to Use construct as it further elucidated the behavioural intent of end-users,
occasioning IS abuse. The research furthermore confirmed the problem of increased
organisational spent on IT with little realisation or insufficient justification on how, why
and when IS investments create business value [16, 17]. In a similar vein, the research
supported the literature by explicating the continued challenge that exists within
organisations to measure and communicate IT value, noting that while many IT metrics
measure performance, they do not measure actual value [18]. The investigation also
confirmed the contributions made by several authors maintaining that the primary
challenges experienced by technology driven organisations lied with the human ele-
ment [e.g. 7, 8].
In concluding, the ATVF provides a clear articulation of the actual IS related
behavioural activities or actions executed by the human agent contributing directly to
business or organisational value erosion and offers a model on how business value can
be safeguarded against destructive HCI behaviors. Future studies should focus on
refining and validating the proposed ATVM.
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How to Measure Digitalization? A Critical
Evaluation of Digital Maturity Models
Tristan Thordsen(&), Matthias Murawski, and Markus Bick
ESCP Business School Berlin, Berlin, Germany

{tthordsen,mmurawski,mbick}@escpeurope.eu
Abstract. To preserve competitive advantage in a more and more digitalized

environment, today’s organizations seek to assess their level of digital maturity.
Given this particular practical relevance, a plethora of digital maturity models,
designed to asses a company’s digital status quo, has emerged over the past few
years. Largely developed and published by practitioners, the academic value of
these models remains obviously unclear. To shed light on their value in a
broader sense, in this paper we critically evaluate 17 existing digital maturity
models – identified through a systematic literature search (2011–2019) – with
regard to their validity of measurement. We base our evaluation on established
academic criteria, such as generalizability or theory-based interpretation, that we
apply in a qualitative content analysis to these models. Our analysis shows that
most of the identified models do not conform to the established evaluation
criteria. Based on these insights, we derive a detailed research agenda and
suggest respective research questions and strategies.
Keywords: Digital maturity models Measurement Research agenda
1 Introduction
If we believe in the press, consultancies, and the majority of researchers, being ‘digital’
is paramount for companies to stay competitive in today’s business world. The goal is
to seize the opportunities of the ongoing digital transformation [1]. To evaluate the
status quo of a company’s digitalization and to provide guidance for future invest-
ments, latest IS literature has established the term digital maturity. Following Chanias
and Hess, digital maturity is “the status of a company’s digital transformation” – it
describes “what a company has already achieved with regard to transformation efforts”
[2]. Here, efforts include implemented changes from an operational point of view as
well as acquired capabilities regarding the mastering of the transformation process. In
this context, given the high practical relevance of the topic, a great variety of so-called
digital maturity models (DMMs) has emerged in the past few years. According to
Mettler [3] this trend will prevail as the demand for maturity models will further
increase.
Largely developed and published by consultancies in a practical setting, DMMs on
the one hand aim at measuring the current level of a company’s digitalization, on the
other hand at providing a model path to digital maturity. However, so far, due to their
practical nature and the lack of external quality assessments such as peer reviews, the

https://doi.org/10.1007/978-3-030-44999-5_30
How to Measure Digitalization? A Critical Evaluation 359
generalizability and consistency of DMMs remains largely unclear. The constant

publication of new maturity models for similar fields of application suggests a certain
arbitrariness and does not contribute to the clarification of this case.
An analysis of corresponding literature of this field shows that the academic
community also does not yet provide comprehensive answers to these questions.
Although there are scholars attempting to measure digitalization based on more con-
crete metrics (e.g. [4]), these metrics are however neither comprehensive nor
generalizable.
To provide not only practical but also substantial theoretical value, DMMs should
conform to several academic requirements such as a common understanding of their
underlying concepts. However, although the terms digital and digitalization of a
company exist for many years already, they still remain abstract. Related concepts are
context-dependent (e.g., society, company, individual) and vary according to the per-
spectives on the topic (e.g., human, process, technology). This lack of a common and
concrete definition leads to a certain ambiguityalready when it comes to the basic task
of DMMs: measuring a company’s level of digitalization. In this context, questions
arise such as:
What are relevant variables to measure digitalization? How can they be quantified?
How can a certain comparability between companies be ensured? How can we
investigate if a certain level of digitalization affects the performance of a company?
Unfortunately, the authors of existing models only rarely reveal their motivation
behind the procedures and results of their measurement [5].
Given their high practical relevance and popularity, we have set out to evaluate
existing DMMs with regard to their conformity to above mentioned quality standards
and thus theoretical value. Determining the status quo of digitalization is the main goal
of DMMs. Without such an assessment, DMMs cannot provide a comprehensive path
to higher levels of maturity. We thus focus in our analysis on the quality of mea-
surement of a company’s digitalization carried out by the single models. While doing
so, we follow the request for further scholarly inquiry on digital maturity, in order to
contribute to a more profound understanding of the ongoing sociotechnical phe-
nomenon of digital transformation [6]. Furthermore, this work is in line with existing
works who are calling for a deeper understanding, analysis and differentiation of IS
maturity models and their usefulness for practitioners [7, 8]. With our undertaking we
also answer the call to identify and remedy shortcomings of existing maturity models
[5]. The research question we have set out to answer is:
To what extent do DMMs respect quality standards in their measurement of a company’s
degree of digitalization?
To answer the research question, we have selected established measurement criteria

as basis for the evaluation of the DMMs [9]. In this paper, we will first provide a
definition and background information regarding DMMs. Then, we identify quality
criteria for the process of measurement and derive a catalogue of requirements from
established literature. Based on this catalogue, we will evaluate and compare relevant
DMMs identified through a systematic literature search. Finally, after a discussion of
this evaluation, we propose a research agenda to remedy shortcomings of existing
maturity models and provide guidance for future research.
360 T. Thordsen et al.
2 Theoretical Background
2.1 Digital Maturity Models
The term maturity can be defined as “the ability to respond to the environment in an
appropriate manner through management practices” [10]. According to Scott and Bruce
maturity with regards to an organization is a “reflection of the appropriateness of its
measurement and management practices in the context of its strategic objectives and in
response to environmental change” [11]. Rosemann and de Bruin describe maturity
more pragmatically as “a measure to evaluate the capabilities of an organization in
regard to a certain discipline” [12, p. 2]. Scholars agree that the organization’s reaction
to its external environment is generally learned rather than instinctive. However, the
maturity of an organization does not necessarily relate to its age.
The evaluation of a firm’s maturity marks one of the key points in the process of
achieving a higher level of organizational performance [11]. Defining and assessing the
maturity of different types of organizational resources allows organizations to evaluate
their capabilities with respect to different business areas. In this context, for example,
the maturity of certain organizational processes, objects or technologies can be the
focus of such a reflection. Based on this concept, maturity models are multistage
frameworks to describe a typical path in the development of organizational capabilities
[12]. Here, the different levels are conceptualized in terms of evolutionary stages [13].
Maturity models can be described as normative reference models. In general, they are
applied in organizations in order to assess the current status quo of a set of capabilities,
to derive measures for improvement and prioritize them accordingly [1]. Through a set
of benchmark variables and indicators for each stage, the matrix frameworks offer a
possibility to make the progress of an object of interest towards a desired state tangible
[14]. The relationship between maturity and organizational performance is properly
understood, e.g. higher maturity leads to higher performance [15].
Given the simplistic character of maturity models and their practical value, several
frameworks have emerged over the last decades across all disciplines [8]. Most
recently, in the context of digitization, researchers and practitioners have set out to
assess the digital maturity of organizations [2].
Despite their relevance and popularity in various management disciplines, the
development and application of maturity models still bears a number of shortcomings
[16]. The most prominent point of criticism concerns the poor theoretical basis and
empirical evidence of maturity models [17]. Furthermore, de Bruin et al. claim that
particularly limited documentation on the development of the maturity model may
contribute to the lack of validity and rigor [19]. In response, IS researchers have
increasingly set out to determine guidelines for the development of maturity models
that are intended to bolster more rigorous design processes [18]. However, regarding
the measurement procedures of maturity models, existing academic literature does not
yet provide specific quality criteria. In the following, we have thus set out to derive a
set of requirements for that purpose based on established literature in the field.
2.2 Criteria of a Valid Measurement Process

The procedure of measurement can be considered as one of the main components of the
research process itself [19]. Ferris provides a comprehensive definition of the term
measurement: “It is an empirical process, using an instrument, effecting a rigorous and
objective mapping of an observable into a category in a model of the observable that
meaningfully distinguishes the manifestation from other possible and distinguishable
manifestations [22, p. 101].”
The quality of measurement is determined by its validity. The concept of validity
refers to the substance, the proximity to the truth, of inferences made when justifying
and interpreting observed scores. The validity of measurement is evaluated through the
underlying assertions, building a complex net of arguments to back up the findings.
The judgement about validity is thus made based on so-called validity arguments [19].
According to the Standards for Educational and Psychological Testing “validity is the
most important consideration in test evaluation” [20]. However, Kane points out that
like many virtues, it is more honored than practised [24]. Therefore, Kane et al. have
developed a set of requirements designed to warrant a certain level of validity in
performance measurement [9].
The five requirements are: (1) Observation, (2) Generalizability, (3) Theory-based
Interpretation, (4) Exploration, and (5) Implication [9, 21, 22]. Brühl offers an updated
and comprehensive overview of these criteria. After having consulted additional lit-
erature in this field, as suggested by Becker et al. [4], we have chosen the five
guidelines defined by Kane et al. and Brühl as theoretical foundation and thus as the
basis for our argument [19, 25]. The requirements catalogue for a valid measurement
process in DMMs is the following:
Observation: This argument ensures that the measurement of a single indicator is in
line with the predefined measurement procedure [19]. In other words, this requirement
makes sure that on the one hand, the appropriate indicator for the subject matter is
measured and on the other hand, that it is measured correctly. In this context, the target
domain needs to be defined first. The target domain designates the full range of per-
formances actually observed and included in the interpretation. It differs from a wider
range of observations that is not subject to interpretation. A target’s expected score over
all possible performances in the target domain is defined as the target score.To
determine the target domain and lay the foundation for the target score, the definition of
the subject matter to be interpreted should be as specific as possible [9]. As we have
already pointed out, the target domain of interest with regard to a company’s digital-
ization tends to be very broad. Central points of evaluation for the DMMs derived from
the argument of observation here are thus:
• Definition of the phenomenon
• Definition of target domain
• Predefined measurement procedure to determine target scores.
Generalizability: This requirement constitutes in a statistical generalization.

Researchers conclude from the observed target score based on actual performance on
all expected scores of similar tasks of the target domain. In this context, it is assumed
that observed scores are “based on random or at least representative samples” [9]. It is
thus implied that a certain measurement is valid at any point of time; all context-
specific factors are abandoned [19]. For this procedure, the measurement needs to
involve a sample of performances from the target domain. Generalizability increases as
the sample of independent observations increases. Also, standardization of the
assessment procedure tends to improve the generalizability of the scores. This argu-
ment leads us to a set of two evaluation criteria for the DMMs:
• Measurement approach
• Sample size of independent observations
• Degree of standardization in the measurement procedure.
Theory-Based Interpretation: This argument stresses that measurement requires a

sound theoretical framework. This means that every single indicator should have a
‘theoretical’ connection to the overall construct [19]. Assumptions that are made need
to be backed up by corresponding theory. Given the practical setting the DMMs largely
stem from, we will focus in our evaluation on a single key point:
• Theoretical basis of the model/measurement procedure.
Extrapolation: This concept is important for scenarios in which the measured con-
struct is put into relation with other constructs [19]. An example here could be that the
level of digital maturity identified by the DMM is put in relation with the performance
or competitiveness of a company. In this context, especially the plausibility of infer-
ences is of importance to guarantee the validity of the measurement. With regards to
extrapolation we thus focus on:
• Assumed connections between maturity level and other constructs
• Plausibility of inferences to argument for such a relationship.
Implications: This criterion is relevant if decisions are to be made based on the

measured construct [19]. Here, again the transparency and plausibility of inferences
made to justify these decisions are key. A thorough chain of arguments is necessary to
back up the path from the initial status quo of digitalization that is measured towards
higher levels of digital maturity. For this argument, we thus focus on:
• Justification of steps on the path towards maturity.
With regards to the design of our evaluation and comparison of the DMMs we follow
Becker et al.’s established work in the field of IT maturity models [5]. We will take
these criteria as the basis for evaluating the DMMs identified through the next step (see
Sect. 3.2).
3 Research Design
3.1 Literature Review for Selecting Digital Maturity Models
Vom Brocke et al. state that the searching process of the literature review “must be
comprehensibly described” so that “readers can assess the exhaustiveness of the review
and other scholars can more confidently (re)use the results in their own research [23].”
In this context, researchers of the IS field suggest a systematic and structured way of
identifying and reviewing the literature [24].
We searched through a 8-year period (2011 to 2019) in ten leading IS journals, five
major IS conferences and two additional databases (Business Source Premier and
Google Scholar). The chosen timeframe appears to be especially relevant as in 2011 the
first so called DMM was published by a consultancy. The outlets and databases have
been selected based on the experience reported by [12] who have investigated existing
IS maturity models.
The search terms used in our systematic review were constructed based on the
PICO criteria (Population, Intervention, Comparison and Outcomes). These criteria are
usually applied as guidelines in the medical field to frame the research question by
identifying keywords and formulating search strings. Kitchenham and Charters deem
the PICO criteria as particularly suitable when conducting a systematic review in the
academic context of Information Systems [25]. In addition to deriving major search
terms through PICO, we identified synonyms and alternative spellings for these key-
words by consulting both experts and literature of this field [26]. As a result the
following keywords were compiled: “maturity model”, “stages of growth model”.
“stage model”, “change model”, “transformation model”, and “grid”. In addition, we
framed the literature search using “Information Technology” and “Digital*”. Lastly,
when constructing the search strings, we used both the Boolean AND and OR to on the
one hand link the major terms derived in the first step and on the other hand to
incorporate these synonyms and alternative spellings in our systematic literature search.
We first applied the search strings to the IS journals and conferences to check for the
accuracy of the search terms. As a result, we added “grid” as search term and applied
the search string to the electronic databases.
Table 1. Identified digital maturity models

ID Reference Name of DMM Year
1 [27] Industry digitization index 2011
2 [28] Digital transformation maturity 2011
3 [29] Digital maturity matrix 2012
4 [30] Status of digitalization 2013
5 [31] Digital quotient 2015
6 [32] Digital transformation index 2015
7 [33] Digitale reife 2016
8 [6] Stages in digital business transformation 2016
(continued)
ID Reference Name of DMM Year
9 [34] Digital maturity & transformation report 2016
10 [35] Digital maturity model 4.0 2016
11 [36] Digital maturity model for telecom 2016
12 [37] Industry 4.0 readiness 2017
13 [1] Digital maturity in traditional industries 2017
14 [38] Maturity assessment for industry 4.0 2018
15 [39] Digitalisierungsindex mittelstand 2018 2018
16 [40] Strategic factors enabling digital maturity 2019
17 [41] Maturity model of digital transformation 2019
3.2 Content Analysis Design

All selected DMMs (see Table 1) were subject to a content analysis. The overarching
objective was to identify whether they fulfill the quality criteria defined in Sect. 2.2.
We conducted a deductive category assignment in which we considered the corre-
sponding sub-dimensions and assigned one of the following “codes” (see Table 2): A
black (‘filled’) Harvey ball indicates that the respective sub-dimension is completely
fulfilled. A black white (‘partly filled’) Harvey ball means that the sub-dimension is
only fulfilled to some extent. A white (‘blank’) Harvey ball was assigned in case the
sub-dimension is not fulfilled at all or not applicable to the model.
For example (see Table 2): DMM 2 has provided a definition for “digital trans-
formation”, but not for “digital transformation maturity”. Therefore, the subdimension
1(a) Definition of the phenomenon has only partially been fulfilled and marked with
a black white Harvey ball.
Following established criteria of qualitative research, this procedure has been done
by two researchers independently. They agreed in 94% of the cases. Remaining cases
have been discussed among the authors until consensus was reached.
4 Findings
The findings of our analysis are summarized in Table 2. Only three of the 17 analyzed
models provide definitions for digital maturity. Five models omit giving any definition
of the concept of digital maturity itself or of related concepts such as digital trans-
formation or digitization. However, all of the models offer a number of different
dimensions to describe the target domain. Dimensions of the target domain are for
example: customer experience, operational processes, business models and digital
capabilities. Furthermore, the vast majority of the DMMs have a predefined mea-
surement approach as well as a fairly large sample. A large stake of the models does not
provide any information about the degree of standardization in the measurement
undertaken. Nine of the analyzed DMMs fail to provide a theoretical basis for their
work. In most cases, when assumptions with regards to connections between maturity
Table 2 Analysis of digital maturity models - overview
1. Observation 2. Generalizability
a) Definition of c) Predefined b) Sample size of

b) Definition of a) Measurement c) Degree of
ID the pheno-
target domain
measurement
approach
independent
standardization
menon procedure observations
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
3. Theory-based Peer
4. Extrapolation 5. Implications
Interpretation reviewed
a) Assumed b) Plausibility of
a) Justification of
a) Theoretical basis connections between inferences to published in a
ID of the model maturity level and argument for such
steps on the path
journal
towards maturity
other constructs relationship
1 No
2 No
3 No
4 No
5 No
6 No
7 No
8 Yes
9 No
10 No
11 Yes
12 No
13 Yes
14 Yes
15 No
16 Yes
17 Yes
levels and other constructs are made, these were not backed by plausible argumenta-
tion. Also, four of the models fail to justify the order of the consecutive steps towards
digital maturity. In total, six models are peer reviewed and published in academic
outlets.
5 Research Agenda
Based on our analysis, we suggest a first draft of a future research agenda for the field
of DMMs (see Table 3). The research agenda is the result of the discussion onour
findings and corresponding potential avenues for further research.
The main challenge researchers should focus on is developing precise conceptual
definitions of DMM-related terms. The current situation with multiple understandings
and definitions of the core terms hinders the development of a measurement model
[42]. Thus, scholars should put effort in defining digital maturity first. We consider this
conceptual work as the most important step for improving the research field around
DMMs as it lays the foundation for subsequent tasks. Particularly, definitions form the
core of theoretical frameworks [43] that have to be developed to increase the quality of
DMM research.
Having discussed required conceptual definitions and theoretical frameworks, we
can now take a closer look at the empirical aspects. Most existing DMMs are tested
through real data, but the quality of the methods and approaches applied largely differs
or cannot be evaluated at all. For example, in most of the analyzed papers, the data
collection procedure is not transparently explained. Thus, our first call with regardsto
empirical aspects is to increase transparency of both sampling and data collection.
Furthermore, depending on the focus of the model, it could be beneficial to concentrate
Table 3. Suggested research agenda

Category Selected research Proposed research
problems/questions strategies/methods
Definitions and How to define digital maturity? Conceptual research
measurement What are the dimensions of Content validity checks
procedure DM? (e.g., interviews)
How to design a measurement Construct development
procedure for DM?
Theoretical How to link/position DMM to Conceptual research
framework existing theories?
Is there a need for a new DMM Explorative (theory development)
theory? Grounded theory
How could such a theory look
like?
Empirical aspects How to ensure generalizability? Large data sets, cross-company
analysis (multiple case study
design)
Evolution of DM over time? Longitudinal studies
on specific data groups such as certain company sizes or certain cultures. The second
call concerns the methods applied to analyse the data. In most cases, DMMs can be
considered as quantitative in nature, which is particularly useful when the goal is for
example a comparison between different companies. However, a qualitative approach
could contributeto the measurement quality of a company’s digital maturity. Qualita-
tive research settings have proven to be especially useful in the process of DMM
development [6].
The scope of our suggested research agenda clearly shows that there is a number of
significant shortcomings with regards to the measurement validity of existing DMMs.
Correspondingly, the overall quality and theoretical value of DMMs is put to the test.
With our research agenda we contributeon atheoretical level by identifying and
remedying shortcomings of existing maturity models in the field of IS [5]. On a
practical level, we provide managers with a much needed critical evaluation of these
popular tools [8]. We acknowledge that due to the practical nature of DMMs, the
exhaustiveness of the literature review is questionable. Future research could thus
include a systematic literature review of additional practitioners’ outlets and search
terms to provide a more comprehensive overview. We hope that this research agenda
will inspire researchers to further investigate the topic of DMMs which will ultimately
lead to a higher practical and theoretical value of these useful models.
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(1989)
Business Process Re-engineering and Agile
Software Development: Applying
the Story-Card Method
Elijah Djan and Marné de Vries(&)

djanic327@gmail.com, Marne.devries@up.ac.za
Abstract. Enterprise designers need to continuously re-design their enterprise,

re-evaluating the technologies that are available to digitize their operations.
Although light-weight agile software development approaches are favored by
software development service providers, additional requirements elicitation
practices should be incorporated when scaling factors apply, since design team
members need to have a shared understanding of the operating context and high-
level requirements. Research indicated that the organization construction dia-
gram (OCD) could be useful to create a shared context for enterprise operation,
linking detailed functional requirements to this shared context during software
development. Although the OCD is concise, its associated concepts are abstract
and an additional story-card method (SCM) is needed to transform existing
enterprise implementations into an OCD. Since additional evaluation of the
SCM was required, this study focused on a real-world demonstration of the
SCM at a Fintech company where an agile software development approach is
applied. The results indicate that the SCM is useful when incorporated within an
agile software development approach.
Keywords: Enterprise engineering Story-card method DEMO Agile

software development
1 Introduction
Within a context of volatility, uncertainty, complexity and ambiguity, enterprise

designers need to continuously re-design the enterprise, re-evaluating the technologies
that are available to digitize their operations. In accordance with the agile paradigm for
information system design, enterprises need iterative design approaches to (re-)design
their systems incrementally [1]. During information systems design, agile methods and
practices may have to be tailored for contexts where scaling factors apply, especially
regarding the elicitation and management of requirements [2, 3].
Since additional requirements elicitation practices should be incorporated when
scaling factors apply [4], the organization construction diagram (OCD), associated
with the design and engineering methodology for organizations (DEMO), could be
used to represent a blue print of enterprise operation, creating a foundation for re-
quirements elicitation and tracking during information systems development [5].
Research indicated that an additional story-card method (SCM) was needed to
https://doi.org/10.1007/978-3-030-44999-5_31
Business Process Re-engineering and Agile Software Development 371
introduce the abstract OCD concepts to agile development stakeholders [5]. Although
previous research experimented with the SCM, the method was applied in isolation, i.e.
not within a real-world agile software development context. The main contribution of
this study is to demonstrate how the SCM is used within an agile software development
approach to solve existing deficiencies at a Fintech company.
Next, we briefly introduce the remaining sections of the article. Section 1 elabo-
rates on the OCD, SCM and other methods and practices that were used at the Fintech
company. Section 2 introduces Framework for Evaluation in Design Science (FEDS)
evaluation design process that guided further evaluation of the SCM within a real-
world context. In Sect. 3 we present a demonstration of the SCM and in Sect. 4 we
present solution implementation- and evaluation results. Finally, we discuss our find-
ings in Sect. 5 and conclude in Sect. 6.
1.1 The SCM to Compile an OCD

The SCM incorporates collaborative and easy-to-use technologies, i.e. sticky notes as
story cards to facilitate collaboration and transformation of existing enterprise
implementations (i.e. a concrete world) into more abstract (and concise) concepts of
the OCD [5]. The 5 inputs and 10 method steps of the SCM is useful to transform a
sub-set of implemented processes into a consolidated view of enterprise operations,
depicted by the OCD [5]. We briefly introduce the OCD, i.e. the main deliverable of the
SCM.
Dietz (in Perinforma [6]) acknowledges that a user’s needs for information system
support starts with an understanding of their day-to-day operations. He presents four
ontological aspect models that are coherent, comprehensive, consistent, and concise
and that are useful to represent the essence of enterprise operation [7]. The organi-
zation construction model (OCM) is the most essential model and consists of three
representations, the organization construction diagram (OCD) and the transaction
product table (TPT) and the bank content table (BCT) [6, 8].
The OCD provides a graphical representation of actor roles (implemented by
human beings) that are involved in a number of transactions. Each transaction is an
instance of a particular transaction kind (TK), and every TK incorporates a single
production act and multiple coordination acts. Dietz [6, 8] indicates that the coordi-
nation acts and production act are arranged according to a pattern, called the complete
transaction pattern. For every TK, two actor roles are involved, one is the initiating
actor role and the other one is the executing actor role. Although the executing actor
role is responsible to execute the production act, both actor roles perform several
coordination acts.
We explain some of these concepts, referring to the OCD that is depicted in Fig. 1.
Every OCD represents some essential operations for a particular scope-of-interest.
Figure 1 indicates that the benefits department was the scope-of-interest. Furthermore,
multiple actor roles may be involved (indicated as rectangles), acting as an initiator
(when linked to a solid line) or an executor (when linked to a solid line that ends in a
filled diamond). Actor roles interact with one another via several transaction kinds
(TKs). Figure 1 includes two TKs, namely T01 (claim evaluation) and T02 (claim
payment). The diamond-disc representation of the TK indicates that every TK consists
372 E. Djan and M. de Vries
of a production act/fact (represented by a diamond) and multiple coordination acts/facts

(represented by a disc). The actor roles are either classified as elementary or composite.
An elementary actor role (indicated by a white rectangle) is the executor of only one
TK, as exemplified by the evaluator in Fig. 1. A composite actor role, indicated by a
grey-shaded rectangle, is the executor of more than one TK. By default, actor roles that
are outside the scope-of-interest, are modelled as composite actor roles [6]. Therefore,
Fig. 1 indicates that the broker and finance department are composite actor roles. The
actor role within the scope-of-interest (i.e. the evaluator) may need to have access to
production facts and coordination facts that are produced outside the scope-of-interest.
Figure 1 indicates that the evaluator needs information access (indicated with a dotted
line) to an in-house software system facts, i.e. production and coordination facts that are
produced outside the scope-of-interest.
Fig. 1. An OCD for the benefits department
The OCD provides a consolidated view of enterprise operation. Every TK on the

OCD follows a transaction pattern. Figure 2 depicts the complete pattern of behavior
that exists between an initiator and an executor when they perform a TK. Thus, the
pattern depicted in Fig. 2 applies to T01 with the initiator being the broker and the
executor being the evaluator. Yet, the same pattern is also followed for T02 where the
initiator is the evaluator and the executor is the finance department.
Perinforma [6] indicates that a TK may be classified according to three categories.
A TK is original when the associated production act has the intent of creating an
original/new fact. A TK is classified as informational if its associated production act
merely recalls/interprets a previously-created original production facts. Lastly, a TK is
documental when the associated production fact simply
transmits/copies/retrieves/destroys the original fact. Usually, the OCD only represents
Fig. 2. The complete transaction pattern, from [8]
TKs that are of the original sort [6], hence extracting only the essence of enterprise
operation.
The OCD presented in Fig. 1 is the main deliverable of the SCM. Yet, the SCM
starts by identifying existing operational activities that are performed in a particular
sequence at an enterprise. Operational activities include TKs of all sorts, i.e. original,
informational and documental. The SCM facilitates the process of analyzing the
implemented operational activities, re-structuring operational knowledge into a con-
solidated OCD [5].
Once the SCM has been applied, every operational activity: (1) is traceable to a
particular TK on the OCD, and (2) can be considered for semi-automation, trans-
forming the activity into a user story [5].
A user story is a “general-purpose agile substitute for what traditionally has been
referred to as software requirements” [3]. The next section presents a template to
elaborate on the software requirements associated with a user story.
1.2 User Story Cards and the INSERT Criteria

Patel and Ramachandran [9] provided a template, called a user story card, that is based on
the INSERT validation criteria. The INSERT criteria ensures that every requirement is
Independent, Negotiable, Small-enough-to-fit-into-iteration; Estimable, Representative-
of-user-functionality and Testable. Applying the INSERT criteria, the analyst has to
complete ten fields per story card: (1) story card number, (2) project name, (3) estimation,
(4) story name, (5) date, (6) story, (7), acceptance test, (8) note, (9) risk, and (10) points to
consider [9]. Later, in Sect. 3.2, we also recommend that another field is added on the user
story card, tracing each user story back to a TK on the OCD.
The study applied the Framework for Evaluation in Design Science (FEDS) evaluation
design process [10], applying the four-step process as follows:
Explicate the Goals of the Evaluation: The main purpose of evaluating the SCM is to
determine how well it achieves its expected environmental utility, i.e. using the OCD
within an agile system development context within a scaled context to manage and
trace requirements.
Choose the Evaluation Strategy: In terms of the FEDS evaluation strategies, evalua-
tion of the SCM requires iterative episodes of formative evaluation that follows the
naturalistic paradigm, since the major risk of the SCM is social or user oriented.
According to [10] naturalistic evaluation explores the performance of a solution
technology in its real environment, e.g. within a real-world enterprise.
Determine the Properties to Evaluate: As stated in [5], the SCM’s utility could be
evaluated in terms of ability to address requirements elicitation criteria for agile
development within scaled contexts. One of the utility properties, is the usefulness of
the SCM within a real-world context.
Design the Individual Evaluation Episode(s): The first evaluation episode involved 21
participants to experiment with the SCM, providing survey feedback in terms of its
utility [5]. The positive feedback obtained in [5] gave the impetus to experiment further
on the usefulness of the SCM within a real-world agile software development context
as a second evaluation episode. The second evaluation episode was conducted and
presented in this article. We used user acceptance tests and structured interviews to
evaluate the usefulness of the SCM and to evaluate the newly-developed software
solution and its ability to address some of the deficiencies evident at the enterprise. In
addition, the participant-observer, experimenting with the SCM, provided some
reflections on using and extending the SCM.
Additional evaluation episodes are needed to experiment with the SCM within
different scaled agile contexts, as indicated in Sect. 6.
3 Story Card Method Demonstration
This section demonstrates the use of the SCM as part of a software development
project. Section 3.1 provides background on the company and its problem context.
Section 3.2 presents the agile software development approach that incorporated the
SCM during the early phases of development, whereas Sect. 3.3 presents an application
of the agile software development approach.
3.1 The Enterprise Context

A software development project was initiated by one of South Africa’s leading Fintech
companies of which the benefits department interacts with various brokers that claim
on behalf of claimants. The problem is that the benefits department used MS Excel to
track claim evaluations. Since employees used the desktop version of Excel, work-
sheets could not be accessed simultaneously by the employees and the worksheets
contained duplicate entry fields. Rapid growth in business created an urgency for
digitizing all manual operations, reducing the lead time for claim payments to bene-
ficiaries, and reducing the number of erroneous claim payments. Even though the
benefits department used MS Excel, other departments used an in-house system to
automate their processes.
3.2 The Adapted Agile Approach

One of the core values of agile software development indicates a preference for indi-
viduals and interactions over processes and tools [11]. Tools and techniques should
encourage customer collaboration, enable change, ensure working software and min-
imize the use of documentation [12]. Yet, minimal documentation often creates
problems in tracing requirements to their origin, especially when scaling factors apply
[13, 14].
The software development team, working at the Fintech company, already followed
an agile software development approach. An opportunity existed to experiment with
the SCM, incorporating it within the existing agile development approach, addressing
the deficiencies at the benefits department. Similar to the iterative and model-based
agile software development approach presented by [15], the software development
approach started with a scope definition, followed by two stages: (1) a combined
problem analysis, requirements analysis and decision analysis; and (2) multiple itera-
tions of design, construction & testing, review and delivery. The next section
demonstrates the adapted agile software development approach, elaborating on the first
stage, emphasizing the use of the SCM and user story cards.
3.3 Demonstrating the Adapted Agile Approach

This section elaborates on the problem analysis, requirements analysis and decision
analysis of the adapted agile software development approach that was used at the
Fintech company.
Problem Analysis Phase. Whetherby’s [15] PIECES framework was used to extract
information-system related deficiencies in terms of Performance, Information (and
Data), Economics, Control (and Security) and Efficiencies. Additional problem analysis
was also incorporated as part of the next phase.
Requirements Analysis phase. Identified deficiencies resulting from the PIECES
analysis, were converted into non-functional solution requirements. The functional
requirements were primarily derived via the SCM. The participant-observer applied the
10-step SCM (see [5]) to extract the existing operational activities from enterprise
participants. We shortly discuss an application of the 10-step method and also indicate
two extensions for Step 1 and Step 10.
• Step 1: Inquire from a colleague to explain a short process (about 10 to 15
activities) that s/he is involved with. Figure 3 illustrates the main output of Step 1.
The participant-observer extended this step, also mapping out the process repre-
sented in Fig. 3 to a business process model, using the Business Process Model and
Notation (BPMN) specification (see [16]). The extension allowed for critical
analysis of the existing process, highlighting inefficient interaction between par-
ticipants. Problem areas were identified, labelled (e.g. Problem A, Problem B) and
described.
• Step 2: Take a picture (photo) of the process. See Fig. 3.
• Step 3: Discuss with your colleague all the actors that are involved and write down
composite actors on yellow sticky notes, adding a smiley face, keeping actors aside.
The smiley face sticky notes are illustrated on Fig. 3.
• Step 4: Explain Dietz’s red-green-blue triangle of production acts, also explaining
the complete transaction pattern for actor-collaboration regarding production acts.
The participant observer briefly presented the concepts to the participants, only
explaining the red-green-blue triangle of production acts. The complete transaction
pattern was not explained, since it would be too time-consuming.
Fig. 3. Example of a process to demonstrate method Step 1 of the SCM

Fig. 4. An OCD with composite actor roles is the deliverables of the SCM
• Step 5: Have a discussion with your colleague as to identify original production

acts from his/her process (as mapped out with sticky notes in Step 1). The dis-
cussion and classification followed.
• Step 6: Classify (in collaboration with your colleague) remaining acts as coordi-
nation acts vs. production acts. Additional classification was performed.
• Step 7: Remove the original production act notes from the flat surface and phrase
appropriate transaction kind descriptions (using adjective + noun) on red sticky
notes that are positioned as diamonds on your A1 paper. Collapse initial pro-
duction act notes underneath re-phrased transaction kind notes. Figure 4 illustrates
the re-structuring of sticky notes according to the OCD-format.
• Step 8: The remaining activities on your working space should be coordination acts
or informational/documental production acts. Remove each of the remaining notes
on your working surface and collapse them underneath the appropriate re-phrased
transaction kind (red diamond notes) on your A1 paper. Figure 4 illustrates the re-
structuring of sticky notes according to the OCD-format.
• Step 9: Position the yellow actor role notes on the A1 paper, drawing in (with a
black pen) the initiator actors (+initiating links) as well as the executing actors
(+executing links) to the transaction kinds, completing a composite OCD. Figure 4

illustrates the re-structuring of sticky notes according to the OCD-format.
• Step 10: Validate your composite OCD with your colleague. Validation was per-
formed. The participant-observer extended this step, identifying those activities that
had to be automated, using a red dot as illustrated on Fig. 4. The TK with the most
red dots should be prioritized and had to form part of the same build cycle.
According to [5], the composite OCD, such as the one depicted in Fig. 4, needs
further tailoring as to ensure that composite actor roles that form part of the scope-of-
interest are converted into elementary actor roles. The final OCD was constructed and
is presented in Fig. 1.
Each of the activities, earmarked for automation, was converted into multiple user
story cards, adhering to the INSERT criteria and the user story card template presented
in Sect. 1.2. The participant-observer also added a field called traceability. Each story
card had to be traceable to a TK on the OCD (represented in Fig. 1). One of the user
story cards, depicted in Fig. 5, linked to a Problem A and linked to TK T01 (claim
evaluation) of Fig. 1.
Fig. 5. A user story card linked to TK T01
Decision Analysis Phase. During this phase, three alternative solutions were identi-
fied: (1) Extending the existing in-house software application to replace the existing
Excel sheets; (2) Using blockchain technology to create smart contracts to validate and
verify the details of the deceased and automate payment; and (3) Creating a web app to
replace the existing in-house software application that is currently used by the com-
pany. A feasibility analysis matrix, used in accordance with [15], indicated that the
urgency of a solution favored the first alternative.
4 Results
Since agile software development approaches value working software over compre-
hensive documentation [11], we had to ensure that the adapted agile approach produced
working software. Section 4.1 reports on the acceptance test results for four
implemented story cards. In addition, we wanted to reflect on the story-card-method

and its ease-of-use within a real-world project. Section 4.2 provides some reflections
on applying the SCM.
4.1 Acceptance Tests and Interview Results

As indicated in Sect. 3.2 the software development approach consisted of two stages.
The second stage consists of multiple iterations of design, construction & testing,
review and delivery. For the first iteration, four out of eight story cards were prioritized
and used to construct user interfaces. The newly-developed user-interfaces were
evaluated by four participants and acceptance tests were completed with positive
results. Participants also had to answer five interview questions in terms of a five-point
scale: strongly agree, agree, unsure, disagree and strongly disagree. Participants were
encouraged to qualify their response. The results are presented per interview question.
• Do you believe that the previous process had too many manual steps? Three
participants strongly agreed, while the fourth participant agreed.
• Has the new solution reduced manual steps by 50%? Two participants strongly
agreed, whereas the other two participants agreed. Participants commented that the
consolidation of data capturing on a single system and the use of auto-fill func-
tionality for certain fields drastically decreased the number of manual steps.
• Do you believe that the new process has reduced processing time of claims? All
participants strongly agreed.
• Is the new process better than the old process? Three participants strongly agreed,
while the fourth participant agreed. Participants valued the automatic calculation of
benefit amounts, replacing the manual entries.
• Has the use of Microsoft Excel been eradicated? Three participants strongly agreed,
while the fourth participant agreed.
4.2 Reflecting on the SCM

The participant-observer facilitated the SCM and provided some reflections in terms of
the 10-step method presented in Sect. 3.3:
• Steps 1 and 2: This step was easy to perform, since the participant-observer spent
ample time at the company to observe the process. A company participant (the
claim evaluator) confirmed the validity of the existing process as mapped out with
sticky notes.
• Step 3: This step was easy to perform and the company participant willingly pro-
vided inputs.
• Steps 4 to 7: The company participant was not so interested to participate during the
classification and re-structuring of activities, but preferred that the facilitator (i.e. the
participant-observer) performed these steps. Still, the participant validated the
classifications afterwards.
• Step 8: The participant-observer valued this step, since it allows for a consolidated
view of existing activities and a means to identify areas of improvement.
• Step 9: This step was easy to perform.
• Step 10: This step and its extension was easy to perform.
Although the participant-observer performed the SCM with ease, the company
participants had difficulty in understanding some of the concepts.
The demonstration of the SCM led to two further extensions. Step 1 was extended
representing the rudimentary sticky-note process flow with a process model according
to the BPMN specification, using swim lanes and pools to indicate existing work
allocation according to enterprise-specific roles. The extension also allowed for critical
analysis of the existing process, especially in terms of inefficient interaction between
company roles. The detailed process model helped to highlight problem areas that were
labelled (e.g. Problem A, Problem B) and described.
A second extension was applied in Step 10, namely to use red dots to earmark
story-cards for automation. The rationale is that story cards that belong to the same TK
and earmarked for automation, should also be built during the same build cycle.
5 Discussion
Enterprise designers need to continuously re-design their enterprise, re-evaluating the

technologies that are available to digitize their operations. Although light-weight agile
software development approaches are favored by software development service pro-
viders, additional requirements elicitation practices should be incorporated when
scaling factors apply, since design team members need to have a shared understanding
of the operating context and high-level requirements. Research indicated that OCD
could be useful to create a shared context for enterprise operation, linking detailed
functional requirements to this shared context during software development. Although
the OCD is concise, its associated concepts are abstract and an additional SCM is
needed to transform existing enterprise implementations into an OCD. Since additional
evaluation of the SCM was required, this study provided a real-world demonstration of
the SCM within an agile software development context.
The SCM was incorporated within an agile software development approach.
During its application, the enterprise designer (also the participant-observer) identified
the need to further extend Step 1 and Step 10 of the SCM.
Two different methods were used for evaluation. First, we evaluated the agile
software development approach, with the embedded SCM, to assess whether the
approach rendered working software. User acceptance tests indicated positive results.
We also used structured interviews, engaging with relevant participants at the benefits
department, to assess whether some of the previous information system deficiencies
have been addressed. Positive feedback was obtained.
The second evaluation method entailed some reflection on using the SCM. The
participant-observer indicated that the SCM was easy to use. Yet, he fast-tracked some
of the steps, reducing some of the explanations about OCD concepts. His reflections
emphasized the conditional use of the SCM, i.e. that the facilitator needs sufficient
knowledge on the theoretical concepts to provide additional explanations where
needed.
6 Conclusion and Future Research
The SCM was useful when incorporated within an agile software development
approach. Yet, as indicated by the demonstration and participant-observer’s feedback,
the method may need further adaptation (e.g. extending Step 1 and Step 10) to ensure
integration within an existing agile software development approach. In addition, the
enterprise designer that facilitates the SCM, may need to adapt the theoretical expla-
nations regarding OCD concepts, ensuring that participants will be able to validate the
final OCD.
Since the SCM was useful within a real-world context where an agile approach is
currently used, agile at scale projects, where different scaling factors apply should
further validate the usefulness of the SCM within the agile software development
context. The main deliverable of the SCM, the OCD, is useful to create a common
understanding of the essential operations at an enterprise. The implementation-free
OCD becomes the starting point for various different implementation options. Although
this study favored further development of the in-house information system, the OCD
can also be used as the starting point for implementing blockchain technology.
Acknowledgements. This work was demonstrated at a Fintech company. We are grateful for all
the assistance and feedback that we received from the company.
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The Zachman Framework for Enterprise
Architecture: An Explanatory IS Theory
Aurona Gerber1,2(&) , Pierre le Roux1, Carike Kearney1,

and Alta van der Merwe1
1
aurona.gerber@up.ac.za, pierre.leroux@moyoafrica.com
2
CAIR, Pretoria, South Africa
Abstract. Enterprise Architecture (EA) has had an interesting and often con-
troversial history since its inception in the late 80’s by pioneers such as John
Zachman. Zachman proposed the Zachman Framework for Enterprise Archi-
tecture (ZFEA), a descriptive, holistic representation of an enterprise for the
purposes of providing insights and understanding. Some scholars claim that EA
is an imperative to ensure successful business structures or business-IT align-
ment, or more recently with Enterprise Architecture Management (EAM), to
manage required organizational transformation. However, EA initiatives within
companies are often costly and the expected return on investment is not realized.
In fact, Gartner recently indicated in their 2018 Enterprise Architecture Hype
Cycle that EA is slowly emerging from the trough of disillusionment after nearly
a decade. In this paper we argue that the role and value of EA is often
misunderstood, and that EA, specifically the ZFEA for the purpose of this paper,
could be considered as a theory given the view of theory within Information
Systems (IS). The purpose of IS theories is to analyse, predict, explain and/or
prescribe and it could be argued that EA often conform to these purposes. Using
the taxonomy of theories as well as the structural components of theory within
IS as proposed by Gregor, we motivate that the ZFEA could be regarded as an
explanatory theory. Positioning ZFEA as IS explanatory theory provides insight
into the role and purpose of the ZFEA (and by extension EA), and could assist
researchers and practitioners with mediating the challenges experienced when
instituting EA and EAM initiatives within organizations.
Keywords: Zachman Framework for Enterprise Architecture Enterprise

Architecture IS theory Explanatory IS theory
1 Introduction
The initial idea to describe, understand, represent and design different dimensions of
the enterprise was developed simultaneously within different disciplines in the late
eighties. During this time John Zachman, often hailed as the father of EA, defined EA
as a set of descriptive representations relevant to the enterprise where an enterprise is
widely defined as any socio-technical organization [1, 2]. He furthermore proposed the
Zachman Framework for Enterprise Architecture (ZFEA) that he described as a logical,
comprehensive structure “for classifying and organizing the descriptive representations
https://doi.org/10.1007/978-3-030-44999-5_32
384 A. Gerber et al.
of an Enterprise that are significant to the management of the Enterprise as well as to

the development of the Enterprise’s systems, manual systems as well as automated
systems” [1].
Since this original establishment of EA in the late 80’s, EA has developed as a
comprehensive discipline receiving interest from researchers and practitioners. Several
frameworks were proposed, refined and implemented in practice [3–9], and scholarly
research investigated the nature and impact of EA [10–16]. Recent developments in the
broad domain of EA include Enterprise Architecture Management (EAM) that elevates
EA as a strategic business function rather than an IT function within organizations, and
recent research indicate that EAM may indeed assist with organizational agility and
transformation [17–21].
EA in strategic context is directed at the current and future purposes of the orga-
nization as well as to assist in reaching organisational goals and objectives, including
ensuring that the business with its technologies and resources are aligned [10, 22].
However, enterprises often experience challenges with the implementation of EA
initiatives and capabilities [23], resulting in sentiments documented mostly in popular
press, for instance stating that EA is dead [24, 25]. EA initiatives are often costly and
without the expected return on investment. Recent blog posts, for instance, claim that
several EA frameworks or tools, specifically the ZFEA, are fake tools without any real
value [26]. In their recent 2018 Enterprise Architecture Hype Cycle Gartner found that
EA is only now, after more than a decade, emerging from the trough of disillusionment
[27].
The authors acknowledge the criticisms, but in this paper we argue that the role and
value of EA is often misunderstood, and for the purposes of this paper, we argue that
EA, specifically the ZFEA, should be considered as a theory given the perspectives on
theory adopted within Information Systems (IS). EA is relevant for the IS domain as IS
is the discipline concerned with studying socio-technical systems, and the view of
theory within IS is therefore applicable to EA. Some of the views on IS theory include
“theory as statements that say how something should be done in practice” or “theory as
statements providing a lens for viewing or explaining the world”. The purpose of IS
theories is to analyse, predict, explain and/or prescribe and it could be argued that the
intent of EA often conforms to these purposes.
For this paper we focus on the ZFEA primarily and we support this selection by
analysing the foundational aspects of EA. We subsequently adopt the fundamental
view about the nature of theories within IS by Gregor. We adopted the taxonomy of
theories as well as the structural components of theory within IS as proposed by Gregor
[28] to analyse the ZFEA. The main research question answered by this study can be
stated as follows: Given the nature and structure of theories within IS, could the ZFEA
be considered as a theory? Similar to the method used by Gregor to evaluate five types
of theory in IS, we evaluate the ZFEA [28]. By establishing whether ZFEA, and by
extension, EA in general, could be regarded as IS theories, we believe that insight on
what function EA should fulfil, as well as the use and position of EA and its frame-
works and tools, specifically given the strategic developments such as EAM, could be
enhanced.
The remainder of this paper is structured as follows. In the next sections on related
work we provide overviews on EA, the ZFEA and IS theories. We then analyse the
The Zachman Framework for Enterprise Architecture: An Explanatory IS Theory 385
foundations of EA and motivate the choice of ZFEA for the purpose of this paper. We
subsequently analyse the ZFEA given the nature of IS theories (taxonomy and struc-
ture) by Gregor, and we finally conclude.
2 Background
Within this background section we provide a short introduction to EA as well as the

ZFEA, followed by the background necessary for IS theory as is relevant for this paper.
2.1 Enterprise Architecture

EA originally developed from the need to align the business and information tech-
nology aspects of the organisation with one another [12], but has since advanced to be
viewed from more than one perspective and for more than one application [10]. EA
developed from more than one discipline with differing terminology, seeking mostly
similar goals such as organisational alignment, integration, and ability to understand
and manage complexity and change [16, 29]. Several definitions for EA exist, such as
that EA is the continuous practice of describing the essential elements of a socio‐
technical organization, their relationships to each other and to the environment, in order
to understand complexity and manage change [30]. Urbaczewski and Mrdalj defined
EA as a description or blueprint that defines the day-to-day operation and structure of
an organization [3], and Zachman himself defined EA as a set of descriptive repre-
sentations relevant to the enterprise [31]. EA is directed at ensuring that the business
with its technologies and resources, as well as the current and future purposes of the
organization are aligned. Since its inception, several different EA frameworks were
developed from different perspectives and disciplines. Due to space limitations, we will
mostly focus on the ZFEA, however, several works on the history, evolution, purpose
of, and recent developments within EA are included as references [3, 12, 13, 16, 17,
32–38]. In Sect. 4 we analyse the grounding of the EA discipline to motivate the choice
of the ZFEA for this paper, and in the next section a short overview of ZFEA is
provided.
2.2 The Zachman Framework for Enterprise Architecture (ZFEA)

John Zachman is widely acknowledged as the father of EA [16, 39]. Borrowing from
the field of engineering, Zachman described how insight into different disciplines and
the manufacturing process contributed to the ZFEA [1, 40]. Zachman describes the
breakthrough that led to his now well-known ZFEA as the realisation of the existence
of different perspectives relevant to a product, which he then applied to an enterprise
[39]. The ZFEA was designed after observing that various engineered objects such as
computers, buildings and airplanes (the designed artefacts) can be classified according
to the fundamental abstractions or interrogatives namely What? How? Where? Who?
When? Why?, in columns (Table 1), as well as specific audience perspectives and
transformations in rows (Table 2) [1]. The ZFEA (Fig. 1), is therefore a 6 6 two-
dimensional classification schema for designing descriptive representations of the
enterprise. The ZFEA is also described as an enterprise ontology with no process or

tooling implications [41], or a meta-model of an enterprise represented in a matrix
comprised of columns and rows. Each intersection of a column and row provides a
unique representation or view of the enterprise [1].
Fig. 1. The Zachman Framework for Enterprise Architecture (ZFEA) (reproduced from [1])
Table 1. Summary of the ZFEA interrogatives (abstractions) [1].

Interrogative Description
(Columns)
What (Data) What information, business data and objects are involved?
How (Function) How does it work? (process flows)
Where (Network) Where are the components located? (network models/distribution
networks)
Who (People) Who are involved? (workflow models or responsibility assignments)
When (Time) When do things happen? (timing cycles)
Why (Motivation) What is the motivation? (business drivers, motivation intensions)
Table 2. Summary of the ZFEA perspectives [1].

Perspective (Rows) Description
Executive (Planner) Contextual View. Defines the limits for all remaining
perspectives
Business Manager or Conceptual View. This perspective is concerned with the business
CEO (Owner) itself
Architect (Designer) Physical View. The architect or person responsible for narrowing
the gap between what is required versus what is physically and
technically possible
Engineer (Builder) Represents the perspective of the enterprise engineers interested
in ‘building’ or designing the building blocks identified by the
architecture
Technician Represents the perspective of the business technicians such as the
database implementers and the workflow system implementers
User (Enterprise) Represents the perspective of the running/functioning enterprise
2.3 Information Systems Theory

In a seminal work on IS theory, Gregor investigated the nature of theory in Information
Systems both with regards to theory types and theory components [28]. Gregor
emphasized the importance of developing good theory and highlighted the limited
discussions regarding the nature of theory as well as the structural components of
different types of theories in IS. Theory allows for different perspectives and aims to
enhance our understanding of the world by providing explanations, descriptions, pre-
dictions and actionable guidance [28]. Gregor’s work is foundational for almost all
discussions about theory in IS [42–46].
Gregor identified some core aspects for developing and classifying IS theories [28]:
• Causality (cause and effect): Certain circumstances or events will have certain
outcomes. It might be required in some instances to determine the cause of an event
to provide an explanation. The same is true for predictions, insights into the cause
influences the prediction.
• Generalization: An aspect or characteristic can be applied across a range of specific
scenarios, places, people, etc. The degree of generalization determines different
viewpoints. Generalization applied to a focused area is required for prediction, as
without generalizations about the past or the present, a prediction about the future
state is difficult to make. Gregor did not use generalization for classifying theory
types.
• Prediction: Future occurrences are dependent on preconditions to realise.
• Explanation: Theory aimed at providing understanding on the how, why and when
of an occurrence relating to human reasoning and argumentation.
Gregor furthermore proposed a classification scheme or taxonomy of IS theory
types. The primary goal of a theory is directly related to a question or a problem that
need to be solved. Theories are developed for the purposes of analysis and description,
prediction, explanation and prescription, and these goals were used to produce a
Table 3. A taxonomy of theory types in information systems research (reproduced from [28])
Theory type Distinguishing attributes
I. Analysis Says what is: Focuses on analysis and description only. An
analysis theory does not include predictions, or indication of
causal relationships among occurrences/events/objects
II. Explanation Says what is, how, why, when and where: The main aim is one of
explanation and to provide understanding. The theory provides
explanations but does not aim to predict with any precision. The
theory is not testable
III. Prediction Says what is and what will be: The theory provides predictions
and has testable propositions but does not have well-developed
justificatory causal explanations
IV. Explanation and Says what is, how, why, when, where and what will be: Provides
Prediction (EP) predictions and has both testable propositions and causal
explanations
V. Design and action Says how to do something: The theory gives explicit
prescriptions (e.g. methods, techniques, principles of form and
function) for constructing an artefact or complex object
Table 4. Structural components of theory (reproduced from [28])

Theory components Definition
(Common to all theory)
Means of representation A physical representation of theory. This might include
mathematical terms, symbolic logic, tables, diagrams, graphs,
illustrations, models, prototypes
Constructs The focus point or object of the theory. All primary
constructs in the theory should be well defined. Many
different types of constructs are possible e.g. observational
(real) terms, theoretical (nominal) terms and collective terms
Statements of relationship The nature of the relationship among the constructs depends
on the purpose of the theory. Types of relationships:
associative, conditional, compositional, unidirectional,
bidirectional or causal
Scope The scope is specified by the degree of generality of the
statements of relationships and statements of boundaries
showing the limits of generalization
Theory components Definition
(Contingent on theory type)
Causal explanations The theory gives statements of relationships among
occurrences/events/objects that show causal reasoning (not
covering law or probabilistic reasoning alone)
Testable propositions Relationships between objects/events (constructs) can be
(hypotheses) tested by means of observation or experience
Prescriptive statements The theory provides a method or guidance on how to
accomplish something in practice e.g. construct a complex
object or develop a strategy
taxonomy of theory types in IS (Table 3) as well as the components of a IS theory

(Table 4) [28]. Gregor furthermore classified five different IS theories according to the
taxonomy and structural components [28], and for this paper, we adopt the method
used by Gregor to evaluate the ZFEA as will be discussed in Sect. 4.
3 Motivation for Using the ZFEA
In this section we motivate the selection to use the ZFEA in this paper as representative
of EA in general. An understanding of the origins and the thinking underpinning EA
has relevance for this paper as it provides the foundation for EA concepts and
frameworks, and provides the motivation for using the ZFEA as representative of the
structural and ontological aspects of EA in general. Le Roux [47] adopted the approach
of Baskerville and Dulipovici [48] to investigate the theoretical grounding of EA, and
indicated that the theoretical base for EA emerged from more than one field. The results
of this analysis are summarised in Table 5. These results support the legitimacy of the
discipline and support the use of EA as a theoretical base. If the ZFEA is a repre-
sentative of this theoretical underpinning, we could motivate the use of the ZFEA for
this paper.
Table 5. Summary of works relating to EA origins and their basis of argument

Author Basis from which the underlying business problems of alignment, control,
efficiency and management of change are addressed
Taylor [49] The business system would have to be placed before the individual, and that
scientific management was needed to ensure this is possible. Efficiency
through interaction of individuals. Organisation as a holistic entity. Holistic
system before the individual
Shewhart From industrial engineering emphasized organizational control to enable
[50] adaption. Past experience and process
Forrester Motivate an underlying base to understand the business system as a whole for
[51] organizational management. Discuss the elements of the organisation and
interactions between elements
Drucker [52] Business management motivation that argue for system as a whole broken
into elements, as well as the interactions between elements
Blumenthal Holistic systems planning to adapt to change, focus on IT systems within
[53] organisations. Underlying elements and interaction between elements is an
enablement factor. Proposed a framework for planning
Helfert [54] Financial management perspective emphasizes resource flows with a holistic
platform/system from which to understand flows. The organisation is the
complete set of individual resource flows
Anthony A business system consists of diverse individual parts that all contribute to or
[55] serve a specific purpose. Framework to understand organisational concepts
and their contribution
Senge [56] Emphasizes the system as a whole, with 5 elements of technology that are
interdependent, and the interrelationships of system elements. Acknowledged
by Zachman
As indicated in Table 5, systems theory and systems thinking underpin much of the
theoretical base of EA. Systems thinking supports a way of thinking about the
organisation as a whole while also considering system parts with their interactions [56,
57]. Systems theory provides a theoretical base from which to model the complete
organisation as well as elements and interrelationships between elements [16]. The
underpinning of systems thinking is furthermore distinguishable in EA in general as
published by Lapalme [10], Simon et al. [16] and others [3, 38, 39].
As stated, the ZFEA is one of the original EA frameworks developed by Zachman
in the late 80’s [2] with origins in engineering, specifically systems thinking and
systems theory [10, 16]. Given the theoretical groundings of EA, specifically the
adoption of systems theory and systems thinking as established by le Roux [47] in
Table 5, we could motivate that the ZFEA, which is fundamentally based on systems
thinking, is in general representative of EA for the purpose of the investigation reported
on in this paper.
4 The ZFEA as IS Theory
For the purposes of this paper, the ZFEA is mapped to Gregor’s theory taxonomy as
well as the structural components of theory to determine if the framework can serve as
an IS theory. The first step is to classify the ZFEA as one of the theory types in the
theory taxonomy of Table 3. According to Gregor it is required to look at the primary
goals of the theory in order to classify it [28]. The ZFEA is a structural representation
or an ontology of an organization and all its elements with their relationships that is
descriptive in nature. The ZFEA is directed at providing understanding and insight [58]
with no process or tooling specifications [41]. It is depicted as a 6 6 two dimensional
schema.
In the descriptions of Gregor’s theory types taxonomy the last theory type (Type V
Theory (design and action)) say ‘how to do something’ and the one thing the ZFEA
does not do, is to specify a process and modelling approach clearly. This is one of the
biggest criticisms against the ZFEA, and the ZFEA is therefore not a Type V Theory.
The descriptions of Gregor’s first four theory types all specify that the theory
specify ‘What is’ so in order to be one of the first four theory types, the ZFEA need to
conform to this characteristic [28]. Zachman claimed the ZFEA is ‘The Enterprise
Ontology’ or ‘a theory of the existence of a structured set of essential components of an
object for which explicit expressions is necessary and perhaps even mandatory for
creating, operating, and changing the object (the object being an Enterprise, a
department, a value chain, a “sliver,” a solution, a project, an airplane, a building, a
product, a profession or whatever or whatever)’. According to Zachman, the archi-
tecture built using the ZFEA schema would necessarily constitute the total set of
descriptive representations that are relevant for describing the enterprise [1, 31]. From
these descriptions it can be argued that the ZFEA’s intent is clearly one of describing
‘What is’, so it is one of the first four theory types. We now need to determine which
one.
The ZFEA does extend beyond ‘analysis and description’ (Type I Theory) by
providing explanations (i.e. ‘say what is, how, why when and where’), but the ZFEA
does not aim to predict with precision, which is typical of a Type II Theory. The ZFEA
furthermore does not say ‘what is and what will be’ and neither does the ZFEA have
testable propositions (characteristics of a Type III Theory). The ZFEA aims to support
causal explanation but does not pose direct quantitative causal explanations (the nature
of Type IV Theories). From the above we could therefore argue that the ZFEA’s goal
and intent matches that of a Type II or Explanatory Theory that ‘says what is, how,
why, when and where’. A Type II Theory furthermore ‘provides explanation, but does
not aim to predict with any precision. There are no testable propositions’.
According to Gregor’s taxonomy descriptions, the ZFEA can be regarded as an
explanatory theory since the primary goals of the ZFEA conforms to those of an
explanatory theory as discussed above. The next step is to analyse whether it is possible
to identify the theory components of an IS theory depicted in Table 4 as is done by
Gregor for the classification of theory types [28]. We followed the exact method of
Gregor and this analysis is presented in Table 6.
Table 6. ZFEA and the theory components of Gregor [28].

Theory overview
The ZFEA is an ontology, a 6 6 two-dimensional schema and a structure that is descriptive
in nature. The architecture of a specific enterprise that was developed using the ZFEA schema
or ontology would necessarily constitute the total set of descriptive representations that are
relevant for describing the enterprise
Theory component Instantiation: ZFEA
Means of representation Conforms: Words, tables, diagrams, the ZFEA is a 6 6 matrix
consisting of a diagram and tables with accompanying
descriptions
Primary constructs Conforms: The complex object is the enterprise with its strategy,
technology, processes, people, roles, etc. A holistic view is
displayed. Objects are viewed from different perspectives and
interrogative abstractions
Statements of Conforms: Relationships between the audience perspectives and
relationship interrogative abstractions are specified as transformations, and
within each cell primitives have predefined relationships.
Relationships in the ZFEA (and EA in general) are very
comprehensive i.e. dependent, associated, linked, bi-directional or
multi-directional, etc.
Scope Conforms: The scope is specified by the degree of generality of
the statements of relationships. The ZFEA is a general schema
that aims to provide a holistic view of any enterprise or engineered
(complex) object and a very high level of generality is proposed.
Generalization was part of the ZFEA development as the schema
is derived from observing many different objects and industries
Causal explanations Conforms: The ZFEA attempts to give statements of relationships
among phenomena (represented by the rows and columns in the
matrix). The ZFEA aims to support causal explanations
(continued)
Theory component Instantiation: ZFEA
Testable propositions Does not conform: Statements of relationships between constructs
(hypotheses) that are stated in such a form that they can be tested empirically
are not present. Zachman states that the model should not be
applied deterministically but that it is an ontology that is
repeatable and testable (such as the periodic table), however, there
is not yet evidence of the ZFEA being implemented in such a way.
An explanatory theory typically do not conform to this component
Prescriptive statements Does not conform: Statements in the theory specify how people
can accomplish something in practice (e.g., construct an artefact or
develop a strategy). This is somewhat supported by the ZFEA as
the purpose of the ZFEA is to model an enterprise by using the
interrogatives and perspectives, however, detailed process or
method is not supported. An explanatory theory typically do not
conform to this component
Given the results of the analyses, the conclusion can be made that the ZFEA could
be regarded as an explanatory theory. An explanatory theory aims to provide an
understanding on how, when and why an occurrence took place based on causality and
argumentation. The ZFEA is aligned as its intent is to provide insights into the how,
when and why of an enterprise. The ZFEA is represented in the form of a framework in
order to provide a holistic view, but at the same time provides insights given specific
perspectives. Each row, column and cell in the architecture is impacted by another e.g.
the technology supports the business processes, the business processes the applications
and the applications the strategy. Changes in any model will have an effect on the other
models. Changes in strategy (cause) for example, will have an impact (effect) on the
rest of the enterprise. All components form part of the whole to provide context. The
scope is defined by the subset or component being designed. The ZFEA is described as
an ontology and a structural schema that aims to be a repeatable and testable
description of an enterprise. It can be argued that the main goals of the ZFEA is aligned
to the goals of an explanatory theory since both aim to provide insight, understanding
and causal explanations, as well as indicate relationships among components.
5 Conclusion
In this paper we motivate that the ZFEA could be regarded as an explanatory IS theory
given the nature of theory in IS as proposed by Gregor [28]. The paper firstly discussed
the need for EA and how the need for a descriptive representation of an enterprise
stems from multiple disciplines. Based on the origins of EA, it is clear that EA was
initially developed for the purpose of fulfilling the strategic need for a holistic repre-
sentation of an enterprise that can be used as a common guideline to understand and
compare organizations. The paper addressed certain criticisms pertaining to the origins,
purpose and functionality of EA. EA, specifically the ZFEA, is often misunderstood, as
it is not a methodology and does not provide steps on the implementation of an
architecture.
Many different Enterprise Architecture Frameworks (EAF) addressing different
business needs are available for use today, but for the purposes of this paper the
framework of choice was the ZFEA. The ZFEA is an ontology and a two-dimensional
schema aimed at providing a descriptive representation of a complex object [31]. As
mentioned, the ZFEA’s primary purpose is to provide a holistic understanding, thus
supporting the argument of ZFEA serving as an explanatory IS theory.
ZFEA as explanatory theory provides a fresh perspective on how EA can be
viewed, not as a methodology, but as a theory providing a lens for viewing or
explaining an enterprise. As stated by Gregor, ‘theory allows for different perspectives
and aims to enhance our understanding of the world by providing explanations,
descriptions, predictions and actionable guidance’. Positioning the ZFEA as IS theory
provides insight into the role and purpose of EA and could assist researchers and
practitioners with addressing challenges experienced when instituting EA and EAM
initiatives within organizations. EA as an explanatory IS theory for organisations also
present a new platform, context and therefore perspective, for focussed strategic
organisational research. Further research would extend the analysis of EA as IS theory
to other frameworks, as well as explore the implications when using EA as theory. We
furthermore want to investigate whether the ZFEA as meta-ontology for enterprises,
may be considered as a meta-theory for organisational research.
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A Scoping Review of the Application
of the Task-Technology Fit Theory
Ruan Spies1(&) , Sara Grobbelaar2 , and Adele Botha3

1
Department of Industrial Engineering, Stellenbosch University, Stellenbosch,
South Africa
19008953@sun.ac.za
2
Department of Industrial Engineering AND DST-NRF CoE in Scientometrics
and Science, Technology and Innovation Policy (sciSTIP), Stellenbosch
University, Stellenbosch, South Africa
3
School of Computing, CSIR Meraka & UNISA, Pretoria, South Africa
Abstract. The Task-Technology Fit (TTF) theory provides a means of quan-

tifying the effectiveness of technology in a system by assessing the relationship
between the technology and the tasks the technology aims to support. The
theory is widely recognized and has been applied in various ways, but little work
has been done to summarize and synthesize the application of TTF in literature.
The aim of this study is to identify and summarize the focus areas of studies that
applied TTF, the environment in which it was applied, and the technologies
which were considered by conducting a scoping review. It was found that
applied studies focused primarily on generating theory or assessing certain real-
world phenomena; was applied in a wide range of environments with the
majority being in healthcare; and considered various technologies, with an
increasing number of studies focusing on mobile technology. The findings of
this study contribute to the understanding of TTF applications and assists in
framing future research to further analyze TTF studies.
Keywords: Task-technology fit Information technology
1 Introduction
Technology has become a fundamental aspect of our society and is embedded into
everyday life. The way individuals and organizations work and think continues to be
shaped by, and shape, various technologies [1]. In an organization, technology is
typically applied to generate value by improving or supporting individual and collec-
tive tasks but do require a lot of resources for the acquisition, implementation and
usage of the various technologies. Therefore, a common question is how much value
the technology creates for an organization [2].
Due to the complexity of the interactions between factors such as the technology,
users, systems, tasks and process it is extremely difficult to directly measure the value
that technology creates in a system [1, 3]. Alternative measures have therefore been
proposed to quantify the impact of technology. One such measure, widely accepted in

https://doi.org/10.1007/978-3-030-44999-5_33
398 R. Spies et al.
Information System (IS) research [4], is the Task-Technology Fit (TTF) theory which
has been suggested to be “one of the most important developments in information
system theory” [5]. TTF provides a means to quantify the effectiveness of technology
in an organizations [6]. In 2012, Furneaux [7] identified the “notable increase in the
use of TTF theory”. This trend has continued over the years, with both an increase in
the yearly number of documents published as well as in the range of environments
which the theory is used, as discussed in this paper.
Despite the wide use of the theory, only two publications by Cane and McCarthy
[8] and the work by Furneaux [7] was found that summarizes and synthesizes TTF
related studies. The article by Cane and McCarthy [8] is limited to a small number of
studies, all of which were conducted before 2006, and only considered how the studies
defined TTF and its surrounding components. Furneaux [7] considered a much larger
sample of studies where TTF was used, all of which were conducted before 2010, to
synthesize the conceptualization, methodologies and research contexts. Where both of
the former studies focused primarily on how TTF was applied, this study is concerned
with why, where and on what TTF was applied.
The aim of this paper is to conduct a scoping review (SR) aims to explore the
application of the Task-technology fit theory by (1) identifying the scope and range of
the available literature that applies the specific components of TTF; and (2) summa-
rizing and disseminating the research findings, specifically, (a) the purpose of applying
TTF, (b) the environments where TTF has been applied, (c) the technologies that TTF
has been applied on. Based on these objectives, the research questions to be answered
in this paper are: (1) What are the intentions for applying TTF? (2) Which environ-
ments has TTF been applied in? (3) What technologies has TTF been applied on?
2 Conceptualization of Task-Technology Fit
In this section, the TTF model, proposed in the seminal article by Goodhue and
Thompson [3], is discussed. Goodhue and Thompson [3] states, “Models are ways to
structure what we know about reality, to clarify understandings, and to communicate
those understandings to others. Once articulated and shared, a model can guide
thinking in productive ways, but it can also constrain our thinking into channels
consistent with the model, blocking us from seeing part of what is happening in the
domain we have modeled.”
The basic TTF model, depicted in Fig. 1, therefore provides a lens of technology
usage and the value that it creates [3]. In a setting where technology is used by
individual’s to perform certain tasks, or sets of tasks, the model’s premise is that the
value/performance of technology is created by the alignment, or fit, of the task
requirements and the technology characteristics that allow a user to perform the tasks
[6, 9].
Tasks refer to the totality of physical and/or cognitive actions and processes done
by individuals in a given environment. Task characteristics are considered specifically
in relation to the technology that supports the tasks and are broken down to different
levels of detail, depending on the complexity of the tasks performed [3, 10].
A Scoping Review of the Application of the Task-Technology Fit Theory 399
Task
Characteristics Task-
Performance
Technology
Impacts
Technology Fit
Characteristics
Fig. 1. Basic task-technology fit model
Applying the TTF theory in different environments will result in different specific
task characteristics. However, in literature, the process followed to identify the task
characteristics are similar and typically involve analyzing the tasks performed in an
environment and creating various task categories and subcategories that can be related
to TTF [4, 6, 11–13].
Technology is defined as the tools that are used by individuals to execute, or assist
in executing, their tasks [3, 10, 14]. Similar to the discussion of task characteristics,
different technologies will have different characteristics which are defined by the
researcher with consideration to the environment which it used in and the tasks it aims
to support [15].
TTF is defined as the extent to which a technology assists an individual in per-
forming his or her tasks [3, 10, 14, 16–18] and is consequently affected by the inter-
action between the characteristics of the task and the functionalities of the technology
[4]. Typical dimensions that are considered when measuring fit, as defined by Goodhue
and Thompson [3], are data quality, data locatability, authorization to access data, data
compatibility, ease of use/training, production timeliness, systems reliability, infor-
mation system relationship with users.
The purpose of the study by Goodhue and Thompson [3] was to show that a
positive impact of technology requires a good TTF. Thus, when technology fits the task
characteristics it aims to support, it should result in improved performance [9]. The
improved performance is typically due to the smooth execution of the task, reducing
the cost of performing the task, or making the task easier to accomplish [4].
3 Methodology
In 2005, Arksey and O’Malley [19] published the influential article in which it was
discussed that there exists ambiguity in the “plethora of terminology” which is used to
describe various reviews of literature. The article makes the case that literature review
methodologies provide a set of tools which may be used by researchers and that there
does not exist an “ideal type” of literature review.
The article argues for SRs to be used to develop an overview of domain knowledge.
This is achieved by identifying the quantity of literature and analyzing key features of
the literature which differs slightly from traditional systematic reviews which aim to
comprehensively synthesize literature. The SR does however follow a similar
methodological approach as traditional systematic reviews and can also be considered
400 R. Spies et al.
to be replicable and reliable. These features of the SR make it a suitable methodology

to answer this study’s research questions.
The SR conducted in this study follows the first five stages of the methodology
proposed by Arksey and O’Malley [19], namely, to (1) identify the research question;
(2) identify relevant studies; (3) select studies; (4) chart the data; (5) collate, summarize
and report the results.
The first stage is completed in the Sect. 1 of this study and stages 2–5 are discussed
in the following sections and subsections.
3.1 Search Strategy

To identify relevant studies that can be used to answer the research questions, a search
was conducted on the Scopus research database. Scopus was chosen due to the large
number of indexed journals covering a wide range of disciplines. Relevant studies were
considered articles published in peer-reviewed journals that apply the TTF theory as
part of the primary aim of the study and includes any studies that summarizes work
done. In literature, it was found that the term application, in relation to TTF, is used in
a broad manner, extending to the use of smaller concepts, adaptations and findings of
TTF as part of the studies. In this paper, application (of TTF) is used in a specified
manner, to only consider where TTF is used as conceptualized in Sect. 2.
An exploratory search was conducted with the terms “Task-technology fit” OR
“technology-to-performance”. The titles and abstracts of the top ten cited articles and
top ten most recent articles were examined to identify relevant keywords to be included
to ensure the comprehensiveness of the search. Variations of the terms evaluate, apply,
diagnose and assess were found to be relevant and included in the search. The search
was conducted on 04 October 2019 with the search criteria including the terms (“Task-
technology fit” OR “technology-to-performance”) AND (evaluat* OR appl* OR
diagnos* OR assess*), limited to journal articles, which yielded 173 results.
Various measures were taken to ensure that all influential articles were included in
the study. Bibliometrix, an R-tool for comprehensive science mapping analysis [20],
was used to analyze the most cited articles out of the local 173 results, resulting in one
article being added. The tool was also used to determine the top locally cited authors.
A further search was done on Scopus and ResearchGate to determine whether any
further important studies has been published by these authors, resulting in two articles
being added. As a final measure, as full-text articles were screened, a list was compiled
of the literature each study used as a theoretical foundation. All of the items on the list
were however already included and therefore no further studies were added.
3.2 Study Selection

The research questions were used to define the inclusion criteria, and inversely the
exclusion criteria, as shown in Table 1. As discussed in the previous section, a large
number of studies uses certain concepts of TTF without discussing or applying the
theory as conceptualized in Sect. 2, the three exclusion criteria was aimed to specifi-
cally eliminate these articles.
The titles and abstracts of the 176 studies were screened and 43 studies were
excluded from the review based on EC 1. The online availability of the remaining 133
was checked and 5 were found to be unobtainable. The available full-text studies were
downloaded, and the data of the studies was exported from Scopus into MS Excel.
Table 1. Inclusion and exclusion criteria

Inclusion criteria Exclusion criteria
IC 1 Application of the TTF EC 1 No mention of TTF in abstract
IC 2 Thorough discussion of theory EC 2 Isolate TTF concepts
EC 3 TTF not central to the study
The criteria were applied to the abstracts and the full-text articles and 91 studies were
excluded due to the content being irrelevant to the study, based on EC 2 and EC 3.
The entire process followed in selecting relevant studies, based on the PRISMA
statement for reporting systematic reviews [21], is depicted in Fig. 2.
Identification
Records identified through Additional records identified

database searching through other sources
(n = 173) (n = 3)
Screening
Records excluded:
Records screened
Titles not relevant
(n = 176)
(n = 43)
Eligibility
Full-text articles Full-text articles excluded:

assessed for eligibility Unobtainable (n = 5)
(n = 133) Content not relevant (n = 91)
Included
Article included in
the review
(n = 37)
Fig. 2. Study selection process. Adapted from [21].
The study selection process resulted in a total of 37 studies, that applies or discusses
TTF as conceptualized in Sect. 2, being included in the review. The process followed
to identify and extract the data is discussed in the following section.
402 R. Spies et al.
3.3 Charting the Data

The charting phases required the articles included in the review to be re-read thor-
oughly with the aim of extracting the data relevant to the research questions. A charting
form was collectively defined by the researchers to ensure credibility of the data to be
extracted. The full-text articles were imported into ATLAS.ti, software used for
qualitative data analysis and the charting form was used to define the categories for the
coding process. The full-text studies were then read through and coded as applicable.
4 Results
In this section, the results obtained from analyzing the studies are discussed to answer
the research questions.
4.1 Study Categories

The coded data, identified as part of the process discussed in Sect. 3.3, was grouped
together, and different levels of categories were defined, as depicted in Fig. 3. The first
high-level category was defined as studies that apply TTF with the primary aim of
generating theory, termed “Generate Theory”. The theory generated was found to be
primarily concerned with defining or refining the measurements used for the TTF
components or the TTF model; summarizing existing studies; testing the components
and/or relationships of the TTF model.
Measurements [6, 9, 15]

Model [3, 17, 22–25]
Generate Theory
Summarize [8]
Relevant Test [26, 27]
TTF Antecedents [5, 13, 28–31]
Studies Impact/Benefit
Assess Phenomena [32, 33, 42, 34–41]
Effects
(Intention to) Use [4,
12, 16, 43–47]
Fig. 3. Categorization of relevant TTF studies.
The second high-level category was defined as studies that apply TTF in order to
assess certain real-world phenomena, termed “Assess Phenomena”. These applications
were concerned with two major aspects – the components, such as the technology
characteristics, that are antecedents to TTF and the assessing effects of TTF. These
studies concerned with assessing the effects were further broken down into those that
assess the impact or benefit of TTF and those that assess factors relating to the use, or
intention to use, of the technology based on TTF.
The two high level categories were used to determine the trends in the type of
studies published over time. The cumulative number of studies published for the two
highest-level categories was calculated over time and depicted in Fig. 4. From the
figure, it can be seen that a larger number of studies were initially published that aimed
to generate theory and that as time progressed the focus shifted to the application of
TTF to assess phenomena.
As the theory gained recognition, different aspects of the theory was refined and the
impact of applying the theory for assessing different phenomena was recognized, the
focus of studies is expected to shift from predominantly theory based to applying it, as
seen in the increasing trend in the figure – eventually exponentially overtaking the
theoretical.
Fig. 4. Cumulative number of studies over time for each study category.
The assessment of TTF antecedents was only introduced in 2009, 11 years after the
first application of the theory to assess the impact/benefit and is still an emerging area
of research which does hold a lot of potential. Since the antecedents have an effect on
TTF, applying the theory to assess these factors has shown to be beneficial in identi-
fying improvements that can be made to ultimately improve TTF.
4.2 Application Environment

For each of the relevant studies, the specific environment in which the TTF was applied
was identified, collectively categorized by the researchers and is summarized in Fig. 5.
The majority of the studies were applied in either a healthcare setting or in various
different, but not explicitly identified, environments. Although the tasks performed in
these different environments will vary greatly, the wide range of application environ-
ments provides evidence that the TTF can applied in diverse settings. Furthermore, the
diverse environments create the opportunity for interesting future research to be done in
the similarities and differences in the way in which TTF is applied.
404 R. Spies et al.
Fig. 5. Divisions of TTF application environments.
4.3 Assessed Technology

The technology used in each of the relevant studies was also identified, collectively
categorized by the researchers and is summarized in Fig. 6.
Fig. 6. Divisions of the technology assessed in the relevant studies.
Since the TTF theory is mainly part of IS research, it was expected that the
application of TTF would primarily be concerned with IS. An interesting observation
was the growing research interest in mobile technology. The first two relevant studies
applying TTF to mobile technology [15, 36] was published in 2004 after which the
majority of future published articles included in this study (40.7%) was focused on
mobile technology. This finding makes sense in considering the rapid uptake, improved
capabilities and gradual dependence on smartphone technology since 2004.
5 Conclusion
The TTF theory has been an important development in IS research and has been widely
applied in various environments and on a range of technologies. This study aimed to
identify and analyze relevant literature that applies the specific components of TTF to
answer three research questions concerned with why, where and on what TTF was
applied.
As part of the chosen SR methodology, a structured search and screening approach
was followed to identify relevant studies, the detailed discussion on the process fol-
lowed ensuring the reliability and replicability thereof. These studies were then ana-
lyzed, the data extracted, and the findings synthesized to answer the research questions.
The implementation and discussion of the methodology ensured the validity and reli-
ability of the study.
The first research question is answered in the analysis and synthesis of the inten-
tions for applying TTF where various levels of categories were defined for the inten-
tions. The categories were further used to determine specific trends over time, revealing
how the focus of studies shifted from predominantly theory based to the application of
TTF to assess various phenomena.
The analysis and synthesis of the application environment and assessed technology
revealed the wide range of environments and technologies associated with the appli-
cation of TTF, consequently answering both the second and final research questions.
These findings reveal the wide range of applicability of the TTF theory and also the
potential that it holds for both industry and academia in applying TTF in different
environments and with new technologies.
The results of the scoping review are dependent on the studies included for anal-
ysis. The initial search for relevant articles is limited in that only one database was used
to search for relevant articles. This may have resulted in further relevant works being
excluded from this study. Various measures were however taken to ensure that all
influential studies potentially missed in the search were included in this study.
Although the intention was to define screening criteria in a manner that would ensure
reliability and replicability of the screening process, the authors acknowledge that
Despite the limitations of the study, the findings of this study are valuable and
further assists in framing future research on the application of TTF. The different
studies which apply TTF may be further analyzed to determine trends in the
methodologies followed within and/or across the different application categories,
environments and technologies. This in turn may be used to provide guidelines in the
quantitative measurement of different TTF constructs, given a specific intention for,
and context of, use. The suggested future research may assist in the classic pursuit to
better understand, account for and explain the impact of technologies within a system.
406 R. Spies et al.
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A Broker-Based Framework
for the Recommendation of Cloud Services:
A Research Proposal
Raoul Hentschel(&) and Susanne Strahringer
Business Informatics, esp. IS in Trade and Industry,

TU Dresden, Dresden, Germany
{raoul.hentschel,susanne.strahringer}@tu-dresden.de
Abstract. Finding and comparing appropriate cloud services that best fit cloud
service consumer requirements can be a complex, time-consuming and cost-
intensive process, especially for small and medium-sized enterprises. Since there
is no “one-fits-all” cloud service provider, companies face the challenge of
selecting and combining services from different vendors to meet all their
requirements. Therefore, this paper calls for the design of a cloud brokering
framework that would enable faster and easier selection of cloud services by
recommending appropriate services through a matchmaking system. Drawing on
previously conducted studies and considering current issues and practical
experiences both from provider and user perspectives, we propose a framework
that would identify, rank and recommend cloud services from multiple modules
and components to individual consumers. Furthermore, we contribute an early-
stage design of a cloud broker framework that considers cloud-service con-
sumers’ sourcing preferences while making new cloud-sourcing decisions and
that can be used in the selection and adoption phase of implementing cloud
services and/or as part of a multicloud strategy.
Keywords: Cloud computing Cloud brokering Guidance support system

Multi-sided platform Matchmaking platform
1 Introduction
Cloud computing (CC) is a driving force in the current digitization debate that offers
companies of all sizes new benefits such as consuming computing resources (e.g.,
networks, servers, storage, applications, and services) with low/minimal entry costs,
pay-per-use options, great flexibility, and scalability. Due to the recent proliferation of
CC, the number of cloud services on the market is increasing rapidly. Therefore, the
selection and implementation of suitable cloud services is a challenging, knowledge-
intensive process that requires widespread participation and ownership among
heterogeneous stakeholder groups (e.g., business managers, IT units, etc.) [1]. The
variety of available services is further complicated by a lack of informational trans-
parency concerning product characteristics, technology, QoS, pricing and their inter-
correlations (e.g., price/quality trade-offs). This makes it difficult to compare cloud
services and select the option that best fits the cloud service consumers’

https://doi.org/10.1007/978-3-030-44999-5_34
410 R. Hentschel and S. Strahringer
(CSC) requirements. Finding a suitable cloud service provider (CSP) that matches all
the CSC’s requirements is a complex, time-consuming and cost-intensive process that
can prevent the adoption of CC especially in small and medium-sized enterprises
(SME) [2]. The reasons for this are manifold: a lack of universal definitions and
standards for cloud services [3], the challenge of comparing the characteristics and
performance metrics of cloud services over different maturity levels and quality stan-
dards, and different naming conventions for the same services, an understanding of
which requires domain-specific knowledge of CSCs [4, 5].
As a result, CSCs increasingly need guidance support systems [6] that enable faster,
easier and more reliable cloud services selection by helping SMEs choose (the best)
services from a wealth of alternatives. We define these alternatives as service config-
uration options (SCO). To the best of our knowledge, there is currently no approach
available that specifically supports the (semi-)automated identification and recom-
mendation of cloud service alternatives for SMEs using a cloud brokering and
matchmaking system. In order to address this problem, we propose a cloud service
broker framework called “ViBROS” as a starting point for supporting CSCs in their
decision-making process by recommending appropriate cloud services based on CSC
requirements using dynamic and extensible matching methods. Thus, our research
question (RQ) is: How should a cloud-service brokering framework be designed to
support cloud service consumers in SMEs in the selection and adoption phase of
implementing cloud services? In order to answer this RQ, the remainder of the paper is
organized as follows: the introduction and definition of the problem included above
(Sect. 1) are followed by the theoretical background (Sect. 2) and the proposal of a new
framework (Sect. 3). The paper ends with the conclusion and future recommendations
(Sect. 4).
2.1 Cloud Computing

CC is an alternative approach to IT sourcing that enables companies to access a shared
pool of managed and scalable IT resources (e.g., networks, servers, storage, applica-
tions, and services) that are accessible via the internet on a pay-per-use basis without
necessitating long-term investments [2]. CC services are typically classified by the type
of service differentiated by a given resource (e.g., application (SaaS), platform (PaaS)
and infrastructure (IaaS) level) [7]. In addition to the more technical characteristics,
more business-oriented classifications have also emerged to differentiate these services
from one another. Böhm et al. [8] identified eight common market actors that interact in
a cloud value network. Additionally, the NIST defines five major actors: cloud con-
sumer, cloud provider, cloud auditor, cloud broker, and cloud carrier where each
entity (a person or organization) performs tasks in CC [9].
A Broker-Based Framework for the Recommendation of Cloud Services 411
2.2 Cloud Brokering and Two-Sided Platforms

A cloud broker (CB) is an entity who acts as an intermediary between the CSP and the
CSC and performs tasks that involve the selection, integration, or delivery of cloud
services. Additionally, CBs also fulfill functions such as aggregating information
concerning goods and fostering trust between cloud providers and cloud consumers [9].
There are many examples of markets in which two or more groups interact via inter-
mediaries or platforms to benefit each other and potentially create cross-platform
network effects (e.g., Airbnb, Uber, etc.) [10, 11]. All these so-called multi-sided
platforms (MSP) have one thing in common: they can only be successful when the
“chicken-and-egg problem” can be solved by convincing both sides of the market to
engage their services [12]. Matchmaking platforms, such as cloud brokering platforms,
can also be seen as two-sided in the sense that the matching “platform” is more
attractive when more participants on the other end of the market participate [13–15];
hence, a successful CB will be of value for both consumers and vendors [16]. Two of
the main benefits of CBs from a consumer’s point of view are its ability to minimize
search time, thereby saving costs, and its providing an opportunity to interact with an
expert instead of working with numerous CSPs [17]. Consumers also benefit from the
support provided for activities such as the selection, implementation and management
of cloud services and can thereby avoid being “locked-in” to a single provider. For
CSPs, cooperation with a CB may enhance market visibility and result in a higher rate
of revenue growth [18].
The need for brokering mechanisms for cloud services first arises when using cloud
federation architectures, such as Intercloud [19] or Stratos [20]. There are various
concepts about and frameworks for cloud brokering that have been discussed in prior
research [21], including those dealing with service intermediation between CSPs and
CSCs [19, 22]. However, most of the literature focuses on building cloud brokerage
systems where users either provide low-level specifications (e.g. resource requirements
for applications or QoS requirements for applications) that are measurable and com-
parable functional requirements [23] or are limited to technical issues that can be solved
using multiple-criteria decision-making (MCDM) methods [24]. However, the litera-
ture does not consider organizational or environmental aspects. Additionally, we were
unable to find any approaches specific to the needs of SMEs [25]. We argue that start-
ups and SMEs need cloud brokering systems that are not only designed for large cloud
implementation projects but are also better aligned with the nature of cloud services
(e.g. flexible, automated) in terms of type and cost. Also, the selection and integration
of new services is a very dynamic process that will affect daily business operations.
3 Proposal of a New Cloud Brokering Framework
The goal of our research is to address the gap in the literature and, as a first step, to
propose a framework that considers the functional and non-functional requirements of
cloud consumers on the technical, organizational and environmental levels. This will
enable SMEs to make a reasonable decision about CSPs, even without domain-specific
knowledge, while achieving lower costs and saving time in comparison to traditional
consultants and cloud brokers. Second, we propose a prototype that enables a (semi-)
automated selection of cloud services as part of a recommendation system. To do so,
we follow a design science research (DSR) approach. DSR is an important paradigm in
IS research as it serves as a guideline for the process of constructing socio-technical
artifacts in the IS domain [26]. We follow the process of Peffers et al. [27] for creating
design science artifacts and then map these artifacts onto the digital innovation roles in
DSR, as proposed by [28]. In order to adequately consider current issues and practical
experiences, the requirements of SMEs for such a framework were analyzed from both
the provider and user perspectives in a previous work [25, 29]. Based on the findings of
that piece and an extensive literature review on existing frameworks, we have itera-
tively developed the first version of our Virtual Broker as a Service Framework, called
ViBROS, as part of our design-oriented approach (see Fig. 1). ViBROS discovers and
ranks cloud services for CSCs based on one or more Decision Components and filters
the results to finally make a recommendation at the user’s request.
Web Application (front -end) Matchmaker Components (back-end)
ViBROS Cloud
Feature
Com ponents (Input)
Mat chmaker SaaS Catalogue

Requirements Technical
Requirement
Components
Decision Com ponents
Cloud Service ...

Request Use
Generate Options
Priorities Cloud Service
Use
Cloud Service Con sum er
Reputation Description
Organizat ional Systems
Filtering
Cloud Service Provider

Textual Descript ion Components ...
Ranking Semantic
Environmental analysis (KI)
Cloud Service Components ...
Recommendation (Output)
Provided t o
Recommendation 1 Generate Opt ions
Recommendation n
Expert Evaluation
Contr act signing
Th ird -Par t y Actor s
Contr act Evaluation
Con sultant Int egr at or Aggregator
Fig. 1. Virtual Broker as a Service Framework (ViBROS)
Inputs are (feature) requirements and a textual description in natural language of the
desired features of the cloud service. These provided inputs (Requirements Compo-
nents) can then be prioritized and processed by a discovery service called ViBROS
Cloud Matchmaker that uses the back-end Decision Components for the subsequent
matchmaking. The Decision Components are defined by the platform owner and can be
dynamically added and/or removed and are accessible via API (e.g., RESTful Web
services). Each component can be addressed and enriched with information provided
by CSPs.
Finally, the ViBROS Cloud Matchmaker generates options determined by users’
preferences, makes a pairwise comparison of every SCO using the AHP method, and
recommends those that are suitable. It thus finds a match between the appropriate cloud
services and the SME looking for one. Since not every CSC is willing or able to sign a
contract with a CSP immediately, the CSC can also evaluate the cloud SCOs proposed
by a neutral expert (i.e., consultants, integrators, etc.). Thus, the expert has the option to
support the consumer in steps that go beyond the selection of a CSP (e.g. in the
implementation of services) and thereby generates more business. As a result, the CSC
receives a bundle of suitable cloud services, ranked according to their specific suit-
ability with the option of having them evaluated by an expert, before finally selecting
one or more cloud services to implement.
4 Conclusion and Future Work
The current state of our research shows that many existing frameworks only provide
partial guidance in the selection phase of cloud services. This research-in-progress
article addresses this gap and proposes a new framework called ViBROS as a starting
point for providing a more reliable and cost-efficient approach for SMEs to use while
selecting appropriate cloud services. Since there is no “one-fits-all” CSP, CSCs can
benefit from receiving recommendations for cloud SCOs, which will therefore reduce
search costs while taking sourcing preferences (e.g., requirements, priorities, etc.) into
consideration in the selection and adoption phases. Researchers can use key compo-
nents of the framework to support their own cloud brokering problems. In future work,
the back-end Decision Components and Cloud Matchmaker algorithms of the frame-
work must be designed in more detail in order to instantiate a prototype of ViBROS.
Also, the handling of the heterogeneity of cloud services must be addressed in more
detail. Currently, the framework is not limited to a particular CC service type (SaaS,
PaaS, IaaS). However, an initial focus on one of these types in order to limit the number
of SCOs could be beneficial for a first prototypical implementation.
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0107-6
Big Data and Machine Learning
Unsupervised Anomaly Detection
of Healthcare Providers Using Generative
Adversarial Networks
Krishnan Naidoo1(B) and Vukosi Marivate1,2(B)

1
marionaidoo@gmail.com, vukosi.marivate@cs.up.ac.za
2
Council for Scientific and Industrial Research, Pretoria, South Africa
Abstract. Healthcare fraud is considered a challenge for many societies.

Health care funding that could be spent on medicine, care for the elderly
or emergency room visits are instead lost to fraudulent activities by mate-
rialistic practitioners or patients. With rising healthcare costs, healthcare
fraud is a major contributor to these increasing healthcare costs. This
study evaluates previous anomaly detection machine learning models and
proposes an unsupervised framework to identify anomalies using a Gener-
ative Adversarial Network (GANs) model. The GANs anomaly detection
(GAN-AD) model was applied on two different healthcare provider data
sets. The anomalous healthcare providers were further analysed through
the application of classification models with the logistic regression and
extreme gradient boosting models showing good performance. Results
from the SHapley Additive exPlanation (SHAP) also signifies that the
predictors used explain the anomalous healthcare providers.
Keywords: Generative Adversarial Networks · Anomaly detection ·

Healthcare providers · Machine learning · Deep learning
1 Introduction
In 2016, the global spend on health was US$ 7.5 trillion, representing close to 10%
of global GDP [27]. Studies across Europe estimate around 30% have been lost
to wasteful spending [14]. A study in 2016 by [25] confirms the financial value of
fraud cases in Europe, with France leading the way with (A C 46.3M) of which 37%
was committed by healthcare practitioners, 27% by health facilities and less than
20% by insured persons. Netherlands (A C 18.7M) fraudulent activity was mostly
relating to wrongful billings, followed closely by UK (A
C 11.9M) relating to fraud,
bribery and corruption. In the United States healthcare fraud ranges from $80
billion to $200 billion [19] with some of reasons relating to improper coding,
phantom billing, kickback schemes and wrong diagnosis.
In Africa, challenges like the lack of strong financial, processes and systems
are some of the reasons contributing to healthcare fraud [20]. Reports suggests
c IFIP International Federation for Information Processing 2020
https://doi.org/10.1007/978-3-030-44999-5_35
420 K. Naidoo and V. Marivate
that approximately 3–4% of the R160 billion medical industry relates to fraud-
ulent claims and abusive or wasteful healthcare costs in South Africa [4,15].
Despite numerous efforts to solve for healthcare fraud, detection of these fraud-
ulent activities within the healthcare sector is still a challenge due to poor data
quality or lack of data [17,24].
Due to the lack of confirmed fraud cases of healthcare providers, it is neces-
sary to mention that GANs is a remarkable deep learning model in unsupervised
and semi-supervised learning. Not only does the GANs model detect fraudulent
activities and malicious users on online social platforms [7], they have been used
to augment minority class that solve classification between fraudulent and nor-
mal samples [26]. Previous studies used traditional machine learning approaches
to solve anomaly/fraud detection problems [2,5,23,24], there has also been an
increase in deep learning approaches to solve similar problems. These solutions
have been predominately focusing on image problems and there is an opportu-
nity for deep learning models to be applied within the health care domain to
classify anomalies [12,23,26].
The objective was to build a single model across the various healthcare
provider types to predict if a provider is fraudulent or not. This study uses
a public data set from Medicare Provider Utilization and Payment Data: Physi-
cian and Other Supplier [4] and another private dataset from a South African
claim administration organisation.
The remaining parts of this paper are structured as follows, Sect. 2 intro-
duces the previous literature on healthcare provider cost abuse, discusses the
various anomaly detection techniques and anomaly score. Section 3 presents our
proposed methodology highlighting the GANS architecture, anomaly score func-
tion, algorithms, data sets used, data pre-processing and performance metrics.
Section 4 discusses the results and implications. Finally Sect. 5 summarises the
paper and proposes possible future work.
2 Literature Review
This section covers previous literature regarding the constructs, cost abuse and
wastage, and anomaly detection models within the healthcare domain. Further
to this, the literature was reviewed in the context of how machine learning has
assisted in anomaly detection within the insurance and healthcare industry.
2.1 Healthcare Cost Abuse and Wastage
Healthcare fraud is an intentional deception to obtain unauthorised benefits.

Research by [10] describes healthcare provider abuse as, a healthcare provider
who practices, either directly or indirectly, in a manner that results in unnec-
essary costs to the provider. Abuse also relates to any healthcare provider that
is not consistent in providing patients with medical services that are necessary,
inconsistent adherence to professionally recognised standards and are not fairly
priced [4,24].
Unsupervised Anomaly Detection Using Generative Adversarial Networks 421
Recently a model proposed by [3] identified potentially fraudulent hospitals in

the Brazilian public healthcare system. The methodology was based on analysing
various procedures carried out across different hospitals in each city. The model
makes use of a 2 step approach using the consumer anomaly detection using a K-
nearest neighbours (kNN) algorithm and thereafter a consumer-provider transfer
score showing the relationship between consumer and provider. In contrast, the
kNN model was not effective with either very small or very big cities. Further
challenges were experienced when the procedures were distributed across several
cities.
Literature by [24] discusses how fraud detection could help combat healthcare
provider cost abuse by securing the claim input process, checking on irregulari-
ties and analysing claim data sets to identify behavioural indicators of fraud.
Anomaly detection can be used to identify potentially fraudulent behaviour
which we discuss next.
2.2 Anomaly Detection

Anomalies are defined as patterns in data that do not conform to expected
or normal behaviour [11]. The finding of such patterns is often referred to as
anomaly detection [11,29,31]. Different anomaly detection techniques may be
applied depending on the nature of the data. Usually if fully labelled data is
available, supervised anomaly detection may be adopted. Data sets are con-
sidered as labelled if both the normal and anomalous data points have been
recorded [29,31]. When labels are not recorded or available, the only option is
an unsupervised anomaly detection approach [31].
Research by [2] looked at supervised machine learning methods to detect
fraudulent medicare providers across various states across America. The study
evaluated three machine learning models indicating the decision tree and logistic
regression as good performing models. The lack of fraud labels contributed to
the imbalance of data and a random under-sampling strategy was employed
to create the different class distributions. Sparsity of medical claim data and
the availability of labelled fraudulent cases highlighted in [2,10,16,23,24] is a
common challenge when solving for anomaly detection problems.
Canadian researchers [16] experimented on detecting anomalies using an
unsupervised spectral ranking approach (SRA). The problem was approached as
unsupervised learning which did not use labels when generating anomaly ranking
using SRA. The study focused on detecting anomaly in the feature dependence
using similarity kernels [16]. In addition, outcomes from the research highlighted
the most important features to classify fraudulent claims are policy features, car
types and cause of accident features.
The work of [5] includes a comparative survey over the last 20 years of
outlier detection relating to fraud detection machine learning algorithms. The
study indicates that Isolation Forest is a suitable model for efficiently identifying
anomalies with good potential on scalability along with optimized memory utili-
sation when using large data sets. In contrast, One Class Single Vector Machines
(OCSVM) is considered to be another good model for anomaly detection but
does not perform well on large data sets and also can be challenging in tuning
the input parameters [16].
Popular research across the healthcare and machine learning domains are
either based on supervised learning [2], predefined medical rules [9], application
of anomaly detection on medical images [21] or non healthcare data [28]. Further
to this, research like [2,3] also highlighted challenges like availability of data
relating to healthcare providers, even if it is available there is not enough data
or the data is not reliable since the providers themselves generate it [3].
Given the above, our methodology is a two step approach for anomaly detec-
tion. First, a GAN based approach was applied to identify the anomaly or
normal labels. Second, the results from the deep learning model served as labels
into identifying the features that contribute to the anomalous data points.
3 Methodology
Figure 1 illustrates the two step modelling approaches used describing the pro-
posed methodology carried out. The first modelling step is a GANs model
designed to identify the anomalous healthcare providers based on the reconstruc-
tion error. The second modelling step uses the anomaly labels in the supervised
classification models and SHAP (SHapley Additive exPlanation) to explain the
features contributing to the anomaly.
Fig. 1. Proposed methodology approach
3.1 Data Collection and Pre-processing

To evaluate our anomaly detection approach, we describe the datasets and pre-
processing in detail.
Medicare Dataset: The data for the current study is a public data set from the
Centers for Medicare and Medicaid Services (CMS) for the 2016 calendar year
only [4]. The Medicare Provider Utilization and Payment Data: Physician and
Other Supplier contains payment and claims data with information on services
and procedures provided to claimants and beneficiaries. The medicare dataset is

aggregated containing 1,053,958 samples with 70 features. As part of the data
pre-processing phase, a one-hot encoding representation was applied on categor-
ical features. Thereafter, standardised scaling was applied and highly correlated
features was removed. The final output from the pre-processing step that was
used in the GANs model contained 91 features with a combination of categor-
ical features representing the practitioner type, type of injury and continuous
features representing payment across beneficiaries and injury types.
Private Dataset: The research also used data from an organization for which
access has been granted to carry out the research. The required data was
obtained from a South African company that performs the administration of
claims occupational injuries and diseases according to the South African Com-
pensation for Occupational Injuries and Diseases Act (COIDA). The data was
aggregated to healthcare provider level with features created to represent finan-
cial and injury information. Thereafter the similar pre-processing step applied
on the Medicare data set was also applied on the private data set. The final
output from the pre-processing step was used in the GANs model contained 95
features.
We applied our modelling approach to both data sets. The data has been
modified to mask the healthcare providers details in the results, and examples
shown in this paper due to ethical and privacy issues.
3.2 Algorithms
Both data sets described in Sect. 3 does not contain any labels. Unlike other
machine learning algorithms, that requires a vast amount of labelled data in
order to generalize well, GANs can be trained with missing data [1,21] and
can also improve the performance of classifiers when limited data is available.
The labels were defined by the application of a GANs with a “feature-matching”
anomaly score. Thereafter several classification models (Random Forest, Decision
Trees, Logistic Regression and Extreme Gradient Boosting) were applied to get
a deeper understanding of how the features contribute to the anomalous labels.
Generative Adversarial Networks (GANs) algorithm consists of two
adversarial networks, a generator G and a discriminator D [8]. In the context
of anomaly detection, the first term in Eq. 1 ([log D (x)]) is the real distribu-
tion of data that passes through the discriminator (normal data). The discrim-
inator tries to maximize these data samples to 1. The second term in Eq. 1
([log (1 − D (G (z)))]) represent data from random input that passes through
the generator, which then generates fake samples which is then passed through
the discriminator to identify the anomaly. In this term, discriminator tries to
maximize it to 0. So overall, the discriminator tries to maximize the function
V. Similarly, the task of generator is exactly opposite, it tries to minimize the
function V so that the differentiation between normal and anomalous data is at
a minimum.
min max V (D.G) = Ex∼pdata (x) [log D (x)] + Ez∼pz (z) [log (1 − D (G (z)))] (1)
G D
Detection of an Anomaly: The GANs algorithm labelled data as normal or

anomalous through the use of a loss function called the anomaly score. The
anomaly score is calculated for every evaluation between normal and generated
samples in the training process [21,28]. The anomaly score is represented by the
following equation:
A(x) = (1 − λ) · G(x) + λ · D(x) (2)
In Eq. 2 the generator score G(x) and the discrimination score D(x) are
defined by the generator loss LG and the discrimination loss LD respectively. For
a given data sample x, a high anomaly score of A(x) indicates possible anomalies
within the sample. The evaluation criteria for this is to a threshold (φ) the score,
where A(x) > φ indicates anomaly. In the current study the threshold is set to
90%.
Classification Algorithms: Four binary classification algorithms were applied
in the second part of the study to give interpretability to the anomalies. The
algorithms applied include the logistic regression (LR), extreme gradient boost-
ing (XGB), random forest (RF) and decision tree (DT) [22]. These algorithms
are summarised highlighting their core capability.
Logistic Regression (LR) is a classification algorithm that is used to pre-
dict the probability of a binary dependent variable. In the current context, the
dependent variable contains data coded as 1 (anomaly) or 0 (normal). Extreme
Gradient Boosting (XGB) is a powerful machine learning technique for classifi-
cation, regression and ranking problems [18] which produces a prediction model
in the form of an ensemble decision tree [18]. The XGB model is built in a multi
step approach where each step, introduces a new weak learner to compensate
the shortcomings of the existing weak learners [18]. Random Forest (RF) is a
tree constructed algorithm from a set of possible trees with random features at
each node. Random forest can be generated efficiently and the combination of
large sets of random trees generally leads to accurate models to detect anoma-
lies [22]. Moreover, the random forest algorithm has been used in this study due
to its versatility in being applied to large data sets and feature importance [6].
Decision Tree (DT) is a simple and intuitive algorithm that utilizes a top-down
approach in which the root node creates binary splits until a certain criteria is
met [6]. In the current context of anomaly classification, the decision tree model
outputs a predicted target class (anomaly or normal) for each terminal node
produced. Decision Trees automatically reduce complexity, selection of features
and the predictive analysis structure is understandable and interpretable [22].
The LR, XGB, RF and DT algorithms are successful in detecting anomalies
[6,18,22] however their main use in the current study is their ability to gener-
alize, feature selection, interpretability [6,18,22,30] and further explain how the
features contribute to the anomalous healthcare providers. This explanation was
further achieved through the use of SHapley Additive exPlanation (SHAP)[13].
SHAP (SHapley Additive exPlanation) objective is to explain the pre-
diction of anomalous healthcare providers by computing the contribution of
the features to the prediction. The explanation method within SHAP computes
Shapley values from game theory [13] which indicates how the distribution of the
anomaly label (the prediction) among the predictors (features). In the context
of the current study, SHAP provided a unified approach for the interpretability
of the features in detecting anomalies across healthcare providers. The SHAP
framework was applied to assist in explaining the accuracy, consistency, stability,
certainty, feature importance and representation of the features.
4 Results and Analysis

In this section, we discuss the predication results of our proposed methodology
on the two data sets. First, we discuss the generative capability of the GANs
and the appropriateness of the data generation and scoring approach for anomaly
detection. Thereafter, we discuss the four classification models and SHAP results.
4.1 Unsupervised Label Generation
Generation of Realistic Data: The challenge in the study is the lack of

fraud labels across the data sets which plays an important role in measuring
model performance and accuracy in machine learning models. This simplify the
current study to adopt a GANs approach to generate fraud labels that is used as
the ground truth. The trained GANs model generates realistic data across the
different features. The generated data is conditioned by sampling from latent
representations z discussed in Sect. 3. The data distribution for the generated
data and real data is represented for one feature across the two data sets (see
Fig. 2). The distribution of the generated data show some similarities to the real
data and also points that is vastly different from the normal data points.
Detection of Fraud Labels: Figure 4 shows the anomaly detection based

on the anomaly score from the GANs algorithm (Eq. 2). The distributions of
the anomaly score (Figs. 3 and 4) show that both components of the proposed
adversarial score are suitable for the classification of normal and anomalous
samples.
4.2 Model Interpretation

In the following subsection, the results are based on the model performance from
the Logistic Regression, Random Forest, Decision Tree and Extreme Gradient
Boosting algorithms. The supervised modelling process used 60% of instances for
training and the remainder in test (20%). Due to the imbalance of data between
normal and anomalous labels under sampling was applied during the training
process. Table 1 highlight the results from the supervised classification-based
models.
Fig. 2. Real vs Generated data across (a) Medicare and (b) private data set
Fig. 3. The anomaly scores on Medicare data set for (a) normal healthcare providers
is at the lower end (below 100) whereas (b) anomalous healthcare providers is spread
across low and high anomaly scores
Fig. 4. The anomaly scores on private data set for (a) normal healthcare providers is
at the lower end (below 100) whereas (b) anomalous healthcare providers have higher
anomaly scores
The performance across all the models exceeds 90% on the private data
set with the two high performing models based on Area Under Curve (AUC)
was LR (97.4%) and XGB (90.3%) respectively. On the Medicare data set the
performing model based on AUC was the LR (75.7%) followed by the XGB
(74.7%). Table 1 shows the LR results on both data sets with regards to AUC,
75.7% and 97.4% respectively. With sensitivity and specificity rates of 81.3% and
70.1% for the Medicare dataset, and 99.6% and 95.2% for the private dataset.
The high sensitivity rate across the two data sets indicates the LR model does
well in classifying the anomalous labels identified by the GANs model.
In the context of the current classification problem, a higher sensitivity value
would be preferred in identifying anomalous healthcare providers. The second
part of the study was aimed to identify the key features contributing to the
anomalies so the necessary controls can be in place. Further to this, the results
indicates that the supervised classification algorithms performed well across the
private data however the results on the Medicare dataset is lower. This can be
attributed to the imbalance of labels in the dataset.
Table 1. Model results across the Medicare and private dataset
Model Medicare Private

Accuracy Sensitivity Specificity AUC Accuracy Sensitivity Specificity AUC
LR 0.802 0.813 0.701 0.757 0.992 0.996 0.952 0.974
CART 0.7 0.702 0.688 0.695 0.972 0.99 0.812 0.901
XGB 0.759 0.762 0.731 0.747 0.976 0.994 0.812 0.903
RF 0.787 0.797 0.689 0.743 0.972 0.993 0.783 0.888
4.3 SHAP
SHAP analysis was conducted and shows the features which push the base value
to the model output. Figures 5 and 6 shows features pushing the prediction higher
(in red) and those pushing the prediction lower (in blue).
Figure 5 shows the features in Medicare containing high values for total
unique beneficiaries, number of HCPCS and beneficiaries between 65 and 74
indicating major impact on increasing the prediction. In addition, low feature
values for total unique beneficiaries, number of HCPCS, beneficiaries between
65 and 74 indicate these features decreases the prediction value.
Figure 6 shows the features in the private dataset containing high values
for reporting lag, days to end of month and payment have a major impact on
increasing the prediction, while low feature value for reporting lag decreases the
prediction. Overall features like reporting lag, value of payments and number
of injuries for a specific injury group are important features in determining if a
healthcare provider is fraudulent or not.
Fig. 5. SHAP feature summary - Medicare (Color figure online)
Fig. 6. SHAP feature summary - Private (Color figure online)
5 Conclusion
The study proposed an anomaly detection model based on generative adversarial
networks. By training a generator and discriminator model, anomalies were iden-
tified from unseen data based on unsupervised training of a model. The labels
generated from the GANs model was used as the ground truth in the supervised
classification models to gain further insight on the features contributing to the
anomalous healthcare providers. Across the four supervised models evaluated,
the logistic regression was the best performing classifier across the two data
sets. This methodology applied on similar data sets can offer subject matter
experts the ability to detect anomalous healthcare providers with a high degree
of accuracy.
Results showed the GANs model identified anomalous healthcare providers
and the use of SHAP explained predictors. This approach can be beneficial to
future researchers where availability of fraud labels is a challenge. Future studies
could solve some of the limitations in the evaluation of the model. The evaluation
of label generation in unsupervised models is a challenge and solving this problem

would give researchers the opportunity of evaluating the labelling method more
precisely. Furthermore explore the use of SHAP directly on deep learning models
to better explain feature importance and interpretability.
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Data Governance as Success Factor for Data
Science
Paul Brous1(&) , Marijn Janssen1 , and Rutger Krans2

1
Delft University of Technology, Delft, The Netherlands
{P.A.Brous,M.F.W.H.A.Janssen}@tudelft.nl
2
Rijkswaterstaat, Utrecht, The Netherlands
Rutger.Krans@rws.nl
Abstract. More and more, asset management organizations are introducing

data science initiatives to support predictive maintenance and anomaly detec-
tion. Asset management organizations are by nature data intensive to manage
their assets like bridges, dykes, railways and roads. For this, they often imple-
ment data lakes using a variety of architectures and technologies to store big
data and facilitate data science initiatives. However, the decision-outcomes of
data science models are often highly reliant on the quality of the data. The data
in the data lake therefore has to be of sufficient quality to develop trust by
decision-makers. Not surprisingly, organizations are increasingly adopting data
governance as a means to ensure that the quality of data entering the data lake is
and remains of sufficient quality, and to ensure the organization remains legally
compliant. The objective of the case study is to understand the role of data
governance as success factor for data science. For this, a case study regarding
the governance of data in a data lake in the asset management domain is ana-
lyzed to test three propositions contributing to the success of using data science.
The results show that unambiguous ownership of the data, monitoring the
quality of the data entering the data lake, and a controlled overview of standard
and specific compliance requirements are important factors for maintaining data
quality and compliance and building trust in data science products.
Keywords: Data lake Data governance Data quality Big data Digital
transformation Data science Asset management
1 Introduction
More and more, asset management organizations are introducing data science initia-
tives to support the digital transformation of their business processes [1]. However, in
order for data science to be successful, it is vital that asset management organizations
are able to trust the integrity of the digital environment [2, 3]. Managers have, in the
past, found it difficult to trust data science products as, for example, the data is often
found to be lacking the required quality [4–7]. Furthermore, as suggested by Wallis
et al. [7], data collections are only as valuable as the data they contain, and users need
to be able to trust the data based on the integrity of the data systems and the intrinsic
quality of the data. Managers need to be able to trust data science products before they

https://doi.org/10.1007/978-3-030-44999-5_36
432 P. Brous et al.
are confident enough to use these products to support their business processes to make
crucial decisions [6]. Examples of these decisions in the asset management domain are
maintaining dykes or replacing a bridge. Decisions in these scenarios have long term
implications and wrong decisions can be expensive and risky. A lack of trust in data
science projects can often be attributed to the lack of data quality, and the success of
data science projects is often highly reliant on the quality of the data being used [8–10].
There is no single factor defining the successful outcomes of a data science project [11,
12], but recently data governance has gained traction by many organizations as being
important for ensuring quality and compliance in data science outcomes [11, 13].
However, it remains unclear how data governance contributes to the success of data
science outcomes, leading to calls for more research in this area [11, 14, 15].
Data Governance can be defined as “the exercise of authority and control (plan-
ning, monitoring and enforcement) over the management of data assets” [16] (p. 67),
and can provide direct and indirect benefits [17]. For example, Brous et al. [14] showed
that adoption of data governance can improve operational efficiency, increase revenue,
reduce risk (for example with regards to privacy violations), reduce costs, improve
perception of how information initiatives perform, improve acceptance of spending on
information management projects, and improve trust in information products.
The main objective of the paper is to understand the role of data governance as a
factor for successful data science outcomes. Our main research question therefore asks
how does data governance contribute to more successful data science outcomes? This
paper analyses a case study in the asset management domain with specific regard for
the role of data governance as success factor for data science outcomes. The case under
study is managed by Rijkswaterstaat in the Netherlands. Rijkswaterstaat is part of the
Dutch Ministry of Infrastructure and Water Management and is responsible for the
design, construction, management and maintenance of the main infrastructure facilities
in the Netherlands. The paper reads as follows. Section 2 presents the background of
literature regarding the relationship between data governance, trust and the digital
environment. In Sect. 3 the methodology of the research is described. Section 4
describes the findings of the case study. Section 5 discusses the findings of the case
study and Sect. 6 presents the conclusions.
2 Literature Background
Although more attention has been paid to data governance in the literature in recent
years, there have been several calls within the scientific community for more systematic
research into data governance and its impact on the business capabilities of organiza-
tions [18–20]. Little evidence has been produced so far indicating what actually has to
be organized by data governance and what data governance processes may entail
[20, 21], and many organizations find data governance difficult to implement [22, 23].
There appears to be no “one-size-fits-all” approach to data governance [24] and the
nuances attached to various domains and organizational types have not yet been
extensively described [25, 26]. Furthermore, evidence is scant as to the role data gov-
ernance plays in ensuring the successful outcomes of data science initiatives [18, 19].
Data Governance as Success Factor for Data Science 433
Recent years have witnessed more and more asset management organizations
adopting data science initiatives in order to support the digital transformation of their
business processes [27, 28], and Van der Aalst [29] go so far as to suggest that
organizations without a data science capability may not survive. According to Provost
and Fawcett [1] (p. 52), data science is “a set of fundamental principles that support
and guide the principled extraction of information and knowledge from data”. From
this perspective, data science encompasses a broad range of knowledge and capabilities
such as data-mining and machine learning, which are designed to extract knowledge
from data and are important for creating value and moderating risk in data science
initiatives. As such, data governance can help organizations make use of data as a
competitive asset [21, 23]. Data governance aims at maximizing the value of data assets
in enterprises [1, 37]. For example, capturing electric- and gas-usage data every few
minutes benefits the consumer as well as the provider of energy. With active gover-
nance of big data, isolation of faults and quick fixing of issues can prevent systemic
energy grid collapse [38].
Data science can improve asset management decision-making which is needed to
facilitate more efficient and secure asset management operations, as well the need for
better situational awareness about network disturbances [10, 27]. Data science initia-
tives such as predictive maintenance modelling generally require big data [10, 30, 31].
Asset management organizations often choose to implement data lakes using a variety
of architectures and technologies to store big data and to make this data available for
use. A data lake is “a central repository system for storage, processing, and analysis of
raw data, in which the data is kept in its original format and is processed to be queried
only when needed” [32] (p. 456). Data lakes are different to traditional data warehouses
which often have their own native formats and structures as data is stored in its original,
raw, format [33, 34]. Often, the data processing systems which are required to allow the
data to be ingested without compromising the data structure are also included in the
definition [32, 34]. The data in the data lake is generally immediately accessible,
allowing users to utilize dynamic analytical applications [34, 35]. This immediate
accessibility, as well as the retaining of data in its original format presents a number of
challenges regarding management of the data lake, including data quality management,
data security and access control [33, 36], as well as in maintaining compliance with
regards to privacy [21, 36]. As such, data governance has increasingly gained popu-
larity as a means of ensuring data quality and maintaining compliance.
Managing data quality is considered by many researchers to be an important reason
for adopting data governance (e.g. [24, 37, 39]). However, big data can provide asset
management organizations with complex challenges in the management of data quality.
According to Saha and Srivastava [40], the massive volumes, high velocity and large
variety of automatically generated data can lead to serious data quality management
issues which can be difficult to manage in a timely manner [41]. For example, IoT
sensors calibrated to measure the salinity of water may, over time, begin to provide
incorrect values due to biofouling. Data science information products often rely on near
real-time data to provide timely alerts, and, as such, problems may arise if these data
quality issues are not timely detected and corrected.
As well as establishing data management processes which manage data quality,
data governance should also ensure that the organization’s data management processes
434 P. Brous et al.
are compliant with laws, directives, policies and procedures [42]. For example, Panian
[43] states that establishing and enforcing policies and processes around the manage-
ment of data should be the foundation of effective data governance practice as using big
data for data science often raises ethical concerns. Automatic data collection may cause
privacy infringements [44, 45] such as cameras used to track traffic on highways which
often record personally identifiable data such as number plates or faces of persons in
the vehicles. Data governance processes should ensure that these personally identifiable
features are removed before data is shared or used for purposes other than legally
allowed. Data governance should therefore establish what specific data privacy policies
are appropriate [39] and applicable across the organization [38]. For example, Tallon
[46] states that organizations have a social and legal responsibility to safeguard per-
sonal data, whilst Power and Trope [47] suggest that risks and threats to data and
privacy require diligent attention from organizations.
In summary, asset management organizations often choose to implement data
science initiatives such as predictive maintenance and anomaly detection, using
methods such as data-mining and machine learning, in order to support the digital
transformation of their business processes. Many modern data science methods require
big data which is often stored and made available through data lakes. However, asset
management organizations are increasingly being faced with challenges which impact
the success of data science outcomes, often related to: 1. a lack of trust in the quality of
data [40, 41], 2. whether or not the data is being used in an ethical way [46], and 3.
whether or not the management and use of the data is compliant with relevant legis-
lation and internal policies [47]. In order to tackle these challenges, data governance
assigns responsibilities for decision-making [24], defines processes for monitoring an
managing data quality [41], and defines policies for monitoring and maintaining
compliance with relevant legislation [47].
The propositions of the research are based on the results of the background liter-
ature review as well as on existing theory regarding the principles of data governance in
asset management organizations and the reasons why asset management organizations
choose to implement data governance [13, 14, 48]. The propositions of the research
therefore read as follows:
1. Defining clear roles and responsibilities for data management will result in easier
generation of business value from data science efforts.
2. Monitoring and managing data quality will result in more useful outcomes from
data science efforts.
3. Compliance monitoring and control is a required condition for data science.
As discussed above, the literature shows that many organizations have imple-
mented data governance in an attempt to improve trust in data science efforts through
the improved management of data quality and compliance to relevant legislation.
3 Methodology
This paper describes a single case study using a multi-method approach to investigate
the role of data governance as success factor for data science. Case study is a widely
adopted method for examining contemporary phenomenon such as the adoption of data
governance [49, 50]. In this research we analyze a single case, following the design of
an explanatory case study research proposed by Yin [51], including the research
question, the propositions for research, the unit of analysis, and the logic linking the
data to the propositions. Single case study was selected as being appropriate for this
research as there is a need to investigate data governance as success factor for data
science in greater detail. In this regard, single case studies may be more appropriate
than multiple case studies, as a single case study provides the opportunity to have a
deeper understanding of data governance in a specific context [51, 52], in this case,
data science efforts in the asset management domain. As suggested by Eisenhardt [50],
the research was contextualized by a review of background literature, identifying the
generally accepted roles of data governance in a data science context. The literature
background reveals data science initiatives often face a number of challenges, and not
all efforts lead to successful outcomes [15, 48, 53]. Facing these challenges has led
many organizations to adopt data governance as a means of improving the outcomes of
data science efforts [13]. However, data governance remains a poorly understood
concept [22, 36] and its contribution to the success of data science has not been widely
researched [36]. As discussed above, our main research question therefore asks how
does data governance contribute to more successful data science outcomes?
Following Ketokivi and Choi [54], deduction type reasoning augmented by con-
textual considerations provided the basic logic for the propositions to be tested in a
particular context, namely data science in an asset management domain. The data
analysis in this research utilizes “within case analysis” [55]. Within case analysis
helped us to examine the impact of data governance on the success of data science in a
single context. In this case, the unit of analysis was a single data science project in the
asset management domain. The case selected was managed and implemented by
Rijkswaterstaat, often abbreviated to RWS and referred to as such in this paper. RWS is
the Directorate-General for Public Works and Water Management and an operational
agency of the Ministry of Infrastructure and Water Management of the Netherlands.
RWS is charged with the management and maintenance of the major highways,
waterways and shipping lanes in the Netherlands. In order to prepare the organization
for the case study research project, RWS was provided with information material
outlining the objectives of the project.
Following the suggestions of Yin [51], the case study was conducted using a multi-
method approach and multiple data sources were used. Methods used are document
analysis and face-to-face interviews. The interviews were conducted during 2019
taking the form of one-on-one, face-to-face interviews. The interviewees were mainly
selected from RWS staff members directly involved in the data science project in
various roles, but also included other staff members involved in the governance and
management of the data and the monitoring of the data in order to ensure saturation.
Secondary data sources included relevant internal documentation, including project
436 P. Brous et al.
reports, data governance workshop reports, and data and information technology
strategy documents. Company websites which included relevant data governance
information and reports on the data science case were also included. Triangulation of
aspects of data governance which contribute to the successful outcome of the data
science case was made by listing aspects of data governance found in internal docu-
mentation and testing these in the one-on-one interviews. In the interviews the inter-
viewees were asked as to the contribution of these aspects of data governance towards
the successful outcome of the project. In the interviews the interviewees were also
asked to name other aspects of data governance that may have had a significant
contribution to the successful outcome of the data science project but which may have
been overlooked.
4 Case Study Description
RWS is tasked with the management and maintenance of the national public infras-
tructure including the construction and maintenance of shipping lanes, major water-
ways (including flood prevention) and national roads and highways. RWS has a spend
of approximately €200 million per annum on asphalt maintenance, with operational
parameters traditionally focused on traffic safety. In the past this has led to increasing
overspend due either to premature maintenance, or to expensive emergency repairs.
The prediction of asphalt lifetime based on traditional parameters has been shown to be
correct one third of the time. RWS is seeking to reduce these costs by extending the
lifespan of asphalt where possible whilst reducing the number of emergency repairs
made by adopting data science techniques for the purpose of predictive, “just-in-time”
maintenance. Using available big data in a more detailed manner, such as raveling data
collected by a Laser Crack Measurement System combined with Weigh-in-Motion data
has doubled the prediction consistency. According to RWS officials, improving the
accuracy of asphalt lifetime prediction has enabled better maintenance planning which
has significantly reduced premature maintenance, improving road safety and cost
savings, and reducing the environmental impact due to reduced traffic congestion and a
reduction in CO2 emissions. The data science model uses data related to traditional
inspections, historical data generated during the laying of the asphalt, road attribute
data and planning data, as well automatically generated, streaming data such as weather
data, traffic data, and IoT sensor data. The current model takes about 400 parameters
into consideration. According to an RWS official, “this number will only grow, as the
(project partners) continue to supply new data”. According to RWS, the ultimate goal
is a model that can accurately predict the lifespan of a highway.
With regards to defining roles and responsibilities RWS has asked the data man-
agers of each of the datasets used in the data science project to each appoint an
executive sponsor or data owner. The data owner is a business sponsor. Once own-
ership is established, the current and desired future situations are assessed in terms of
production and delivery. A roadmap is then established which was translated into
concrete actions and a delivery agreement is reached. RWS also uses “open” data from
external sources. Due to its many open data partnerships, RWS has implemented a
policy of providing knowledge, tools and a government-wide contact network in which
best practices are shared with other government organizations. These best practices
refer to organization of data management, data exchange with third parties, data pro-
cessing methods and individual training. According to staff members, RWS has
implemented data governance for their big data in order to remain “future-proof, agile
and to improve digital interaction with citizens and partners”. According to an RWS
executive manager, “RWS wants to be careful, open and transparent about the way in
which it handles big and open data and how it organizes itself”. Furthermore, RWS has
introduced the policy of assessing and publishing the monetary cost of data assets in
order to raise awareness of the importance of data quality management. This means that
every RWS process and every RWS organizational unit is encouraged to be aware of its
data needs and the incurred costs.
With regards to data quality, RWS has implemented a data quality framework to
improve their control of data quality. RWS staff believe that “the return (of the
investment) stands or falls with the quality of data and information”. As such,
according to RWS staff, the underlying quality of the data and information is of great
importance to work in an information-driven way. RWS staff members have suggested
that, in the past, a significant amount of production time has often been lost due to
inadequate data quality. The RWS data quality management process follows an eight
step process which begins by identifying: 1. the data to be produced, 2. the value of the
data for the RWS primary processes, and 3. a data owner. RWS has developed an
automatic auditing tool (AAT) in combination with a Manual Auditing Tool (MAT) to
monitor the quality of the data as a product in order to further improve its grip on data
quality. According to RWS staff, the AAT and the MAT ensured that quality mea-
surements were mutually comparable, provided tools for more focused management,
and caused a change in the conscious use of data as a strategic asset. Alongside with the
AAT, the MAT is considered important as it is not yet possible to automate the
monitoring of all data quality dimensions. Data quality measuring is centralized at
RWS, the goal being to ensure a standardized working method. However, RWS
maintained the policy that every data owner is responsible for improvements to the data
management process and the data itself. The RWS data quality framework was based
on fitness for use and data quality measurement was maintained according to 8 main
dimensions and 47 subdimensions.
With regards to compliance, RWS has translated their data policies and principles
into a data agenda in which the opportunities, risks and dilemmas of their data policies
and ambitions are identified in advance and are made measurable and practicable.
Terms and definitions have been coordinated with the Dutch legal framework related to
the environment to ensure compliance. Responsibilities relating to compliance to pri-
vacy laws are centralized and RWS has assigned privacy officers to this role. The CIO
has the final responsibility for ensuring that privacy and security are managed and
maintained, however, business data owners are held accountable for ensuring com-
pliance to dataset specific policy and regulations.
438 P. Brous et al.
5 Discussion
Case study methodology was used in this research to identify the role that data gov-
ernance plays as success factor for data science. The choice for an in-depth, single case
study was based on the contemporary nature of both data science and data governance
and the need to study data governance as success factor for data science in greater
depth. The study was conducted as a single case study and the results should be
regarded in this light. Single case study has been criticized in the past due to the
difficulty of providing a generalizing conclusion [51, 56]. In order to overcome this, the
data collection made use of multiple sources including reports, presentations and face-
to-face interviews. More research is recommended in this area to test the applicability
of the propositions in other domains and organizational types. The study was con-
ducted in the asset management domain as asset management organizations by nature
are often data rich due to the need to monitor the state of the infrastructure assets. This
may limit the applicability of the study for domains which are less data intensive,
however the essence of generating value from data is likely to be the same in other
domains.
5.1 Proposition 1: Defining Clear Roles and Responsibilities for Data

Management Will Result in Easier Generation of Business Value
from Data Science Efforts
Proposition 1 proposes that data science is likely to generate more business value if
responsibilities for data management are clearly defined. RWS has many various open
data partners, as well as a large variety of sources from which the data is collected. As a
result RWS has experienced difficulties in managing responsibilities for data quality
and data management processes. RWS has therefore assumed a leadership role in
maintaining a government-wide contact network in which knowledge, tooling and best
practices with regards to data management and data sharing are shared with other
government organizations. Internally, RWS has assigned business sponsors to assume
ownership of datasets so that roles and responsibilities of data management are clearly
defined. In order to ensure that sufficient resources are made available for data quality
management, RWS has also defined a “price” for each dataset so that business owners
are aware of the value of each dataset. This allows the organization to treat the data as a
business asset, promoting the need to maintain the expected quality of each dataset.
5.2 Proposition 2: Monitoring and Managing Data Quality Will Result

in More Useful Outcomes from Data Science Efforts
Proposition 2 proposes that data science is more likely to result in useful outcomes if
data quality is monitored and controlled. RWS actively monitors their data inputs by
means of an “automatic audit tool”. RWS has assembled a library of business rules
which form the input for the calculation of the data quality. The results of the calcu-
lations are displayed in the form of a dashboard which indicates whether the calculated
values fall within acceptable limits or not. The acceptable limits are described in the
RWS data quality framework which has standardized the calculation and description of
data quality throughout RWS. The results of the data quality monitor are used to define
which interventions need to be taken in order to achieve the desired levels of quality
and also to monitor the effects of the interventions on the data quality. Traditionally,
data quality projects at RWS were based on “hearsay” from staff whereby the general
feeling was that the quality was below requirements. The AAT has allowed RWS to be
more data driven with regards to their data management processes. According to RWS
staff, the active monitoring of data quality has led to “identification of gaps in data
governance, harmonization of processes across organizational departments, increased
awareness and cost savings”.
5.3 Proposition 3: Compliance Monitoring and Control Is a Required

Condition for Data Science
Proposition 3 proposes that compliance with relevant legislation is a necessary and
required condition for data science. RWS has had a central, IT-centered approach to
data privacy to ensure that legal requirements and guidelines regarding the European
General Data Protection Regulation (GDPR) are standardized and consistent
throughout the organization. RWS has published a transparent list of systems in which
personal data is collected, and has published detailed instructions as to how personal
data may be viewed and, where necessary, deleted. RWS has appointed privacy and
compliance officers to assume this responsibility and has appointed the CIO has the
responsible executive sponsor. The monitoring of other compliance related activities is
done using the AAT or the MAT. Responsibility for the actions flowing from the
results of the AAT or the MAT lies with the data managers and ownership lies with the
data sponsor. This hybrid approach allows RWS to standardize compliance processes
where possible, whilst also being able to tailor customized solutions for particular data
issues. Currently the feasibility of a nationwide data platform for asphalt pavement data
is being explored in which easy data accessibility, authorization, storage, scalability,
architecture, plateau planning, solution directions and cost estimations are addressed.
6 Conclusions
In this research paper we analyzed a case study regarding the governance of data in a
data lake in the asset management domain to identify factors contributing to the success
of using data science. The objective of the case study is to understand the role of data
governance as success factor for data science. The case under study is a data science
project which predicts the maintenance requirements of asphalt on national highways
over time. Three propositions were defined on the basis of existing theory on data
governance, namely: 1. defining clear roles and responsibilities for data management
will result in easier generation of business value from data science efforts, 2. moni-
toring and managing data quality will result in more useful outcomes from data science
efforts, and 3. compliance monitoring and control is a required condition for data
science. These propositions were derived from the literature and confirmed in the case
study, suggesting that data governance should be regarded as an important success
factor for data science outcomes. The results show that clearly defined ownership of the
440 P. Brous et al.
data, monitoring the quality of the data entering the data lake, and a controlled over-
view of compliance requirements are important factors for successful data science
outcomes. The results also show that efficient management of compliance may be
performed by developing centrally managed, standardized solutions for privacy and
security requirements. However, system-specific compliance requirements need to be
developed by data managers and these requirements should be owned by a business
sponsor who assumes responsibility for these requirements. As such, the results show
the data governance is an important success factor for data science outcomes as it
ensures that data quality and compliance are effectively managed.
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Happiness and Big Data – Theoretical
Foundation and Empirical Insights for Africa
Anke Joubert, Matthias Murawski(&), Julian Bühler,

and Markus Bick
ESCP Business School Berlin, Berlin, Germany

anke.joubert@edu.escpeurope.eu,
{mmurawski,jbuehler,mbick}@escpeurope.eu
Abstract. Big data has gained academic relevance over the last decade and is
also of interest to other role-players such as governments, businesses and the
general public. Based on our previous work on the Big Data Readiness Index
(BDRI) we place the focus on one under-investigated aspect of big data: the
linkage to happiness. The BDRI, applied on Africa, includes the topic of hap-
piness within the digital wellbeing driver, but the link between the two topics
requires further investigation. Thus, two underlying questions emerge: what is
the relation between happiness and big data? And how does Africa perform in
digital wellbeing? This paper includes a structured literature review highlighting
five key clusters indicating this link. Furthermore, we present some first
empirical insights using the BDRI focusing on Africa. Overall, the African
continent performs best in the social inclusion cluster of happiness, with the
most room for improvement in the job creation cluster.
Keywords: Africa Big data Digital wellbeing Happiness
1 Introduction
Big data analytics is a research field that has gained academic relevance over the past
12 years. Big data is not only of interest for academics, but also for governments,
businesses and society. This is due to its ability to use existing data for improved
operational efficiency, better decision making, facilitation of innovation and delivery of
solutions with a social and developmental impact, amongst other things [1, 2].
In this paper, we place the focus on an under-investigated aspect of big data: the
linkage to the topic of happiness. As shown by Wang et al., this linkage has been
addressed in only a few studies, with this focus becoming increasingly important [3].
Aside from concrete economic measures, happiness is more and more considered an
important aspect of country indices and rankings, indicated, for instance, by the United
Nations (UN)-published World Happiness Report or the emergence of the concept of
Gross National Happiness (GNH) [4]. Happiness research stretches across domains,
playing a large role in philosophy, psychology, religion, environmental studies,
healthcare, politics and economics [5]. Throughout history, large events have affected
how people define happiness. The age of big data is expected to also have an impact on
human happiness.

https://doi.org/10.1007/978-3-030-44999-5_37
444 A. Joubert et al.
In a previous paper [6], we have suggested the Big Data Readiness Index (BDRI),
which can be used to compare big data readiness on a country level. The BDRI, which
is built on the five prominent v’s: volume, variety, velocity, veracity and value,
includes the topic of happiness under veracity, more detailed under the driver digital
wellbeing1. There is a need for deeper research into the relation between happiness and
big data focusing on a stronger theoretical foundation. Based on this, we formulate the
following research question that will be answered by conducting a structured literature
review:
RQ1: What is the relation between happiness and big data?
The second objective of this paper is to present some empirical insights on big data
and happiness. Therefore, we apply the BDRI driver digital wellbeing using open data
focused on the African continent. Our interest in Africa is grounded in a massive under-
representation of this continent in big data research, resulting in a research gap. Fur-
thermore, our BDRI has been developed in the context of the particular aspects of
Africa [6]. Thus, the second research question is:
RQ2: How do African countries perform in terms of digital wellbeing?
The remainder of this paper is organized as follows: We begin with a general
introduction of the topics of happiness and big data, as well as our research focus on
Africa in Sect. 2. We present our literature review in Sect. 3, before the research
questions are answered in Sect. 4, based on our findings. We conclude the paper in
Sect. 5.
2.1 Introduction to Happiness

Constantinescu [7] explains how the concept of happiness has always been present and
is constantly being reshaped. Definitions of happiness place the focus on different
aspects, for instance: a virtue that could be obtained through values accepted by society
that represented the good, true and beautiful [8], balance between nature and the
world’s will [7] or long life, riches, health, love of virtue, and a natural death [9].
The industrial revolution moved the definition of happiness to include consumerism
through the increased aspiration to own material goods [7]. Twentieth century media
spread this conception of success through owning. The financial crisis questioned the
absence of morals within happiness through consumerism [8], consequently literature
on the failure of consumerism to create happiness emerged. Seeing how happiness has
always played a role in society and changed according to civilization’s circumstances
make it evident that the age of analytics will also have an impact on human happiness.
Criticism of happiness research points at the fact that it is a highly individual trait
and thus aggregating happiness to a people can be misleading [7]. Taking this into
1
Wellbeing is commonly used to relate to the level of happiness for a group of citizens or nations [4].
Happiness and wellbeing are used interchangeably by many researchers as well as in this paper.
Happiness and Big Data 445
consideration, indexes should carefully consider how different individuals would

experience different circumstances and weight and collect indicators accordingly.
Therefore, a Human Wellbeing Index (HWI) together with an Ecosystem Wellbeing
Index (EWI) have been developed, striving to find a balance between good human and
good ecosystem conditions. The HWI was built on five categories of wellbeing: health
and population, wealth, knowledge and culture, community and equity [9].
In July 2011, the UN General Assembly invited member states to measure the level
of happiness of their citizens and use this as a guide for developing public policies,
followed by the first UN summit on happiness and wellbeing in early 2012. From this
year onwards, the UN published an annual World Happiness Report. The World
Happiness Report takes variables such as GDP per capita, social support, life expec-
tancy at birth, freedom to make life choices and the level of corruption into account [7].
In this study we understand happiness as an individual attribute that can be defined
differently among societies and individuals. It points towards the positive personal or
societal experience or value, driven through different factors referring to life quality and
purpose, societal equality, social interaction, human rights, and the surrounding envi-
ronment. While measuring development and setting up policies or rules, it is necessary
to consider happiness.
2.2 Introduction to Big Data

There is no globally accepted definition for the term ‘big data’. The complexity of
defining this term increased due to a shared origin and usage between academia,
industry, media together with wide public interest.
According to Ward and Baker [10], large international IT role-players also provide
conflicting definitions of big data, including: a process of applying serious computing
power, including techniques such as machine learning and artificial intelligence
(Microsoft) or the derivation of value from traditional relational databases by aug-
menting it with new sources of unstructured data (Oracle). Fosso-Wamba et al. [11]
summarize some descriptions of the impact of big data in previous literature as the next
big thing in innovation; the fourth paradigm of science; the next frontier for innovation,
competition, and productivity and that big data is bringing a revolution in science and
technology. Various stakeholders providing diverse definitions lead to the emergence
of literature that attempt to establish a common definition.
The first academic concepts associated with big data describe big data using the
three v’s: volume, velocity, and variety. This approach has been reiterated in various
studies [12–14]. Volume refers to the size and magnitude of data, whereas velocity
refers to the speed and frequency of generating data. Variety highlights the fact that big
data is generated from a large number of sources, formats and types that include
structured and unstructured data [14]. A fourth v for value and a fifth for veracity was
subsequently suggested, sometimes referred to as verification. Value emphasizes the
importance of extracting economic benefits from data [15, 16]. Veracity stresses the
importance of data quality and includes security measures and techniques to assure
trustworthy big data analysis results [17, 18]. This paper considers big data as the
overarching approach of collecting, managing, processing and gaining value from the 5
Vs (volume, variety, velocity, veracity and value). The BDRI bases an index on
measuring big data readiness with these five v’s as core components.
2.3 Research Focus: Africa

Data related analysis and academic studies focusing on the African continent are scarce
due to limited data availability, old and inaccurate data, limited coverage of the
available data and a small reference research pool [6]. Due to these challenges, Africa
has often been referred to as the continent of missing data. Duermeijer et al. [19]
confirms that Africa produces less than 1% of the world’s research even though 12,5%
of the world’s population is from Africa. With regard to published big data related
literature up to 2015, most authors are from China, the USA, Australia, the UK and
Korea [20]. This unequal geographic coverage raises the question whether this is due to
a global big data divide or lack of essential knowledge to undertake big data studies [6].
If big data implementation excludes the developing world, it can lead to greater
inequalities. Additional challenges such as data availability and infrastructure hinder
easy implementation of big data analytics, but the implementation of big data itself can
have large positive effects to alleviate these initial shortcomings [21].
With the spreading of smart mobile devices in developing countries enabling the
collection of multiple data inputs for possible big data solutions, big data research does
no longer have to be restricted to the developed world. Bifet [22] estimate that 80% of
mobile phones are located in developing countries. These developments will increase
data availability in Africa and allow new sources of collected data to emerge. Fur-
thermore, Africa has a population of 1.2 billion people of whom around 60% are under
25 years old [23]. This growing number of future digital natives, who will be gener-
ating data increasingly, shows the research potential in previously unconnected
countries.
Our focus on Africa will attempt to fill this geographical research gap and increase
the research pool in order to encourage other authors to focus on this high potential
region. We will make use of open data in order to make a country-based comparison,
using the BDRI [6] and specifically focusing on the digital wellbeing driver within the
velocity component to see how happiness and big data are connected to answer RQ2.
3 Structured Literature Review
A core step which links the theoretical foundation with the empirical analysis in our
paper is a structured literature review on the two leading terms, “happiness” and “big
data”. Vital discussions among information system (IS) researchers exist about how to
approach a literature review. Some authors argue for a comprehensible approach by
covering all articles somehow related to the review topic [e.g., 24], others such as vom
Brocke et al. [25] actively claim the exclusion of articles while being as transparent as
possible. For this review, we apply a hybrid approach of systematicity [26], because we
are particularly interested in the combination of the two terms “happiness” and “big
data”. Thus, we exclude articles that can be associated with only one of the key terms to
achieve a holistic review of all scientific articles that combine both terms. In the
following phase, we use three exclusion criteria to filter the articles in a funneling
process. The final search string for the queries consequently is:
happiness AND ‘big data’
Following the guideline by Webster and Watson [27], we screened three major
databases for scientific publications, EBSCO, JSTOR, and Web of Science. This
guarantees a good coverage of articles positioned beyond the boundaries of IS, which is
in line with the authors’ advice for a literature review in an interdisciplinary and
connected field, such as IS [27]. The results that cover all available fields in the
databases’ advance search options (e.g., title, keywords, abstract) are presented in the
following section.
Search results for “happiness” solely, which we initially applied for crosschecks on
our combined search string, revealed a huge number of more than 20.000 articles.
Combined with the second term “big data”, the queries applied to the three databases
listed a total number of 154 peer-reviewed journal articles. We applied a set of three
major criteria to limit the number of articles to a reasonable and suitable number for our
purposes. First, we downloaded and screened the title, keywords and abstracts of all
articles and used this as first methodological screening criteria [26]. In this step
duplicated articles, non-English articles and certain types of articles such as short
editor’s notes as a preface or front and back matters were eliminated (A). Furthermore,
we eliminated articles that are directly related to the medical or health sector: they use
happiness in the context of wellbeing after medical treatment, which is out of scope for
this study (B). In a final step, we conducted an individual screening of all the articles
and applied final content-related criteria. All articles were removed which refer only
once to either of the two core terms. These articles appear correctly as search results but
provide a very vague connection between the two terms at most. Additionally, we
eliminated articles that are out of scope (C). In total, 20 articles with a strong relation
between the terms “happiness” and “big data” remained after the three elimination
steps. The initial pool of articles, those excluded at each step, as well as those that
remained and form our final sample are summarized in Table 1:
Table 1. Overview of literature review statistics
Database Articles Exclusion criteria Articles

EBSCO n = 12 A) duplicates, defined types and non-English n = 32
JSTOR n = 114 B) medical or health sector related n=8
Web of Science n = 28 C) content n = 94
Raw sample Σ = 154 Final sample (n raw sample – n excluded) Σ = 20
4 Findings and Discussion

4.1 Relation of Happiness and Big Data
Based on the literature review results (cf. Table 1), we extracted a total of 20 peer-
reviewed articles, which we then clustered regarding potential linkages between hap-
piness and big data. We screened the articles and aggregated them according to central
themes, research areas and methodology. These clusters from the BDRI will be
explained in this section, specifically indicating how big data could affect mentioned
clusters and how this in turn effects happiness, thereby establishing the general relation
between big data and happiness.
A first cluster we could identify can be associated with jobs, specifically job cre-
ation and increased productivity. According to one paper we associated with this
cluster, Frey and Stutzer [28], unemployment has a strong negative effect on the
individual as well as an entire society. Consequently, lowering unemployment
potentially leads to greater levels of happiness, greater bonds towards a community,
and life satisfaction [29]. This effect is even stronger for younger adults [30]. The
implementation of big data concepts can support the process of job creation in general,
but it is diverse with regard to different target groups within a society. New jobs will
predominantly increase happiness of a minority, which due to a reasonable level of
education, has the option to work in big data fields. To address job creation coherently,
we put our focus on big data concepts that also impact existing jobs. Heeks [31] uses
Bhutan as an example where e-agriculture can assist farmers who represent the majority
of the population. In this example, big data concepts support agricultural extension,
better planting, cropping, animal husbandry, and monitoring market prices for better
market revenue. Implementation of big data analytics can not only improve produc-
tivity within existing jobs but also lead to creation of new jobs. Evidently, a meaningful
source of income and higher productivity has positive impacts on the level of happiness
in society, explaining how through this cluster job creation and productivity big data
can contribute to happiness.
Big data can also be used to reduce socio-economic inequalities, our second cluster.
Investments in new technologies can have a reasonable positive impact on multiple
users simultaneously. They can benefit from one investment, such as a shared computer
in a school. In return, research results indicate that countries with poorer socio-
economic conditions, e.g., less or no investments, also perform worse in happiness
studies [8]. Other meta studies in the review addressed socio-economic equality using
big data concepts to investigate links between various factors that consolidate a society,
such as religiousness [32] or a predominant mindset [33]. This cluster links big data to
happiness through the potential impact of big data on reducing socio economic
inequalities, which creates a happiness surplus though having a more equal society.
Furthermore, the literature review revealed a third cluster referring to social
inclusion, which covers closer relationships with others including friends and family
that ultimately increase happiness. Communication networks such as social media play
a key role in this cluster. This has been analyzed by researchers with the help of big
data concepts. For example, Dodds et al. [34] used large-scaled text and word analyses
to measure what they call ‘societal happiness’ on Twitter. Kosinski et al. [35] predicted
‘sensitive personal attributes’ including happiness based on nearly 60,000 digital
Facebook records. Similarly, helping others or the Good Samaritan effect is shown to
increase happiness of the helper as well as of the one being helped [36]. However, lack
of emotional expressions communicated by others via social media services tend to
lower an individual user’s level of happiness [37]. As big data has the potential to
provide the opportunity of higher connectivity, this cluster improves societal happiness
of those experiencing a higher degree of social inclusion.
A fourth cluster called good governance comprises governmental aspects such as

political participation and the trust in the government’s policies and performance [38],
where big data can help increase the level of transparency towards citizens [39].
Democracy itself increases happiness as the majority of citizens have voted to get their
preferential policies in place [28]. The government can use big data technologies for
improved decision making and implementing policies more effectively. Two real-life
examples include the use of mobile phone data and airtime credit purchases to estimate
food security in East Africa or using mining citizen feedback data in order to gain input
for government decision making in Indonesia [40, 41]. This reveals that big data can
lead to better governance, which in turn will impact overall happiness, as shown by
happiness-studies. In addition, our literature review revealed other than politically
driven contexts of happiness, through life satisfaction of people influenced by their
residential status. Jokela et al. [42] used big data techniques to analyze more than
56,000 records. This study found a strong link between “life satisfaction” and
“neighborhood characteristics”, which were set up by public authorities.
The final cluster healthy environment has some connections with good governance
but with a stronger focus on environmental aspects. As people, we are highly depen-
dent on our environment for daily living, especially in developing regions such as
Africa where agriculture is still the largest sector in more than half of the countries [5].
Particularly big data concepts that address superordinate living conditions are relevant.
One example from our literature review is a study by Zhao et al. [43] linking wellbeing,
amongst other things, with economic growth and green space in larger Chinese cities.
Results reveal a significant positive relationship between wellbeing and a high per-
centage of green space in a city. A healthy environment includes low levels of pol-
lution, good water quality as well as the concept of sustainability that is gaining
popularity especially among millennials [44]. Cloutier et al. [45] show how well
individual cities and communities embrace sustainable practices and how these prac-
tices translate to opportunities for residents to pursue happiness. Applying big data to
have smart cities, will lead to a more sustainable and effective society, and by doing so
the healthier environment cluster is the fifth identified cluster through which big data
relates to higher levels of happiness.
Before discussing our specific empirical findings for Africa in the next section, we
would like to address the initially raised research question RQ1 by summarizing that
the relation between happiness and big data can be constituted by the five extracted
clusters that are found in the BDRI: job creation, socio economic equality, social
inclusion, good governance, and healthy environment.
4.2 Empirical Findings for Africa

We use the BDRI, to zoom into digital wellbeing. The BDRI was developed using the
five v’s: volume, variety, velocity, veracity and value as components, with sub-drivers.
Digital wellbeing is a driver under veracity, including indicators for the five previously
extracted clusters job creation including improved productivity, social-economic
equality, social inclusion, good governance and a healthy environment.
The digital wellbeing driver is based on happiness research. Heeks [31] suggests a
model that looks at substrates of happiness and unhappiness to link ICT to happiness.
This has been adapted in the BDRI to incorporate possible links of big data as a
technological priority to happiness. Other BRDI components such as trust and security
deal with eliminating unhappiness caused by implementing big data technologies, thus
digital wellbeing focusses on five clusters contributing to societal happiness.
Fig. 1. Digital wellbeing across Africa
Indicators used to measure these five happiness clusters include, amongst others,
the unemployment rate to indicate the opportunity of job creation and improved
productivity through big data innovation [46]. The human development index score
that takes three characteristics into account including a long and healthy life, access to
knowledge and a decent standard of living to show socio economic equality [47].
Policies for social inclusion and equity including gender equality policies, equity of
public resource use, social protection policies and policies for institutional sustain-
ability are included in the social inclusion measure [48]. Political participation, political
rights, legitimacy of policy, electoral process, power to govern workers’ rights, the
right to collective bargaining, freedom of -expression, -association and, -press and
electoral self-determination are included as measures for good governance [49]. The
indicator for a healthy environment measures sustainability through considering the
share of renewable electricity to total electricity generated by all types of plants, and
other factors [50]. Isolating and aggregating these indicators of the BDRI digital
wellbeing driver, shows how Africa performs in terms of the big data related happiness
clusters (cf. Fig. 1).
All countries in the upper quintile, with the exception of Cameroon, lie in the
Southern Hemisphere, of which Sao Tome & Principe, Gabon and Kenya lie on the
equator. Looking at the different regions: North Africa, East Africa, Southern Africa,
West Africa and Central Africa, it is clear that Southern Africa outperforms other
regions including 6 of the top 10, also Namibia, South Africa and Mauritius.
Southern Africa is also the top performing region in the overall BDRI. Thus, it is
interesting to have a look at the top 10 BDRI performers and look at differences in
terms of digital wellbeing. The BDRI top ten includes mostly coastal and island
nations, with Rwanda as the only landlocked exception [6]. Even though this group of
10 countries outperforms their peers in terms of big data readiness, there is a large gap
in terms of their performance in digital wellbeing. Missing data allows limited com-
parison in two of the five happiness clusters: job creation and social inclusion.
Fig. 2. BDRI top 10 - Digital wellbeing
Using various indicators to aggregate the five clusters of digital wellbeing in the
BDRI gives some insights on the performance of African countries, not only within big
data readiness, but also within the specific digital wellbeing driver. These indicators
was selected following the Design Science Research approach [15].
Namibia, ranking sixth in the overall BDRI (cf. Fig. 2), performs best in the digital
wellbeing driver. This desert nation performs well in available fields, showing highest
performance in the healthy environment cluster. Amongst many factors included in the
BDRI digital wellbeing driver, Namibia’s well managed mineral wealth from a political
and legal perspective, has allowed it to avoid the ‘resource curse’ seen across Africa -
where countries rich in resources have low growth [51]. South Africa, in second
position in both the overall BDRI and the digital wellbeing driver, performs well
compared to its African peers in all clusters, except healthy environment. This field
includes sustainability through the proxy of the share of renewable electricity to total
electricity. South Africa derives 70% of total primary energy supply from coal, making
this economy a large producer of greenhouse gases [52]. Kenya is the third-best per-
former in digital wellbeing from the BDRI top 10, followed by island nations Sey-
chelles and Mauritius in fourth and fifth place. Of the BDRI top ten, Morocco ranks
lowest in digital wellbeing, with a low comparative score in most digital wellbeing
clusters. Amongst other clusters, the indicators aggregated to proxy job creation shows
Morocco to have high labor market inefficiency, with high minimum wages and labor
taxes being the main points of concern [46].
To answer research question RQ2 it is clear that a major difference exists between
digital wellbeing across the 54 African countries. An overall view on digital wellbeing
in Africa shows that on average the continent performs best in the cluster of social
inclusion. Overall, the countries struggle most with socio-economic equality and job
creation. This calls for policy intervention to focus on decreasing socio-economic
inequality and reducing unemployment.
5 Conclusion
In a previous paper [6], we have suggested the Big Data Readiness Index (BDRI) that
measures big data readiness on a country level and by using open data specifically
applied this index to Africa. The BDRI includes the topic of happiness under veracity
within the driver digital wellbeing. By completing a structured literature review, this
paper strengthens the theoretical foundation for the under-investigated relation of big
data and happiness. Five overall clusters form the link between happiness and big data:
job creation including improved productivity, social-economic equality, social inclu-
sion, good governance and a healthy environment.
Using the BDRI digital wellbeing driver allowed a closer look into happiness
across Africa. Empirical findings show that the top 20% of countries all lie within the
Southern hemisphere, with Cameroon as the only exception. Although African coun-
tries vary highly regarding ranking and performance within each happiness cluster,
Namibia, South Africa and Kenya are the top three performers within overall digital
wellbeing from the countries in the BDRI top 10.
Our study also has limitations which can be used as avenues for future studies
based on the BDRI. It could be beneficial in terms of the model design to investigate
causality and the direction of effects between happiness and big data. Regarding the
country-specific analysis, we focused on Africa in its entirety and highlighted specific
countries, which revealed significant results (cf. Fig. 2). Future studies could distinc-
tively focus on the integration of cultural studies though, such as GLOBE or Hofstede,
and compare the cultural clusters within Africa with other cultural clusters outside
Africa. This would also help overcome the issue of scarce data availability for many
countries in Africa, which makes empirical research in this area more difficult. A larger
data pool would also be beneficial for consolidating the BDRI results.
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Predicting Information Diffusion on Twitter
a Deep Learning Neural Network Model Using
Custom Weighted Word Features
Amit Kumar Kushwaha(&), Arpan Kumar Kar,

and P. Vigneswara Ilavarasan
Department of Management Studies, Indian Institute of Technology,

Delhi, New Delhi 110016, India
Kushwaha.amitkumar@gmail.com, arpan_kar@yahoo.co.in,
vignes@iitd.ac.in
Abstract. Researchers have been experimenting with various drivers of the

diffusion rate like sentiment analysis which only considers the presence of
certain words in a tweet. We theorize that the diffusion of particular content on
Twitter can be driven by a sequence of nouns, adjectives, adverbs forming a
sentence. We exhibit that the proposed approach is coherent with the intrinsic
disposition of tweets to a common choice of words while constructing a sen-
tence to express an opinion or sentiment. Through this paper, we propose a
Custom Weighted Word Embedding (CWWE) to study the degree of diffusion
of content (retweet on Twitter). Our framework first extracts the words, create a
matrix of these words using the sequences in the tweet text. To this sequence
matrix we further multiply custom weights basis the presence index in a sen-
tence wherein higher weights are given if the impactful class of tokens/words
like nouns, adjectives are used at the beginning of the sentence than at last. We
then try to predict the possibility of diffusion of information using Long-Short
Term Memory Deep Neural Network architecture, which in turn is further
optimized on the accuracy and training execution time by a Convolutional
Neural Network architecture. The results of the proposed CWWE are compared
to a pre-trained glove word embedding. For experimentation, we created a
corpus of size 230,000 tweets posted by more than 45,000 users in 6 months.
Research experimentations reveal that using the proposed framework of Custom
Weighted Word Embedding (CWWE) from the tweet there is a significant
improvement in the overall accuracy of Deep Learning framework model in
predicting information diffusion through tweets.
Keywords: Information diffusion Twitter analytics Deep learning

Convolutional neural network Linguistic
1 Introduction
Microblogging website Twitter has emerged as one of the primary online social media
platforms across the globe for sharing opinions, interests, and points of view on events
and issues varying from education, sports, online content to politics. Users on Twitter

https://doi.org/10.1007/978-3-030-44999-5_38
Predicting Information Diffusion on Twitter a Deep Learning Neural Network Model 457
can associate their share of opinions related to a subject matter by writing a simple
tweet and posting it in real-time. The selection of right expletives and positioning the
same in a tweet sentence plays a critical role in attracting the attention of right receivers
(users of Twitter) of this tweet with similar interests inside the Twitter platform.
Sharples [1] has claimed that readers on any platform of communication should treat
writing as a creative act of writers using which they deliberately select phrases and
position them to impose a certain interpretation through lexical and linguistic prefer-
ences. This hypothesis was first developed by Maun [2], showing how diverse set of
writers from various backgrounds, are extremely cognizant of articulated aspects of
writing, positioning the expletives with opinions that we should hypothesize as writing
practice and as an act of thoughts representation. The idea of sentence writing includes
the design of the factual or non-factual information of a topic, person, event or domain,
followed by opinion generation through experience or knowledge expressed in words,
within a framework requiring the expertise of linguistics as well as the nature of genres
and domains in which the communication is taking place. The sentence then reaches
the receiver (also referred to diffusion in modern world) to whom the original
writer/sender was planning to convey the message to. The receiver in turn again uses
the knowledge of linguistics to interpret the meaning which original sender was trying
to convey. Hence linguistic competence is central to understand the degree of diffusion
of information in any communication channel.
Social media application Twitter bring users with similar opinion across the globe
on the same platform to communicated, cascade the information to a wider set of users
beyond their group referred to as information diffusion (also referred to as retweet on
Twitter) in a real-time basis. This, in turn, creates mass information on Twitter. The
ability of Twitter to elevate the exposure of any information through a simple tweet is
contained in various aspects of the same tweet. Like the number of users connected to
the account from which the tweet got generated, how active the user has been in the
past, how active the followers in the network of the user are on Twitter.
To achieve effective diffusion of information, other than the previously listed
factors, one more aspect that plays a key role is: the sentence used in a tweet should be
conveying the appropriate information with a factual point of view. Prior research
appears a little apprehensive about the accurate enriching relationship between the
selection of words, placing in a certain order, and about how the thoughts get recon-
structed when we alter the sequence of words. The area of linguistics has well-
described literature on how a well-formed sentence structure can guide the commu-
nication of inference and opinion expressed and at the same time increase the pene-
tration of the sentence at the user level. Aligning the sentences for an appropriate theme
and rheme and the idea of linearization of the words in which ‘what an author places
first will drive the interpretation and penetration of rest that has to follow’ [3] are
known ideas to linguist researchers. Also is the goal of concluding remarks in a
sentence [4]: because the initial vocable or noun in a phrase gains more importance,
and professional writers will change the order of the words to engage the reader’s
attention to the factual information using the active mode of writing a sentence. These
are design alternatives which the writer of a sentence or a tweet on Twitter has to learn
and there are options within this learning that require attention, be it direct or indirect,
that a verbally spoken sentence is not the same as a written one. Using the linguistic
458 Amit Kumar Kushwaha et al.
aspect of feature formation is not entirely explored in the area of research of feature
extraction from verbatim of tweet [5–8].
Through this paper, we are presenting and contribute to the literature an original
and creative approach combined with the deep learning neural network architecture and
the branch of linguistics for feature extraction. We assign custom weights to the word
vector matrix calculated by the index of these words in the neighborhood of the
sequence of the rest of the words in the same sentence. We are further defining this
feature engineering framework as Custom Weighted Word Embedding (CWWE). We
then try to combine this feature engineering framework with the state of the art Long
Short Term Memory (LSTM) to train an initial model that is further optimized by
adding convolutional layer 1D on top of embedding to make it more time-efficient
while training and improve the accuracy as well. For benchmarking the results of
classification using the proposed architecture, we compare the overall accuracy with a
CNN model running on the same architecture using a pre-trained glove word
embedding instead of the experimented Custom Weighted Word Embedding (CWWE).
In the scope of current research, we hypothesize that the proposed framework works
better in classifying a tweet as re-tweetable or not if we take into consideration the
linguistic art of sentence formation. The ideology behind the research in the current
paper is to create the features in such a way that these are not only geography inde-
pendent but also independent of any theme of any event which makes the proposed
framework easily generalizable in any situation.
The rest of the research paper is structured as: in Sect. 2, prior literature is discussed
for defining information diffusion, social media analytics and deep leaning architecture,
in Sect. 3, we describe the proposed CWWE (Custom Weight Word Embedding). To
begin the experimentation phase, we first train a base LSTM model, record the results
and define as “baseline results1”. We then introduce our novel framework with Con-
volutional Neural Network and record the results as “proposed framework results”.
With the same CNN architecture used to test the proposed features but predict the
results using a pre-trained glove model of 10,000-word embedding instead of CWWE
and define the results as “baseline results2”. Finally, we discuss the findings by
comparing “baseline results1” vs. “baseline results2” vs. “proposed framework results”
and conclude with proposing future scope of research in Sect. 4.
2 Prior Literature
The literature review has been designed to follow the following flow: we start with
defining the information diffusion, how social media analytics has helped the
researchers’ community to gain insights about the domain, followed by discussing the
established vectorization process as one of the techniques from the social media ana-
lytics toolkit and concluding with deep learning architectures used for unstructured data
like tweet text.
2.1 Information Diffusion and Social Media Analytics

With the internet opening the barriers of communication among people across the
globe, there is a need to perform research on effective ways of communication. When
there is more communication there is more information diffusion too [9–11]. We define
information diffusion as the travel process of a piece of knowledge having factual or
non-factual details about a person, event, domain or place getting initiated from a
sender and reaching a set of receivers through a channel or carrier. In the case of
Twitter [12, 13], the carrier is the tweet posted on the channel Twitter, the sender is the
user posting the tweet and receivers are followers of the user posting the tweet. There
are three aspects of information diffusion: innovation in communication practice,
factual information and right audience (user-network) which plays an important role in
predicting the degree of information diffusion.
With the increase of internet penetration, social media platforms have started to
gain importance as a channel for message penetration and propagation. Twitter is
constantly explored by organizations and individuals for multiple communications
which creates an abundance of information and hence researchers have started
exploring various analysis frameworks to gain insights and one such framework is
Social Media Analytics (SMA). SMA as an evolving cross-domain research area for
gaining insights through social media has made the usage of Twitter for information
communication and diffusion across multiple domains possible. Many researchers from
their work have proved the potential of SMA across different academic disciplines and
business domains. Prior work strongly shows that SMA can provide important insights
around disciplines such as marketing [14], in deliberation on political [15] and social
concerns [16], in emergency [17], for building public relation [18] or even ruling out
possibility of polarization of any major event [19]. Social media platforms like Twitter
can also help us to gain insights into any specific domain [20] or technology [21].
However, in the domain of social media, penetration and diffusion of communication
has three strong pillars, firstly managing and controlling misinformation [22], secondly
use machine learning to automatically predicting the information (tweet) diffusion
speed, scale, range and trend [23] and thirdly use frameworks to evaluate the credibility
of a tweet, i.e. whether to trust the tweet and the person writing the tweet.
2.2 Word Features and Deep Learning Architecture

The most popular model in SMA for predicting the information diffusion (retweet on
Twitter) is to convert sentences to words and then to vectors and finally use these
vectors as features in classifiers to predict the probability of reweet. Most of the prior
experimentation performed in the retweet prediction is based on the opinion similarity
analysis of the words used in the tweet or at the user account and network level. Xu and
Yang [24] have proposed term frequency-inverse document frequency hinged BOW
(bag of words) for every tweet in a content-based model for retweet prediction. The
research by [25] presented the work of information-sharing approach and trend of users
on social media platforms. The assessment of the importance of these variables in the
same research presented that the term frequency–inverse document frequency weighted
BOW homogeneity of retweeted tweets performing as the highest significant variable
in predicting user retweet trend. Brief research also exists around computational lin-
guistic research [26] to predict the impact of any information, but there certainly exist a
gap for thorough research which has motivated us to take up this research.
Many people try to reword the original sentence in their own words with the intent
of communicating the original message in a much better way. However, as such, any
literature or verbatim synopsis is already abstractive in nature and has very little
possibility of reproduction of the original sentence. With all deep learning architectures
getting noticed by researchers in the field of unstructured data, it has become a more
practical option for any NLP analysis, researchers have begun to consider these
frameworks as a fully data-driven alternative to abstractive text summarization. The
possibility of storing the meaning of a sentence with abstract features extracted is not
completely explored. In the latest research, Lopyrev [27] relates an application of an
encoder-decoder RNN (recurrent neural network) with LSTM units and notices that the
framework starts creating headlines from the actual text of news articles. In a slightly
different but related work, Rush [28] presented a fully data-driven framework for
sentence summarization. His approach makes use of an attention driven algorithm that
creates each word from the input sentence as summary transformed. Chopra [29]
proposes a constraint-based RNN (recurrent neural network) which can easily create an
abstract of any input phrase. The transformation has been done by a unique approach in
which a convolutional encoder is implemented to make sure that the corresponding
decoder centers around the proper input words at each phase of generation. In an
alternate paper that sharply resonates with our proposed framework, Ramesh Nallapati
[30] has proposed a summary-based text abstraction using Attentional Encoder-
Decoder RNN (Recurrent Neural Network), and show that these models achieve state-
of-the-art performance on two different corpora [31–33]. Our work starts with a similar-
looking framework but with the focus of extracting and storing the original sense of a
sentence (tweets on Twitter) in very abstract features (CWWE) and assigning custom
weights which will be further used to predict the diffusion (retweet) of the same
sentences (tweets on Twitter).
3 CWWE-Based LSTM-CNN Model Experimentation

3.1 Data Collection
The first step in developing a classifier is to create a training corpus. In our study, we
are focusing on collecting data from Twitter. The reason behind selecting Twitter is its
flexible architecture that allows one-to-many communication and is less restricted when
compared to other social networking sites like Facebook.
We specifically targeted to collect tweets for “Game of Thrones season8” because
there will not be any sponsored posts and this series (particularly season8) was liked,
watched and hated by viewers across the globe from different ethnicity. Hence the
process of data extraction, gave us tweets originated at different parts of the world with
varied writing styles. To achieve this, we used the following tags: [#GOTS08, #Game
of Thrones Season8, #Game of Thrones Final Season, #Game of Thrones Last Season,
#GOT Season8]. Through streaming API of Twitter, we can scrap (free) one percent of
tweets posted every day. Using Python as a tool, we used streaming API to collect
tweets during the period: [April 14 to May 19, 2019]. This helped us to create a corpus
of 300,000 tweets relevant to our analysis. Out of 300,000 tweets, a corpus of 234,884
tweets was created after data cleaning and removing the tweets which were posted by
major official accounts. Finally, 234,884 tweets were labeled as “Viral” vs “Non-Viral”
basis if the number of retweets of the tweet was greater than ‘10’ referred to as “Viral”
and the tweets for which the retweets was less than ‘10’ was referred to as “Non-Viral”
tweets. Table 1 below represents the exploratory description of the tweet corpus.
Table 1. Descriptive statistics of data set

Tweet Distinct Viral Non- Average age of Average Average
corpus users tweets Viral the twitter account number of number of
size tweets in the corpus tweets per user followers per
per day user
# 234,884 46,302 56,936 177,948 6 years 9 7200
3.2 Data Cleaning

The pretreatment of the tweet text is a mandated step as it cleans and converts the actual
tweet to structured features matrix, ready for analysis, i.e., it becomes easier to extract
rich and factual information from the tweet and apply machine learning algorithms to it.
If we bypass this data preparation step, then there is a highly likely a chance that we are
dealing with noisy and incompatible data. The goal of this data cleaning exercise is to
not only smoothen out the noise, the ones that are much less relevant to uncover the
sentiment of tweets together with punctuation, special characters, numbers, and phrases
that do not convey a lot of weight in context to the text. In the next steps of data
cleaning, we are converting unstructured data of text to more structured data by gen-
erating the matrix of words extracted from the original tweet. If the initial data
cleansing of tweets is done diligently, then the resulting feature space will also be of
good quality.
Initial data cleaning makes every tweet to go through the following phases: Firstly,
we know that owing to security concerns, Twitter never reveals the actual Twitter
handle posting the tweet. Hence as part of the data cleaning process, we clear the
special character sign of “@” which masks the Twitter handle. Secondly, we also know
from the linguistic literature that special characters, alphanumeric, numeric and lingos
do not convey any specific factual information hence, we cleaned any other special
characters, alphanumeric, numeric and lingos from the actual tweets. Thirdly we have
replaced most of the shorter words with the root words like: “haven’t”: “have not”,
“doesn’t”: “does not”. Once every tweet loops through the above 3 steps we extract
words from all the tweets and create a matrix with all the words from the corpus as
columns. However, we have a huge corpus of tweets and hence the size of the matrix of
words also becomes large. To reduce the dimension, we reduced same versions of the
words to its original root word, like: {like, likable}: {like}.
3.3 Build a Preliminary LSTM Model with Standard Word Embedding

For simplicity, we start with the retweet column which represents how many retweets a
tweet has received. Tweets that have more than ten (‘10’) as the retweet value are
considered as the tweets which got diffused easily and strongly and will be labeled as
“Retweeted” tweets for our research. The tweets for which the retweet column has less
than ten (‘10’) as value will be labelled as the tweets which were not able to diffuse
(were not retweeted) on twitter. We define this new column as “Retweet Identifier”
which will have binary values and will be treated as the class label in our research
analysis. Because we have a class label classifier (retweet identifier) to label each tweet,
the research problem can now be defined as supervised learning and the theories of any
classifier algorithm can be implemented to train, validate and test our model. We start
our feature engineering with first tokenizing the text and convert them to word vectors.
For feature dimension control and reduction, we are placing a constraint of 50 words on
each tweet. This means that tweets having texts shorter than 50 words are padded with
zeros, and longer texts are truncated. We now start with the model training.
The architecture of the neural network starts with an embedding layer wherein each
word from a lower dimension is projected to a higher dimension, which in turn helps
the network to learn every word vector in a more descriptive manner. The layer takes
20000 as the first argument, which is the size of our vocabulary, and 100 as the second
input parameter, which is the dimension of the embedding. The third parameter has
been constrained at 50 for the maximum size of every tweet sentence. We have also
divided the entire tweet corpus into three sections: training (on which we let the model
to train and optimize the parameters by minimizing the loss function), validation (on
which the model validates the new parameters selected after every iteration) and test
data (on which the trained model is tested for its performance on an unseen data).
Model results at the end of training at this step are recorded and represented in Table 2.
Table 2. Model results for a preliminary LSTM model

Test data set accuracy
LSTM 0.52
Confusion matrix
Model Retweet
Yes No
Yes 10482 15539
No 2561 9000
Precision = 0.8
Recall = 0.4
3.4 Build a Custom Weight Word Embedding Matrix

With the hypothesis of establishing information diffusion as a function of the weights
derived from position based linguistic features [16], we pursue with the first step of our
proposed CWWE framework. To establish the relative position index, we extract each
word of a tweet as an independent feature and locate the relative presence of this word
feature in the presence of other words in the respective tweet. We also try to see the
context in which the word is used in the tweet while conveying a message. We try to
explain the above concept with a basic illustration below:
James played brilliantly [manner] in the match [place] on Saturday [time]
evening.
vs.
The match [place] played on Saturday [time], James performed comparatively
good from his last game good [manner].
In the first sentence, the writer gives more emphasis by using the word brilliantly
at the beginning of the sentence and the reader might not read the entire sentence to
interpret that James performed brilliantly in the match. On the contrary in the second
sentence, how the player played is being placed at last, which might leave less
emphasis on the player James and some of the readers might even skip that
part. Considering the tweet was about player James, we hypothesize that if the word
brilliantly is used at the beginning there is highly likely chance that this tweet will
diffuse (will be retweeted) in the Twitter network faster as compared to the second
sentence. With this hypothesis, we will be testing the proposed framework by assigning
the custom weights depending upon the relative position of the words. The details of
the framework are explained in the following steps below.
Step 1: After the cleaning the tweet text, performing the text to Word2Vector matrix
(Table 3).
Table 3. Step1 of building a custom weight word embedding matrix

Tweet text James played brilliantly match Saturday good
James played brilliantly in the match on Saturday 1 1 1 1 1 0
evening
The match played on Saturday, James performed 1 1 0 1 1 1
comparatively good from his last game
Step 2: After generating the Word2Vector matrix, we now try to find the length of
each tweet text, mid-point index, first quartile and third quartile basis the length of
text (Table 4).

Tweet text Length Mid-point First Third
index quartile quartile
James played brilliantly in the match on Saturday evening 9 5 3 6
The match played on Saturday, James performed 13 7 4 9
Step 3: We now look at the position index of each word from the Word2Vector
matrix in the tweet text and check if the index falls in the first quartile, close to mid-
point, in the third quartile or beyond the third quartile (Table 5).

James played brilliantly in the match on Saturday First First Third Third Third 0
evening
The match played on Saturday, James performed Mid First 0 First First Third
Step 4: In the last step we assign a weight of 0.75 to the word which appears close
to the first quartile, nothing to the words which are close to the middle part of the
sentence and 0.25 to the words which are close to the third quartile of the tweet text.
We further multiply these weights for the respective words in the respective tweets
to the matrix from step1. The resulting matrix for the illustration looks like below
(Table 6).
Table 6. Final step of building a custom weight word embedding matrix

James played brilliantly in the match on Saturday 0.75 0.75 0.75 0.25 0.25 0
evening
The match played on Saturday, James performed 0 0.75 0 0.75 0.75 0.25
3.5 Build a CNN Model with CWWE

The LSTM model worked well with the initial Word2Vec matrix. However, it took
forever to train one epoch. CNN is known to work well in image processing domains
but the potential usage of CNN architecture in unstructured data like tweet analysis is
still a fairly new area for research. Literature suggests that to increase the response time
of the models while training on the data, we can add a convolutional layer, by doing so,
uses a “filter” over the input feature matrix and calculates a higher-level representation.
We then perform max pooling through a kernel of the input dimensions which in turn
reduces the parameters required and this, in turn, reduces the training time. While doing
Table 7. Model results for the CNN model with CWWE

CNN 0.80
Confusion matrix
Model Retweet
Yes No
Yes 19798 6223
No 1603 9958
Precision = 0.9
Recall = 0.76
the same we also introduce the model to the new CWWE features to test if the new
derived features help to increase the accuracy of the classification. Model results at the
end of training at this step are captured and represented in Table 7.
3.6 Build a CNN Model with a Pre-trained Glove Word Embedding

In this step, we use the same network architecture from 3.5 above, but instead of using
CWWE, we now use the pre-trained glove 100-dimension word embedding as input
features and consider the results as a benchmark to compare against the results recorded
from step 3.5. If the results from step 3.5, outperform the results of the current step then
our original hypothesis is correct. The glove model used in this sub-section is pre-
trained on four hundred thousand (400,000) words over a billion tokens. The glove has
embedding vector sizes, including 50, 100, 200 and 300 dimensions. We chose the
100-dimensional version. We also want to see the model behavior in case the learned
word weights do not get updated. We, therefore, set the trainable attribute for the model
to be False. The results of this step are recorded and represented in Table 8 below.
Table 8. Model accuracy

CNN + Glove 0.70
Confusion matrix
Model Retweet
Yes No
Yes 17004 9017
No 2665 8896
Precision = 0.8
Recall = 0.65
3.7 Summarization of the Results

A summarization of the results reveal that using the proposed framework of Custom
Weighted Word Embedding (CWWE), if the word features extracted from the tweet are
assigned custom weights basis the relative position of these words in the sentence, we
record a significant improvement in the overall accuracy of CNN model from 53% to
80%. We also see that precision and recall of the model with the proposed framework
outperforms the preliminary model at 0.90 and 0.76 as compared to 0.80 and 0.40
respectively for the concerned class which is - will a tweet retweet (retweet > 10).
The CNN model with the proposed framework has also outperformed pre-trained
established glove word-based CNN model experimentation with the same architecture
with the latter’s values as (accuracy: 0.70, precision: 0.8, recall: 0.65). Hence we can
state that our initial hypothesis of a writer’s deliberate choice of placing the more
influential words (like nouns, adjectives) at the first half of the tweet puts more
emphasis on the intent interpretation by the readers and helps to cascade the same at a
faster rate on social media platform as compared to sentences/tweets where these words
are used at the latter half is correct.
4 Discussion
The primary contribution of our research paper is CWWE with a combination of CNN
in using the linguistic features. With the outcome of our experimentation set-up we
confirm our hypothesis that degree and rate of any information diffusion on twitter
(tweet getting retweeted) can be established as a function of how a user has designed
the sentence with the constraint limitation of the size of the tweet (140 characters).
Intentionally placing more impactful words related to the context of discussion can
increase of potential retweet faster and hence for it is important to also understand the
linguistic aspect of writing English literature. We were also able to bring down the
training time of the model knowing that unstructured data will have higher dimension
of features set as compared to other regular analysis. We have proved through our
experimentation and research that the proposed CWWE can outperform any other
established word-embedding framework.
5 Conclusion
Every tweet contains both micro and macro-level information about the information
conveyed that can be extracted and then can be further used to represent a tweet. With
this motivation we chose the semantics which represents the micro level information of
a tweet and developed a framework of embedding matrix representing a writer’s habit
of placing the part of speech (Nouns and adjectives). We further used the rules of
semantic information with the help of deep neural network framework to predict if a
tweet will be retweeted on not. We proved that the diffusion of a particular content on
Twitter can be driven by a sequence of nouns, adjectives, adverbs forming a sentence.
We exhibited that the proposed approach in this paper is coherent with the intrinsic
disposition of tweets to a common choice of words while constructing a sentence to
express an opinion or sentiment. With this experimentation we have established that if
a writer uses an adjective or a noun at the beginning of the sentence, there is highly
likely a chance that the sentence/text/information is going to diffuse at a faster rate.
Motivated by the positive results of the current experiment, as next steps for future
research work, we plan to extend the CWWE along with the other features like size of
the network structure, the user is part of and understand the relation with social
influence on social media platform Twitter. The framework should be able to predict
the exact social influence in terms of number of retweets any user will get while posting
any tweet.
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Requirements of Data Visualisation Tools
to Analyse Big Data: A Structured Literature
Review
Joy Lowe(&) and Machdel Matthee

u16331878@tuks.co.za, machdel.matthee@up.ac.za
Abstract. The continual growth of big data necessitates efficient ways of

analysing these large datasets. Data visualisation and visual analytics has been
identified as a key tool in big data analysis because they draw on the human
visual and cognitive capabilities to analyse data quickly, intuitively and inter-
actively. However, current visualisation tools and visual analytical systems fall
short of providing a seamless user experience and several improvements could
be made to current commercially available visualisation tools. By conducting a
systematic literature review, requirements of visualisation tools were identified
and categorised into six groups: dimensionality reduction, data reduction,
scalability and readability, interactivity, fast retrieval of results, and user assis-
tance. The most common themes found in the literature were dimensionality
reduction and interactive data exploration.
Keywords: Big data visualisation Visualisation tools Visual analytics
1 Introduction
Big data is growing at an exponential rate due to unprecedented data capture from
smart devices, the internet of things, measurement and sensor technology, transaction
data, metadata, and social media (Ali et al. 2016; Gisbrecht 2013; Resnyansky 2019).
With an estimated 3.7 billion internet users globally (Marr 2018) the internet is a
significant factor in the generation of data. Google, the most popular search engine,
receives at least 5.5 billion search queries per day (Sullivan 2016) and processes 24
petabytes of data per day (Ali et al. 2016). User generated social media data is another
significant contributor to big data, with Facebook reporting 2.32 billion active monthly
users (Noyes 2019a) and Twitter reporting 321 million active monthly users with 500
million tweets posted daily (Noyes 2019b)
Big data is defined as large, complex, high velocity data sets (Seokyeon et al.
2015). Big data is characterised by volume, velocity, value, variety, variability, and
complexity (Katal et al. 2013). Due to the nature of these large, heterogeneous data
sets, interpretation and comprehension of the data is often difficult, and current data
storage and analysis technologies are no longer able to effectively store and analyse
such large datasets (Genender-Feltheimer 2018). However, using big data brings new
opportunities for research and new insights across a wide variety of fields (Resnyansky

https://doi.org/10.1007/978-3-030-44999-5_39
470 J. Lowe and M. Matthee
2019) and by visually exploring and analysing the data, unexpected discoveries can be
found.
Data visualisation is a solution to aid meaningful analysis, accessibility and
interpretation of big data as it relies on human cognitive capabilities to process visual
information (Gisbrecht 2013). Visualising data creates an image that the user is able to
parse in three subtasks: perceptual grouping, image segmentation and object recogni-
tion (Zhu 2003). Image parsing is an efficient means of comprehending large datasets
because grouping or clustering of data points, as well as outliers, become apparent.
Further, the inclusion of interactive technology and visual analytics allows users to gain
more information about specific data points and areas of interest through visual
exploration, which facilitates the formation, testing and validation of hypotheses
(Elmqvist and Fekete 2010).
Increasingly complex and sophisticated data analytics and visualisation algorithms
are required in response to the increasing significance of big data (Gisbrecht 2013). The
velocity at which the data is generated produces the need for real time analysis. This
paper will explore and compare various techniques which have been developed in
response to these requirements to effectively visualise and comprehend big data.
2 Literature Background
2.1 The Growth of Big Data

Big data has been hailed as one of the greatest challenges of the 21st century due to the
volume of data, the speed at which the data is being generated, as well as the incon-
sistency of the data (Katal et al. 2013). A number of factors contribute to the growth
and complexity of big data including the internet of things (IOT), click stream data, and
social media data. Big data has become an integral part of business, social media,
scientific research and several other fields (Olshannikova et al. 2015) and the data is
predicted to grow even further, at faster rates.
2.2 The Need for Visualisations to Comprehend Big Data

Big data is now beyond human comprehension through simple exploration and
investigation of the data (Long and Linsen 2011). People are able to comprehend the
world more quickly and easily through visual cues, and this extends to visualising data.
Vision is the most valuable human sense and most people prefer visual representations
to other sensory information.
In order to capitalise on the big data revolution and gain as much insight as
possible, it is imperative that the data is analysed efficiently and accurately, and
thereafter visualised to allow for the fast interpretation of the data, much of which is
generated in real time.
Furthermore, visualisations of data make trends and patterns in the data much more
apparent such as clustering, the distribution of the data, and correlation within the data
(Long and Linsen 2011). The goal of many businesses regarding data analysis is to
Requirements of Data Visualisation Tools to Analyse Big Data 471
recognise such patterns, emphasizing the need for data visualisation to achieve strategic
objectives.
Visualising data is a means of “uniting the abstract world of data with the physical
world through visual representation” (Olshannikova et al. 2015). Visualisations can be
likened to the front end of big data (Wang et al. 2015) and can be used to access and
interpret the data, making the insights and trends more apparent.
2.3 The Need for Awareness of Data Visualisation Techniques Among

Professionals
Many business professionals now need to be educated in data related information and
become “data literate” in order to generate business reports as well as interpret reports
and business intelligence executive dashboards. These business professionals must be
made aware of the features and limitations of each visualisation technique and visu-
alization software or tool, particularly with interactive dashboards becoming more
popular. In this paper some visualization tools and techniques will be discussed.
2.4 Commercially Available Business Intelligence and Visualisation Tools

There are a number of currently available commercial Business Intelligence tools that
include the ability to create visualisations, which can be utilized by professionals in a
number of different fields and industries. Figure 1 below shows the Magic Quadrant for
Analytics and Business Intelligence Platforms published by Gartner in February 2019.
This quadrant displays the ‘leaders’, ‘visionaries’, ‘challengers’, and ‘niche players’ of
business intelligence platforms and provides a good overview of the landscape of the
industry at present.
Fig. 1. Gartner magic quadrant for analytics and business intelligence platforms (Orad 2019)
3 Research Method
A systematic literature review was carried out during the course of this research. The
following eight steps are suggested when conducting a systematic review of Infor-
mation Systems research (Okoli and Schabram, n.d.):
1. Identifying the purpose and intended goals of the literature review
2. Outlining the protocol and detailed procedure to be followed
3. Searching for the literature
4. Practical screening/screening for inclusion
5. Quality appraisal/screening for exclusion
6. Data extraction
7. Synthesis/analysis of studies
8. Writing the review.
3.1 Research Question

What are the requirements of data visualisation tools used to analyse big data?
3.2 Search Terms

Title (data) AND title (visual*) AND abstract (big data).
The wild card search term “visual*” was used to cater for all variations of the words
that derive from the common stem ‘visual’ including visualise, visualising, visualisa-
tion, visualisations, as well as being inclusive of both variations of spelling for each of
these words: the American spelling which includes a ‘z’ and the English spelling which
contains an ‘s’. In the case where a search engine did not support wild cards, all
possible variations of the word were specified using OR Boolean clauses so that any of
the spellings would be included in the search results.
3.3 Selection Criteria

Inclusion Criteria
• Articles published between January 2014 and October 2019 were included to ensure
the most up to date research was evaluated since the field of big data visualisation is
changing rapidly.
• Peer reviewed journal articles and conference papers were included.
• Only articles written in English were included.
Exclusion Criteria
• Articles published prior to January 2014 and after October 2019 were excluded.
• The following document types were excluded: periodicals, editorials, books, and
book chapters.
3.4 Source Selection

The following sources and databases were consulted during the course of this research:
• ABI/Inform
• ACM Digital Library
• EBSCOhost
• ScienceDirect
The Prisma flow chart below shows the number of articles identified through each
database and the process of exclusion that was followed to reach the final 31 articles
that were included in the literature review (Fig. 2).
Fig. 2. Prisma flow chart
4 Analysis of Findings
After reviewing the literature, many authors are in agreement that data visualisation
will become increasingly important as big data becomes more prevalent in more
organisations and in order to interpret the data, effective visualisation techniques will
be required (Wang and Li 2019). There has also been a call to improve current visu-
alisation techniques (Li et al. 2016; Olshannikova et al. 2015) in order to handle the
challenges of visualising big data.
A combined list of requirements of data visualisation tools to interpret big data
found in the literature are shown in Fig. 3 below. The bar graph shows the number of
papers included in the literature which fall into each category. Note that some articles
address more than one category, thus the total of the values of the bars in Fig. 3 is
greater than the total number of articles included in the literature review.
Dimensionality Reduction 15
Interactivity 14
Scalability and Readability 9
Categorical Fast Retrieval of Results 7
Grouping Data Reduction 5
of Articles User Assistance 4
0 10 20
Number of Articles in Each Group
Fig. 3. Number of articles in each category
4.1 Dimensionality Reduction

The dimensionality reduction category contributed the highest number of papers (15 of
31). Dimensionality reduction is a key requirement of big data visualisation (Zou et al.
2016) because many of the large datasets that exist today contain multiple dimensions,
however, humans can only perceive three dimensions, giving rise to the need for
algorithms that can reduce datasets to two or three dimensions which can be visualised.
There are a number of statistical algorithms which can achieve this including Principal
Component Analysis (PCA), t-distributed stochastic neighbour embedding (t-SNE) and
diffusion maps (Agrawal et al. 2015; Fernandez et al. 2015; Genender-Feltheimer 2018;
Gisbrecht and Hammer 2015; Shirota et al. 2017). Mapping multidimensional datasets
into clusters that are represented in two or three dimensions is also common and allows
the partitioning of data into similar groups (Keck et al. 2017). It is useful to maintain
the original structures of the data (Fernandez et al. 2015) so that further analysis can be
carried out after identifying certain clusters or patterns of interest during the two- or
three-dimensional exploration of the data (Keck et al. 2017; Xie et al. 2016).
Advantages of dimensional reduction include easily understood visualisations, reduced
data quality challenges, and improved computational efficiency (Genender-Feltheimer
2018).
Dimensionality reducing algorithms are either linear, or non-linear. Linear algo-
rithms are only able to learn linear underlying topological spaces, while non-linear
algorithms are able to learn complex underlying topological spaces and focus on
preserving neighbourhood geometry (Genender-Feltheimer 2018). Dimensionality
reduction algorithms can also be grouped into supervised and unsupervised algorithms.
Supervised algorithms require a ‘training’ data set to ‘learn’ from, and subsequently the
model is applied to a second ‘scoring’ data set. Unsupervised algorithms do not require
a training dataset, but rather, are able to detect patterns in the data (Mwangi et al. 2014).
Examples of supervised algorithms include Linear Discriminant Analysis and Linear
Regression; and examples of unsupervised algorithms include neural networks and
other deep learning methods. Supervised algorithms have the potential to be tainted
with human bias, as the training dataset contains user defined target labels (Mwangi
et al. 2014).
4.2 Interactivity
By providing a visual interface which the user can interact with, the user is able to
intuitively comprehend the data, perceive the underlying patterns (Lugmayr et al. 2017)
and query the data visually, without the need for programming knowledge. The ability
for a user to interact with a visualisation makes visual exploration of the dataset
possible and this has the major advantage of combining both human and machine
intelligence (Chen et al. 2019) to uncover unexpected and interesting phenomena
within the dataset (Cho et al. 2014). The benefits of visual analytics are “visual per-
ception, interactive exploration, improved understanding, informed steering and intu-
itive interpretation” (Liu 2019). This has the potential to uncover patterns in the data
using a bottom-up approach (Ruan and Zhang 2017) or to test theories and search for
evidence within the data using a top-down approach (Genender-Feltheimer 2018;
Mwangi et al. 2014). Visualisation tools should enable the user to drill down into areas
of interest within the data (Zhao et al. 2017) to aid in the visual analysis.
Several authors write about the need to keep the user informed at each step of the
visual analytics process. This gives the user situational awareness and keeps the user
informed about the underlying processes being run in order to render the data or return
results (Zhao et al. 2017). Currently, many visualisation tools are a “Black Box” and do
not give enough feedback to the user. Results are produced without a description of
how the results were calculated, and in some visualisation systems, the user is not given
the option to select a statistical method of their choice (Seokyeon et al. 2015).
4.3 Scalability and Readability

The displays on which the visualisations are rendered have a limited number of pixels,
thus the lowest granularity possible is to plot one data point onto one pixel (Molina-
Solana et al. 2017; Olshannikova et al. 2015; Yang et al. 2015). Visualisation tools are
required to “squeeze a billion records into a million pixels” (Bikakis 2018) empha-
sizing the need for summarisation of data, particularly when creating visualisations. If
the dataset is not sufficiently summarised, or if every data point is plotted, this may
result in ‘over plotting’ which is inefficient and it can be difficult to discern the patterns
and trends within the data (Li et al. 2016). The number of pixels is even lower on
mobile device screens, thus the scalability of visualisations for mobile devices are even
more important (Li et al. 2016; Molina-Solana et al. 2017). Furthermore, attempting to
plot all data points overloads the users’ cognitive capabilities, thus it is important to
ensure readability and scalability across all screen sizes and in all contexts (Eldawy
et al. 2015). In order to achieve this, visualisation tools should include zooming;
overview and detail; and brushing of the visualisation (Li et al. 2016). The visualisation
tools should also use the approach of providing a high level overview of the data
initially, and subsequently load more detailed data as the user queries and drills down
into areas of interest (Agrawal et al. 2015).
4.4 Fast Retrieval of Results

It is imperative that data visualisation and visual analytics systems retrieve data fast
enough so that the user does not lose their focus and momentum when visually ana-
lysing a dataset. The intention is to hold the users concentration, enabling them to
problem solve at a high level and creatively formulate queries to investigate further
(Liu 2019). Several authors agree that the result should be returned within one second,
while some authors specify not more than ten seconds (Li et al. 2016).
One approach to address this is called approximate query processing, whereby an
approximation of the data is returned quickly and the exact results are continuously
processed in the background while the user moves onto other queries (Zhao et al.
2017). When the query has finished processing, which may take up to ten minutes, the
user is informed and the discrepancies between the original estimate and the final
results are displayed to the user (Moritz et al. 2017). Generally, it is more important to
get a broad overview of the data, rather than exact figures, and in this regard, the
approximate processing approach works well. Displaying the confidence interval of the
estimate during the initial load of the data gives further benefit to this method, as the
user is given an estimate and an indication of how accurate the estimate is. This is
particularly useful when the results of simple queries are needed urgently (Masiane
2019; Zhao et al. 2017).
Other approaches which may speed up data retrieval include catching or
prefetching the results of frequent queries. It may also be advantageous to divide the
data processing across several computers. Online Analytical Processing (OLAP) is
another method which speeds up query processing (Moritz et al. 2017). Where pos-
sible, it can be useful to parallelise data processing and rendering so that they are
performed simultaneously rather than sequentially (Hassan and Pernul 2014).
4.5 Data Reduction

As mentioned in Sect. 4.3, computer screens have a limited number of pixels onto
which data points can be rendered. A possible solution is to make use of data reduction
techniques to utilise the “screen real estate” efficiently (Yang et al. 2015). There are a
number of ways to reduce the data, including filtering, clustering, and sampling
techniques (Masiane 2019). Examples of sampling techniques that could be used to
reduce the dataset include stratified random sampling, systematic random sampling,
and quota sampling. Probability sampling techniques select the data in such a way that
each data point has an equal probability of being selected. In contrast, non-probability
sampling techniques are useful in some cases for the purposes of including at least one
data point within each group or category that may be present in the data, meaning that
data points which fall into a smaller group or category have a higher chance of being
selected than data points which fall into larger categories or groups. This ensures each
group is represented in the sample by the inclusion of at least one data point from each
group or category (Genender-Feltheimer 2018).
An inevitable disadvantage of data reduction is information loss (Abidi et al. 2018)
resulting in the inability to identify nuances such as outliers as well as the true patterns
and trends in the data (Keck et al. 2017).
4.6 User Assistance

Currently, the majority of visual analytics is carried out by domain experts, or math-
ematicians and statisticians with the appropriate analytical software and resources (Ko
and Chang 2018). However, with increasingly user friendly web-based visualisation
tools, many more novice users or laymen could conduct data analysis in future (Seo-
kyeon et al. 2015). According to Behrisch et al., however, the visualisation tools that
are commercially available currently still require much improvement in order to pro-
vide users with appropriate assistance (Behrisch et al. 2019). Examples of methods to
provide the user with assistance include recommending which visualisation techniques
are most suitable, given a particular dataset as input (Seokyeon et al. 2015). Behrisch
et al. (2019) recommend calculating statistics as soon as the input data is loaded and
displaying the results to the user immediately. The visualisation tool could further assist
the user by predicting user queries based on use case, user profile, and the relevant
information could be displayed based on these parameters.
Human Computer Interaction (HCI) principles are highly relevant in this domain
and the user experience could be enhanced by incorporating principles such as gestault
laws of grouping, and providing frequent and appropriate feedback (Seokyeon et al.
2015). Similarly, the use of colours is a simple way to highlight similarities or dif-
ferences in the data (Elaiza et al. 2014). As mentioned in Sect. 4.2, visualisation tools
must keep the user informed at each stage of the analysis to give the user situational
awareness, inform the user of the progress of the query, and to give the user more
control over the analysis (Behrisch et al. 2019; Zhao et al. 2017). Zhao et al. (2017)
argue that most visual analytic systems are designed too specifically, thus they are only
suitable for a limited range of situations as they restrict data types and data structures.
A potential solution to make visualisation systems more dynamic and flexible is
through customisation and the use of plug-ins and dynamically linked libraries (Liu
2019).
5 Conclusion
Big data and the visualisation of large datasets brings many promising opportunities for
discoveries of patterns within the data. However, to fully capitalise on these oppor-
tunities, visualisation tools must be able to: perform dimensional reduction of multi-
dimensional datasets; perform data reduction as it is not feasible to render each data
point; ensure scalability and readability of visualisations; allow the user to interact with
the data and visually analyse the data; retrieve results quickly so that the user does not
lose their focus; and provide user assistance. Visualisation tools are currently too
narrowly focused, and must be more flexible in terms of the data types they are able to
process and the functions they are able to perform. As big data continually grows, data
visualisation tools must improve rapidly to enable the exploration and analysis of the
masses of data that are produced. Data visualization tools must improve at an equally
rapid pace.
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Implementation Considerations for Big Data
Analytics (BDA): A Benefit Dependency
Network Approach
Juane Maritz , Sunet Eybers(&) , and Marie Hattingh
University of Pretoria, Private Bag X20, Pretoria 0028, South Africa

maritzjuane@gmail.com,
{sunet.eybers,marie.hattingh}@up.ac.za
Abstract. The benefits of Big Data Analytics (BDA) are substantial in

instances where organisations manage to successfully implement analytical
capabilities. These benefits include improved, data driven decision-making,
which can lead to deeper insight into business operations and as a result better
performing organisations. Not surprisingly, an increased number of organisa-
tions are researching best implementation practices for BDA projects.
Similar to software projects, research has shown that many BDA projects fail
or do not deliver the business value as promised. To address this issue, the main
objective of this research is to identify BDA implementation considerations for
new BDA endeavors that will help organisations to align their BDA efforts with
their overall business strategy to maximize business value.
Based on a Benefit Dependency Network (BDN) model as main theoretical
underpinning, a structured literature review was conducted focusing on invest-
ment objectives, business benefits, enabling changes and IT enablers when
implementing BDA. A BDA implementation requires a holistic approach by
considering aspects such as the skills of people which will have an impact on the
structure of the organisation, business processes and technology changes to
deliver benefits and investment objectives. Each of the domains of the BDN
should be considered prior to BDA implementations.
The research offers a guideline to organisations implementing BDA, based on
the foundation of BDN.
Keywords: Big Data Analytics Structured literature review Benefit

Dependency Network (BDN)
1 Introduction
Data is continuously being created and shared by people, tools and machines [1]. Huge
data sets can be attributed to the introduction, evolvement, and advancement of new
sharing technologies, the connectivity of devices and number of data generating
devices/platforms like Facebook, internet connected cars, wearable devices and cell
phones [3]. Big datasets often contain untapped, hidden value. To realise the value of big
data, organisations need to apply sophisticated analytical methods to extract actionable

https://doi.org/10.1007/978-3-030-44999-5_40
482 J. Maritz et al.
insight from these datasets. As a result, organisations acknowledge the need for Big
Data Analytics (BDA) to help drive decisions making within the organisations [4].
Despite the obvious financial benefits of big data analytics, organisation still face
challenges implementing BDA projects [6]. One of the suggestions is that BDA can
only be implemented successfully where organisation understand the organisational
changes that needs to be considered before embarking to such implementations, and,
similar to IT implementations, fully understand the requirements [7].
The need for a holistic BDA implementation guideline lays the foundation for this
research. It is argued, for an organisation to successfully implement BDA, the
organisation and technical IT teams must work together to successfully implement
BDA [8]. An all-encompassing approach is therefore required considering multiple
facets within the organisation [9]. The research question of this study is ‘What are the
changes that an organisation need to make to successfully implement big data ana-
lytics?’. The research is therefore conducted through the lens of organisational
improvement.
The research paper starts with evaluating the meaning of BDA and subsequently
identify the challenges associated with the implementation and realization of business
value. The Benefit Dependency Diagram (BDN) is explained followed by the research
approach. As part of the discussion of findings, a preliminary BDN summarizes find-
ings using the different domains of the BDN where after the research is concluded.
2 Big Data Analytics (BDA)
Big data analytics (BDA) incorporates techniques and technologies that are used to
capture, store, transfer, analyse and visualize enormous amounts of structured and
unstructured data [10]. A good descriptive definition of BDA was proposed by the
Operations Research and Management Science stating that BDA is a process of
transforming data into insight that will guide business decision making and organisa-
tional strategic direction based on insight derived from data to predict the future [11].
BDA therefore includes skills, technologies, methodologies, and practices to analyze
data, enabling organisations to better understand their customers, their markets and to
help drive future decision making [12].
According to the Chartered Global Management Accountant (CGMA), (a gov-
erning body focusing on governing accountants), BDA constitutes four levels namely
reporting, analysis, monitoring and prediction [13]. Reporting visualizes data and can
explain past events within the organisation. Analysis refers to the deep understanding
of possible reasons for past events. Monitoring enables the organisation to understand
what is currently happening within the organisation. Prediction is the action of using
data and determining what could happen in future within the organisation, i.e. predict
future events [13]. Although BDA can assist with providing insight on all four levels,
the strength of BDA lies in the ability to predict and anticipate events based on current
data. As a result, BDA can assist decision makings to create appropriate business
strategies, providing them with the right knowledge to the correct people at the right
time and in the right format [14]. Only after performing data analytics tasks can the
Implementation Considerations for Big Data Analytics (BDA) 483
organisation gain insight from big data. Insight is an actionable piece of knowledge that
can drive decision making, strategic decision making and improve productivity and
efficiency [2].
2.1 BDA Implementation Challenges

Although BDA promise a lot of advantages to the business, research has indicated that
managers and organisations struggle with the successful implementation of Big Data
Analytics strategies, in particular aligning data analytics projects with current business
strategy [13, 15]. Furthermore, research has indicated that management does not
comprehend how to identify business benefits from BDA implementations [16].
The reason why organisations struggle to realise business value from BDA can be
grouped into three main categories, namely technical related challenges, managerial
challenges as well as organisational challenges. Technical challenges include data
related issues (challenges consolidating data from different sources and data quality);
challenges with the presentation of findings (intelligent visualization and presentation
of data) and making the appropriate technology choices [4, 13]. Managerial challenges
include the inability of managers to gain insight from data analytics results, and sub-
sequently linking the insight to actual business problems with the objective of
increasing revenue [13]. Organisational related challenges include changes in decision
making and leadership, organisation culture changes, adoption of a data-driven
decision-making culture and clear direction of initiatives [10].
2.2 Realising the Value of BDA

The challenge to implement new IT technologies, such as BDA, has been ongoing for
many years. An astonishing 70% of most IT projects fail or deliver the actual benefit
promised when implementing the new technology [17]. Research has shown that IT
projects fails due to numerous reasons, of which change management, both on
organisation as well as process level, are the most prevalent [18]. According to Peppard
[17], benefits from IT investments don’t just “happen” - it needs a firm commitment
from organisations to drive the investment through organisational change [17].
Multiple proprietary tools have been developed to assist the organisation in making
IT investment decisions. Examples include a SWOT analysis [19], Balanced Scorecard
[20] and the Benefit Dependency Network (BDN) diagram [17] (to name a few). These
tools consider possible intangible benefits of investments and can, when used properly,
assist management to maximize the benefits of their IT investment by conducting a
proper evaluation of the planned investment. These tools are also designed to assist
organisations in the alignment of their IT investments to the overall business strategy.
The BDN was selected as main theoretical foundation for this study. The tool was
selected due to the powerful visual ability to graphically highlight change requirements,
both on a holistic (enterprise) and functional level, that managers can use as a guide to
evaluate the extent of changes required prior to embarking on new IT investments, in
this instance the adoption of BDA [17]. It furthermore considers the relationship
between people, processes, and technology assisting managers to understand how the
expected benefits will be delivered through the combination of technology and business
changes. From an organisational perspective the one-page graphical model assists with
the alignment of IT investments with the business strategy and highlights the fact that
IT investments should not be driven by technology but rather by clear business
objectives.
The BDN is not a widely adopted and researched tool and does not consider the
strengths, weaknesses, constraints and challenges that organisations might face when
adopting new technologies. Although critics feel that the model lacks strong empirical
evidence, the tool seemed appropriate for this level of initial investigation into the
identification of organisational adjustments required prior to implementing BDA.
Furthermore, it was only used as a lens to analyse data and guide the discussion.
3 Research Approach
The main purpose of this research was to identify strategic level implementation
considerations prior to the implementation of BDA. As a result, the research aimed to
identify how the maximum value can be achieved from BDA implementations.
A structured literature review was conducted, using keywords such as big data
implementation, big data analytics implementation, data analytics implementation,
analytics implementation model, business intelligence and implementation. Business
Intelligence (BI) was included as a search term because BI was perceived as part of a
BDA implementation. Peer reviewed articles were only considered when written in
English, for the period 2015 to 2019, on the following databases: ABI/Inform col-
lection, EBSCOhost and Emerald Insight. Both the Forbes and Harvard Business
Review online sources were consulted. There was no restriction placed on the disci-
pline on which the article focused as IT is perceived as a multidisciplinary field.
The initial, preliminary number of articles returned after the search process was
2453. Following the application of the inclusion criteria it was reduced to 300. This
preliminary pool of 300 articles were further evaluated for applicability by considering
the abstract section of each article using the proposed quality assurance criteria by
Kitchenham and Charters [21]. The criteria allowed a score rating of 0, 0.5 or 1 to be
allocated to each article based on a clear description of the research process, identifi-
cation of clear research limitations and finally the extent to which the research was
applied in practice. The final article pool consisted of 15 articles.
Each of the 15 top articles were evaluated and classified by means of thematic
content analysis using each of the ‘domains’ of the BDN tool (namely the investment
objectives, business benefits, business changes, enabling changes and IT enablers, as
described in Sect. 2.2). A matrix was created listing the each of the domains hori-
zontally with a specific measurement identified in literature supporting the domain. For
example, articles indicating a clear statement of what the BDA implementation should
achieve was included in the investment objective; advantages and benefits achieved as
part of a BDA implementation was included under the business benefits section; per-
manent business changes such as business processes as part of the business changes
heading; enabling changes referring to non-permanent, short term changes in the
organisation; and IT enablers refers to any technology related requirements for BDA.
Table 1 contains an example of the matrix used. The authors of the various articles
were listed on each table row. Where research focused on a particular concept, an X
was used in the table to indicate research applicability.
Table 1. Concept mapping matrix

Concept
Investment Business Business Enabling changes IT enablers
objectives benefits changes
What BDA Organisational Permanent, Non-permanent, Technology
implementation advantage and long term short term requirements
objectives benefits organisational organisational
change change
Author
4 Discussion of Findings
The discussion of findings is based on the summary of the final pool of 15 articles
(available on request). As mentioned previously the analysis was conducted per
domain, starting with the investment objectives, business benefits, business changes
enabling changes and IT enablers (read from right to left on the BDN). The order of the
domains is of extreme importance to ensure that technology support the overall
investment and align with the business strategy. Arrows on the diagram indicate a
relationship or inter-domain dependency between. A change in one of the items can
influence another domain and can therefore assist in the identification of change to be
consider imperative to realising benefits (see Fig. 1).
Any benefits management intervention starts with a clear need to change, in this
instance referred to as the “driver”. Drivers are elements that top management regard as
the main driving force behind the need for the business to change [22, 23], and can be
both internal and/or external to the organisation. In this instance, the organisation wants
to adopt BDA due to the need to analyze huge amounts of data. For example, they need
to replace existing BI systems and move towards the implementation of BDA which
will lead to improved sales and customer service. BDA is therefore the driver or reason
behind the planned intervention [22].
4.1 Investment Objectives

Investment objectives are specific to the project and focuses on the outcome of the
project, i.e. what the project will achieve if successful [22]. It is set for a particular
period (linked to the project duration) and are specific, measurable, achievable [24].
Fourteen (out of fifteen) articles evaluated indicated that they identified reasons for
investing in BDA prior to the actual investments made (for example [8, 12, 29]). Ten
articles agreed that organisations invest in BDA with the main objective to achieve
business transformation (for example [8]). Multiple definitions existed for business
transformation, but the trend was clear that business transformation happens through
the identification of new business models, products and services that are identified
through BDA activities. BDA leads to fundamentally changing processes, people,

technology and organisational structure across the organisation that lead to business
transformation. No clear consensus was reached on what business transformation is,
but all agreed it can be achieved through the introduction of new/refined products,
services and new technology through BDA activities.
Organisations also invest in BDA to improve decision making. Nine articles
indicated that most organisations base their decisions on the intuition and experience of
employees within the organisation [12, 29]. This is a flawed process as optimal deci-
sion making can only be made based on timeous information [25, 26]. Big Data
Analytics enables organisation to integrate various data sources and make various data
sources available to the employees for improved decision making [8, 29]. Unfortu-
nately, employees could therefore only improve decision making if they have access to
BDA. Therefore, a clear dependency exists between data driven decision making and
big data analytics system availability and adoption.
An analysis of the articles further indicated that BDA had the potential of identi-
fying flaws in business processes. BDA can also be used as a risk mitigation tool by
means of the following: identifying data leakage, poor performance in business pro-
cesses, lack of adhering to processes, and gaps in processes [27]. As a result, BDA can
assist organisations in the implementation of better business processes by removing
flawed business processes to increase efficiency. More efficient processes reduce risks
and can assist in achieving the organisational objective of fraud prevention [2].
The overarching trends identified as the main reasons for investing in BDA was to
gain competitive advantage through the attraction of more customers, increasing
organisation performance, timeous and improved decision making and decreased
product time to market.
Only one article explicitly stated the need to increase revenue as an important
investment objective of BDA [27]. The results of the remainder of the articles indicated
an indirect relationship to increases revenue. An interdependency therefore exists
between the need to increase revenue and all other investment objectives. For example,
when improving process efficiency revenue will increase by reducing wasted cost. The
need for increased revenue is therefore an important investment objective to create
business value.
4.2 Benefits
Benefits are advantages that is incurred as a result of the project and can be financially
related. The investment objectives can only be achieved if some business benefits are
incurred [22]. When these benefits are delivered, they will lead to achieving the
investment objectives. Thus, to achieve objectives benefits must be delivered. The
identified business benefits can serve as Key Performance Indicators (KPI’s) by top
management to ensure that progress of the projects. This is also used to determine if
BDA projects are still aligning to project roadmap [24].
Many overarching business benefits were identified through the analysis of the
articles. As a result, it is anticipated that the investment in BDA will result in multiple
business benefits. Some of these business benefits are discussed below.
BDA will enable organisations to have a deeper understanding of their customer’s

needs and behavior, assisting the organisation to reduce their product time to market.
This will also enable the organisation to refine their products, services and business
processes based on trends identified in the data. By addressing the needs of the cus-
tomers, it should be easier to retain customers [24].
Another benefit of investing in BDA is the access to refined, processed data that
will improve decision making [2, 7]. BDA implementations often provide users with a
consolidated view of data from multiple data sources [29]. In some instances, these data
sources are available to end users for the first time ever. Employees, on multiple levels
of the organisation, are given access to the data, on which decisions could be made.
Based on business process related data and the subsequent analysis thereof, flaws
can be identified in processes and improved, contributing to more efficient organisa-
tions and increased organisational performance. It is also an important component in
the proactive identification of fraud [2].
Organisations will be able to monitor business processes internally as well as
external to the organisation. This assist the organisation in the monitoring of competitor
markets and competitor trends. Evidence based decision making can be applied to
identify new business models based on these trends [2].
BDA furthermore assist organisations in becoming a learning organisation.
A learning organisation imply the ability of the organisation to use analyzed data to
transform, adapt and improve the way they function [9].
4.3 Business Changes

Business changes are required for an organisation to achieve benefits. It refers to
permanent changes to practices, processes and relationships within the organisation to
deliver business benefits [28]. These changes cannot normally be implemented until all
the enabling changes have been realised. An example of a business change is a an
organisational culture change [12].
On a high level, organisational changes focus on data related adjustments as well as
organisational environmental changes implemented through proper change manage-
ment procedures (such as organisation structure, culture and risk management) [8, 9].
Organisational structure refers to structural changes an organisation needs to
implement prior to BDA. One main theme that was prevalent was multiple aspects of
data related adjustments [8, 29]. For example, structural changes in the way they deal
with data needs to be considered. Data is considered to be one of the most valuable
assets within organisations. Not surprisingly many business changes evolve around
data.
The majority of the articles focused on the need for organisations to implement
structural organisation changes ensuring that the data used for BDA is of good quality.
The need to have good quality data was not classified as part of the IT enabling domain
as it focused on the business process of gathering data (and not on the technology used
to gather and store data). Examples include data quality procedures, data access pro-
cedures and data security procedures [29].
Good quality data is characterized by integrity (the data is what it says it is),
confidentiality (not widely available), reliability (reputable source of data), timeliness
(recent data), accessibility (controlled access to data), accuracy (level of correctness of

data) and completeness (having all sources). Data quality was supported by almost all
articles and is also highlighted as the most important business change (for example
see [29]).
Another business change that was identified was the relationship between the
quality of data and BDA end user utilization [8, 12, 29]. BDA systems will only be
used when end users trust the data. End user utilisation is a critical success factor for
BDA.
Setting up governance procedures for BDA will create trusted environments for
data processing and storage [8, 29]. Trusted environments are environments that has
high quality data with high availability. If the systems fail and lose data the organi-
sation loses assets. When losing assets, the organisation lose business value.
Finally, data as an organisational asset needs to be protected. Clear data access
processes, rules and access procedures are required specifying user access [29].
BDA requires new skills and new employees therefore require organisational
structural changes to the organisational outline such as the hierarchy [8, 12, 29]. For
example, new positions will have to be created after the required skills were identified.
This will trigger recruitment drives as well as educational and training programs to
reskills employees. New risk management procedures will have to be considered to
cater for the new organisational outline to protect information and intellectual property.
It is important for organisations to implement an effective change management process
to assist employees in transitioning into a new organisational structure [8, 9, 18].
Another major trend that was recognized is the importance of business involvement
(i.e. the correct people) in new BDA implementations [27]. Business involvement can
be increased by, (a) setting up effective communication channels with decision makers;
(b) training of decision makers in the concept of data driven decision making; (c) easy
to use systems; (d) linking current business problems to the analysis of data; (e) inte-
gration of BDA into daily operations.
4.4 Enabling Changes

Enabling changes are adjustments or changes that needs to be implemented for busi-
ness changes to take place [28]. Examples of enabling changes include defining and
agreeing to new work practices, redesigning processes, agreeing on changes to job
roles or introducing new job roles and responsibilities, introducing new performance
management systems and training and education (for example see [8]). These types of
changes can be made before the implementation of the new system.
Similar to the business changes required, data related themes have been identified
and considered to be of importance. Other themes identified include human resources
related changes, business processes and organisational environmental adjustments [18].
To implement BDA successfully the organisation will have to setup training pro-
grams to re-skill existing human resources. A once off, organisation readiness
assessment can identify specific skills required prior to the BDA implementation [27].
For example, an organisational readiness assessment can identify new roles such as
data scientist and developers with specific analytical skills. The organisation have to
make provision for these roles in the organisational structure and these roles needs to be
defined. A skills matrix can further assist the organisation in establishing the current
level of competency of human resources.
The organisation will have to define a number of new processes within the
organisation for example support and data related process [8, 29]. The first new process
that will have to be established is a data governance process. Data governance pro-
cesses help to promote data quality and data safety and should be aligned to legislation.
It is important that data access roles (i.e. who will be able to view/edit data) is
established and included in the data governance procedures. New data security policies
and procedures will ensure the safety of data. Support processes will focus on the level
of support end users and technical staff members can expect from the business owners.
Therefore, new communication channels will be established.
New risk management processes and procedures needs to be implemented to ensure
that the data is not compromised [8, 9]. Data is one of the organisations most valuable
assets as well as the data analysis techniques and findings. The organisation needs to
implement procedures to prevent the data assets to be compromised. At this stage,
different technological options might be considered.
4.5 IT Enablers
IT Enablers are the IT tools that must be implemented as well as IT considerations to be
evaluated before introducing a new technology. These items enable organisational
change. The majority of articles indicated that Big Data technologies such as Apache
Hadoop, NoSQL Data bases such as MongoDB, Apache Cassandra, Apache Mahout,
Spark and Storm, are considered [3, 5, 8, 12].
BDA requires data to be consolidated from various data sources. The organisation
needs to identify which sources they want to use for their BDA projects and how these
will be integrated. Big Data Sources identified in the articles were internal and external
databases, clickstream, social media as well as user-generated data [8, 29].
Information needs to be extracted from the identified data sources, for which data
extraction procedures will have to be compiled as well as the appropriate technological
tool selected [2, 9]. Analytical tools will also be considered at this stage as the
extraction and analytical tool is often bundled together.
Big Data requires scalable storage solutions to enable large amounts of data pro-
cessing. The organisation also need to keep in mind that massive amounts of data will
be entering the organisation. The organisation need to look at their network infras-
tructure to ensure that the infrastructure will support increased data volumes [8].
The organisation need to consider various visualization tools and platforms to
display data analytics [3]. These tools should be user friendly with high availability and
acceptable response times [8] as this can increase the adoption rate of BDA.
Rapid scaling cloud platforms are available for organisations to deploy their BDA
solutions. This means that organisations can outsource their BDA solutions and
therefore do not need to take responsibility for the maintenance of servers and high
amounts of data flowing into their solutions. The organisation should, however, con-
sider regulations when storing information on cloud platforms and make use of rep-
utable service providers [8, 29].
4.6 Proposed BDN Model for BDA

Based on the discussion of findings in Sects. 4.1 to 4.5 above, a preliminary BDN
model for BDN were created. It provides the reader with a summary of the sections for
each of the domains and displays the interrelationships between items, a distinguishing
factor offered by the BDN approach.
A typical example of how the BDN could be used: the first identified Investment
Objective was to reduce response time to market changes. A clear business benefit of
this overall objective will be that emerging customer trends will be identified. This can
only be achieved if (new) data sources, containing relevant data, is available to decision
makers when required. For this reason, the relationship between system performance
(“review system performance”, enabling changes domain) are of vital importance and
should be considered when selecting data sources. This can only be achieved through
the implementation of rapid scaling technology (IT enablers’ domain).
During the analysis of the findings, similar elements were consolidated and com-
bined. Data quality was combined with data integrity, confidentiality and accountability
[29]. Data integrity, confidentiality and accountability are considered to be character-
istics of quality data. Trustworthiness of data and the completeness of data [8, 12, 29],
forms part of the characteristics of good quality data and were included as such.
Below is the proposed BDN model constructed from the articles.
Fig. 1. The BDN analysis of literature

5 Conclusion
The main research question was ‘What are the changes an organisation need to
consider to successfully implement big data analytics?’. After a systematic structured
literature review, a preliminary BDN model was constructed considering the various
aspects of the BDN network, namely investment objectives, business benefits, business
and enabling changes as well as IT enablers. The model furthermore identified specific
relationships between components and the alignment to overall business strategy.
From the results it is clear that BDA implementations should focus on more than
just technology. Organisations will have to take a holistic approach when implementing
BDA. Considerations should include important decisions with regards to the skills of
people, which will have an impact on the structure of the organisation, business pro-
cesses and technology changes to deliver benefits and investment objectives. Each of
the domains of the BDN should be considered prior to BDA implementations.
Finally, BDA is a disruptive technology. Organisations will therefore have to find
new ways to implement new technology without completely relying on existing
technology. A BDN model approach can assist in identify organisational technology
considerations. Further research is proposed to refine the findings of this work.
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A Model for Evaluating Big Data Analytics
Tools for Organisation Purposes
Phaphama Kangelani and Tiko Iyamu(&)
Cape Peninsula University of Technology, Cape Town, South Africa

phaphama3@gmail.com, iyamut@cput.ac.za
Abstract. Big data analytics tools have many functions that are common or
similar to one another. This is a problem for many organisations that are either
interested or have deployed some of the tools. The problem arises because there
is no mechanism on how to determine appropriateness of the tools within
context in an environment. Some of the implications of the problem are that it is
difficult to assess appropriateness of the tools in an environment, which some-
times result to duplication; and the value of the tools. The aim of this project was
to propose a solution through a model that can be used to evaluate big data
analytics tools for organisations’ benefits. The qualitative method, case study
approach and semi-structured interview technique were applied in the study.
From the analysis, the role of criteria, business and IT alignment, governance,
and skill-sets were revealed as critical factors. Based on the factors, a model was
developed, which can be used as a building block through which evaluation of
big data analytics tools in an organisation is carried out.
Keywords: Big data analytics Evaluation Criteria
1 Introduction
Big data is not about the size of data, but characterised by three dimensions: variety,
volume and velocity [1]. Big data is processed by computerised software or applica-
tions, which is referred to as big data analytics [2]. Some of the big data analytics
(BDA) tools include Hadoop, MapReduce [3]. There is increasing interest in the use of
BDA from both academia and industry [4, 5], which can be attributed to the premise
that the concept brings positive change to an environment that deploys it [6].
Organisations adopt big data concept to get some insights into the data to predict
the future. Many organisations employ big data with the intention of improving
activities and events such as sales, advertising, and future predictions [7]. In the process
of optimising the benefits of BDA, some organisations divide it into two sections:
management, which is the extraction, retrieval and storage of datasets for transfor-
mation and decision-making purposes; and as the technology tool for analysing big
data [8].
Despite the benefits that BDA seem to present, there are challenges with the
concept, which include violation of privacy, security, data quality, slowness in query
processing, scalability problems, integration complexities, and scarcity of big data
skills [1, 9, 10]. Some of the challenges persist because there has been slow or lack of

https://doi.org/10.1007/978-3-030-44999-5_41
494 P. Kangelani and T. Iyamu
research, theoretical constructs, and academic rigor from management and perspective,
in the areas of big data and BDA [11]. At large, there has also been a lack of research
studies that comprehensively addresses the key challenges of BDA, or which inves-
tigates opportunities for new theories or emerging practices. This includes evaluation of
big data analytics tools [12].
The main challenge is that there are no evaluation models or methods that can be
used to assess BDA tools, and research have not focused on this aspect. Because of the
variation of the big data analysis tools, some organisations have a challenge in selecting
the most appropriate application for analysis [13]. There are some models, but they
only focus on the evaluation of [14, 15]. As at the time of this research, the only study
that focuses on evaluation of BDA tools, Hadoop, Spark, and Flink is from perfor-
mance perspective [16]. This means that the gap remains, which this study aimed to
address. Thus, the aim of this study was to propose a solution through a model that can
be used to evaluate BDA tools in selecting the most appropriate for organisations’
purposes. Thus, the objectives of this study were: (1) To determine the factors (tech-
nical and business) that influence the selection of big data analytics in organisations;
and (2) To establish criteria for appropriateness of big data analytics tools in an
organisation.
2 Literature Review
This review of literature was split into three areas in order to gain more insight on the
specific areas, which are big data analytics, value of big data in organisations, and
evaluation technique.
2.1 Big Data Analytics

The BDA approaches include predictive, descriptive and prescriptive [17]. The
approaches focus on analysing unstructured, semi-structured and structured datasets,
which can be images, audio or text [1]. The analysis of big data involves machine
learning applications or software like Hadoop, MapReduce, Apache and many more
[3].
The predictive analytics tools focuses on historical data to predict the future. The
analysis makes use of machine learning algorithms and statistical models to assess
historical datasets for future predictions [18]. The descriptive analytics focuses on
current state, present datasets [19]. It uses historical datasets to identify patterns that
can be reported or compared to current trend. The prescriptive analytics as an
assessment of current situation to make decision [1]. It combines both the descriptive
and predictive analytics in finding new ways to achieve positive outcomes for
organisations.
The efficiency of BDA is one of the reasons that organisation adopt and use the
concept as a solution to decision making [20]. Competitiveness is one of organisation’s
purposes in the use of BDA for predicting the future outcomes [18]. It is argued that the
BDA are used to deliver predictive insights in operations, drive real-time in decision
making, and redesigning of business processes, in achieving results for organisational
A Model for Evaluating Big Data Analytics Tools 495
goals and objectives [21]. Despite the consistent argument that the BDA has a lot to
offer to organisations, many challenges have been identified in the use of the concept
[3], which include data validation, data cleansing, scalability of algorithms, and parallel
data processing [22].
2.2 Value of Big Data Analytics in Organisations

In recent years, there has been increase in the use of BDA tools, which can be attributed
to the values that are associated to the concept [7]. Grover et al. suggest that the
concept of BDA can be used to promote productiveness and decision-making, which
brings forth to organisations [23]. Two socio-technical features, convenience and
interconnectivity are identified as the factors that influence the value of BDA in
organisations [24]. Some organisations are fascinated with the capabilities of the BDA
in that it enable integration of data types, from different perspectives such size and
variety [23].
In organisations, the value of BDA is viewed from different perspectives. One
viewpoint, the value of BDA for an organisation is the process of collecting, storing
and gaining insights to enhance organisation’s performance [25]. From another angle,
the ability to integrate, accessibility, response time are the value of the BDA in some
organisations [26]. However, the BDA tools do not operate themselves, which is
another challenge that is associated to the concept, and influence the type of value that
is obtained. The emerging nature of the BDA makes skillsets scarce [27, 28].
2.3 Evaluation Models and Techniques

In the field of IS, evaluation of software is critical, due to increasing reliance on it as
solution in organisations. Another rationale for evaluating software is to ensure
awareness and detect deficiency [29]. Thus, many computer systems undergo evalua-
tion process [15]. Within the computing environment, there are various models and
techniques for conducting evaluation of software and approaches. One of the tech-
niques is that the evaluation begins with measuring technology functionalities, to align
with the business requirements and needs [30].
There are numerous types of evaluation models and techniques. One of the eval-
uation technique is a Holistic Framework on IS evaluation which consists of five
evaluation factors: Strategic value, Profitability, Risk, Successful Development and
Procurement, and Successful Use and Operations [31]. Another rationale for evaluation
in IS field is to mitigate against risk in projects and assess effectiveness of systems in an
organisation. Also, there is no limit to evaluation is that there will always be new
factors to evaluate [32].
Based on the objective of the study, which was to examine and understand the factors
that influence big data analytics and its appropriateness, the qualitative method, case
study approach were employed in the study. This means that individuals and groups
opinions and views was sought, which the qualitative method allows. The qualitative
research is mostly employed in a scientific research to collect data, find answers to
questions and draw conclusion from the findings produced [33]. The focus of the
qualitative method is not about numbers or statistics, it rather on human reactions such
as feelings, emotions, and experiences in their real world [34]. The qualitative approach
is mostly associated with subjectivism [35].
The case study approach was employed mainly because it focuses on the in-depth
of the phenomenon being studied. Yin defines case study as an adaptable and open-
minded technique of information gathering [36]. The approach is broad, meaning a
case can be an individual, an organisation, a community, a group, or an event [37]. The
Plan Investments organisation was used as a case in the study. The organisation is a
financial institution situated in Cape Town. It has over 150 employees at the time of
this study.
Based on the level of the study, a criterion was used for a selection of participants.
The criterion included the following: (1) organisation that employ big data analytics
tools, and grants permission for the study; (2) participants should have be with the
organisation for at least a year. Within the case study, data was collected. Participants
that were interviewed included IT manager and Architects.
The semi-structured interview technique was used to collect data. This was to
ensure flexibility during the process, in asking questions, which ultimately increases the
chances of collecting rich data. The interviews was conducted with interviewees on
one-on-one basis. The venue of the interviews was decided by the interviewees, to
ensure their comfort. The interviews was tape recorded on the permission of the
interviewees. In addition, notes were taken during the interviews, to increase com-
prehensiveness of the data collected.
The hermeneutics approach was applied in the analysis of the data, from the per-
spective of the interpretivist approach [38]. The hermeneutics approach proposes a
method for understanding textual data [39]. The approach helps to clarify and guide an
understanding of objects and subjects in an interpretive manner [40]. Interpretivist
approach is about understanding phenomenon from individuals’ viewpoints by
exploring interaction among people [41]. The hermeneutics approach was used from
two main angles in the analysis: (1) the relationships that exist between humans and big
data in an organisation; and (2) the interactions that happen between humans in one
hand, and on another between humans and big data. Through understanding of the
relationships and interactions that happen between: human-to-human; and human-to-
big data, the objectives of the study was achieved.
4 Case Study: Data Analysis
Based on the objectives of the study as stated in section above, data was collected as
discussed in the section above. The participants in the study were coded, for the
following reasons: (1) To adhere to research ethics of the university (CPUT); (2) To
preserve the identity of the participants; and (3) To respect the policy of the organi-
sation that was used a case in the study. Thus, the code is as follow: participant-
codename, page#: line#. PuInter01, Pg2: 3–5 – this means: participant 1, page 2, line 3
to 5 of the interview transcript.
The data was analysed following the hermeneutics approach from the interpretivist
perspective. The hermeneutics approach was used in the analysis from the interpretivist
perspective. The analysis focuses on two main areas: (1) The relationships that exist
between humans and big data in an organisation; and (2) The interactions that happen
between humans in one hand, and on another between humans and big data. This was
to gain better understanding of the relationships and interactions that happen between:
human-to-human; human-to-big data; and big data-to-big data, in achieving the
objectives of the study. The analysis was conducted according to the objectives of the
study, which were (1) to determine the factors that influence the selection of BDA in
organisations; and (2) to establish criteria for appropriateness of BDA tools in an
organisation.
4.1 The Factors that Influence the Selection of Big Data Analytics
in Organisations
Big data is not all about volume, but defined by its characteristics, which include the
Vs, volume, velocity, veracity, variety, and value [1]. The tools that are employed in
the analyses of big data are referred to as analytics tools. Some BDA tools/software
have the capabilities to process datasets which are employed by organisations for
various purposes. There are different types of big data analytics tools, which include
diagnostic, descriptive, predictive, and prescriptive [17]. Through the use of big data
analytics tools organisations make effective and appropriate strategic decisions.
Big data analytics is on one hand sophisticated. On another hand, the same
sophistication makes it complex. Thus, many people including organisation are
sometimes confused about the purposes as well as the types of big data analytics.
According to the senior manager in the organisation:
We are using Pentaho data integrator and Pentaho business analytics for the analysis of our big
data (PuInter01, Pg1: 32–34).
The BDA topic appears to be an overwhelming subject in the organisation, as it

focuses on the bigger picture in terms of the terminology that comes with the tools. In
the organisation there was a process that was followed in the selection of BDA tools.
The process was sequential, meaning one step after the other. The primary components
of the process include an understanding and formulation of organisational needs,
exploration of available analytics tools, and evaluation of the tools within the context of
the organisation. In the evaluation, the components were viewed from the aspects of
technical and non-technical factors.
An organisation’s goals and mission are a guide to choosing tools that suit its
business needs. The selection of analytics tools does not only depend on the business
goal, humans’ involvement was critical, particularly in the decision-making as well as
consideration of the users. Individuals such as business mangers seem to influences the
decision in the selection of BDA tools. Nonetheless in the organisation it appears to be
person leading the IT unit that agrees and takes ownership of the selecting the tools
employed, however the tool that is selected has to be aligned with the business
objectives. According to one of the participants, a senior architect in the organisation:
The organisation’s requirements determine the selection of the tool. The challenge is mostly in
formulating requirements, which include processes and events (Pulnter02, Pg6: 20–23).
In the organisation the input of other employees that are using these tools influences
the selection of the tools being employed in the organisation. Despite the requirements
from the business the staff consider and evaluate the technical and non-technical factors
of the tools because they are equipped with knowledge of how the tools work.
According to an IT senior manager in the organisation:
This is not a visualization tool it is more of a data analytics tool. It sometimes get restricted by
the ability of the user. Whereas some other tools basically aid the users towards achieving their
objectives (Pulnter01, Pg3: 1–3).
Despite the existence of numerous number of big data analytics tools, the organ-
isation did choose few that were suitable for its business processes, activities and
events. In the organisation the evaluation phase covers a lot of aspects. The aim of the
organisation is to have a tool that can put the organisation on the direction of success. It
is also to get big data analytics tools that are flexible and scalable. They seem to look at
the knowledge they have on the tool itself. There seem to be a lot that the organisation
covers in terms of creating an environment that the employees are familiar with.
4.2 Criteria for Appropriateness of Big Data Analytics Tools

in an Organisation
Criteria is a set of standards and principles purposely for guide decision-making, and
measuring scope and boundaries of actions in an activity or environment, the standards
and principles are embedded with factors [42]. In the organisation, criteria was for-
mulated, and used in the selection of BDA tools. The criteria consisted of factors, such
as cost, supportability, features, and skills required to use and support the tools. Despite
a set of criteria, familiarity with a tool was most important. According to one of the
participants:
Cost, knowledge of skills are some of the factors that are required in the evaluation of the tools.
We have got to understand our future direction in line with the tool (PuInter01, Pg2: 5–7).
In the organisation the criteria was used as guidelines in selecting a tool that was
intended to benefit the organisation from return on investment point of view. This
means that the also act as principle, which guided the employees in their focus and
actions, and did not allow easy move from one tool to another. According to a senior
architect in the organisation:
Some of the tools are very well marketed by the owners and vendors. As a result, without
requirements, there is a high possibility of selecting inappropriate tools (PuInter02, Pg3: 14–16).
There were requirements two, business and IT units that formed the criteria, which
was enabled by communication. Through the communication between the units
including management team, the criteria was defined. The management of both IT and
business units of the organisation were involved in gathering of the requirement that
were used to formulate the criteria. This was primarily because they knew better
knowledge about the current and future states of the organisation. Although there was
no particular explanations why certain big data analytics tool was selected from the
employees that were involved. This is attributed to the fact that the management of the
organisation takes ownership of the process and the tool that was selected.
Despite the strengths of the tools that were employed in the organisation that has
been used as a case in the study, there are challenges that have been highlighted. The
main challenges that the organisation seem to be facing with the tools that were
currently employed is about scarcity of skilled personnel, to use and provide technical
support. In achieving the organisation’ objectives, the current tools requires special
skills, a person with an understanding of the functionalities and operations of the tools.
One of the participants explains:
Our current tool is focuses more on data specialisation. It is therefore unrestricted to data
analysis and management (PuInter01, Pg2: 35–37).
Looking for a tool that would cater for everything is almost impossible. The
organisation highlighted a challenge while selecting the appropriate tool from the
limitless tools/applications that are available in the market. Without a properly defined
requirements and formulation of criteria, there will always be challenges in selecting
BDA tools. Also, organisation would change the tools frequently as they get influenced
by excitable new functions that the some of the tools present.
Changing the tools from one BDA tools to another takes a lot effort and can be
costly. The organisation seem to have a strategy, which can accommodate such situ-
ation. In the organisation the change is accepted only when there is a tool that offers
better features than the one that is currently in use. Also, the organisational change
leans towards goals and objectives.
5 Findings and Discussion
Based on the analysis as presented above, four factors were found to be critical in
shaping and influencing the selection of BDA tools in an organisation. The factors were
revealed based on the understanding of the analysis, which come from subjective
reasoning. As shown in Fig. 1, the factors are criteria, business/IT alignment, gover-
nance, and skill-sets. The factors are based on organisational vision. The factors are
therefore a set of building block, as discussed below.
5.1 The Role of Criteria

Criteria is a set of guidelines that are built on principles and standards that can be used
to evaluate the BDA tools for organisations [43]. In this study, criteria consist of two
main components, which are the business requirements and IT requirements. Business
requirements is mostly connected with the goals, mission and objective, which come
from the organisation vision. Business requirements work toward paving and setting
what the business seeks to achieve. The IT requirements are based on attributes such as
Fig. 1. Building blocks
technology types, co-existence and compatibility, capacity, and flexibility of tech-

nologies. The IT requirements seek to enable and support the business requirements
toward achieving the objectives of the organisation. This also means IT can be a
constraint in that deficiency within the IT will have negative impact on the business
requirements.
Based on both business and IT requirements, the set of criteria can be used as a
control mechanism for selecting the most appropriate big data analytics tools for
organisational purposes. The vital role of the criteria is that the organisation have rich
understanding in what they want to do and what will fit the organisation needs. This
also means that there is an evaluation process undertaken in the selection of the tools.
Another significance factor in creating criteria is that it minimizes the chances of
duplicating analytics tools for the same or similar purpose, and it mitigates against
risks.
5.2 Business and IT Alignment

The concept of Business and IT alignment is not new, it has been explored or applied in
various ways. Also, it has been expressed in several terms such as, linkage, integration,
and agreement. However, alignment does not refer to being aligned or not aligned,
rather it how the relationship needs to be adjusted based on business unforeseen event
[44]. Some of the most important and crucial contributors identified in the alignment
between business/IT in the selection of BDA tools are communication and uniformity.
Communication plays a significance role between the business and IT units in decision
making. In addition, the uniformity of how things are done, following processes and
policies of an organisation is important.
Lack of alignments between the business and IT units can cause chaos in selecting
BDA tools. As a result, working environment can become unstable, and leads to
deploying applications that cannot serve the organisational purpose. It is clear that lack
of alignment between business and IT units have huge implications, such as cost
prohibitive, and technology compatibility risks for an organisation in selecting BDA
tools.
5.3 Governance
Governance consists of standards, principles, and policies [45]. It gives a structural
guide to specialists and managers in decision-making. It is also procedural, which gives
power to relevant authority to make decisions [46]. Thus, governance can be used to
guide the selection of appropriate BDA tools in an organisation. There is means that the
selected BDA tools adhere to standards and principles of the organisation.
Selection of the analytics tools is one thing, and its use is another thing. The use of
the BDA tools is as critical as the selection, which therefore also require guidance.
Governance can be used to guide the use and management of the tools, to avoid
technology conflicts and abnormalities. Lack of governance principles in organisation
promote poor product quality. Also, it allows employees to avoid or shift accountability
and responsibility as they deemed.
5.4 Skill-Set
Big data analytics is an emerging concept, particularly in developing countries such as
South Africa. As a result, there is scarcity of skill-set in the area of BDA, which affects
the slow deployment of the concept in South African organisations. The skill-set play a
very critical role in the deployment and use of BDA [47]. The noticeable reasons of the
complexity of BDA require data scientist to perform. The machine learning applica-
tions designed to analyse big data requires skills of data scientist.
Although it is crucial to have the skill-set, what is even more important is retention
of the personnel. Retention allows an organisation to keep their trained and skilled
personnel as long as possible. This saves cost of upskilling, which can be very pro-
hibitive, and affect return on investment. Lack of skills lead to incorrectness of data and
operations falling apart, which influence decision-making, and ultimately affect busi-
ness goal negatively.
6 Conclusion
This study that was conducted is proposed to assist organisation that wish to deploy
and those that have already deployed BDA tools by doing an evaluation of the tools to
seek for the tools that suit the organisations goal. In this study organisations will get a
better understanding of the process of selecting an appropriate tools using criteria as
guide. This study can be of usefulness in organisation that seek to understand the value
of having a criteria to evaluate the BDA tool in the market. The research was limited to
evaluation of BDA tools. This means that it excludes other activities such as deploy-
ment and readiness, as well as the application that are connected to BDA tools.
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ICT and Education
Development of a Quantitative Instrument
to Measure Mobile Collaborative Learning
(MCL) Using WhatsApp:
The Conceptual Steps
Bangisisi Zamuxolo Mathews Nyembe and Grant Royd Howard(&)
University of South Africa (Unisa), Florida, South Africa

54830222@mylife.unisa.ac.za, howargr@unisa.ac.za
Abstract. It has been reported that WhatsApp, a social media application, had
approximately 1.6 billion active users globally as of July 2019, almost one-fifth
of the total world’s population. Thus, research about WhatsApp’s influence in
general and especially its influence in education was relevant and significant.
While there was much research involving WhatsApp and learning, it was not
conclusive about the effects of WhatsApp on student learning. Specifically,
research focusing on collaborative learning using WhatsApp was lacking,
including research instruments for measuring collaboration on
WhatsApp. Consequently, the paper’s research problem was the lack of research
instruments for measuring collaboration on WhatsApp in relation to academic
achievement. To address the research problem, the study followed the important
initial and conceptual steps of the instrument development process to develop a
research instrument to measure collaboration on WhatsApp in relation to aca-
demic achievement. The result of the paper was a developed instrument that
provides researchers with a basis to measure the explanatory constructs involved
in mobile collaborative learning (MCL) processes on WhatsApp and potentially
other social media platforms. Therefore, the paper made an appropriately the-
oretical contribution, which was grounded in the scientific literature. The study
facilitated positivistic research and epistemology for acquiring objective and
precise scientific knowledge. Such deductive research promotes theory testing
and development and presents educators and students with scientific evidence
about learning with MCL applications such as WhatsApp from which both
curriculum and learning design can be informed and benefited. In the age of
connected mobility this is a necessity.
Keywords: Information Systems (IS) Information Technology (IT) Mobile

collaborative learning (MCL) Mobile learning (M-learning) Quantitative
instrument development Social media WhatsApp
1 Introduction
Mobile digital technologies and social media continue to pervade many facets of our
daily lives and enable communication, collaboration and content creation. Within the
broad scope of mobile digital technologies and social media, the social media

https://doi.org/10.1007/978-3-030-44999-5_42
508 B. Z. M. Nyembe and G. R. Howard
application called ‘WhatsApp’ has become particularly prevalent. WhatsApp is tech-

nically an internet-based cross-platform instant messaging and voice over Internet
Protocol (VoIP) service for mobile devices [1].
As of July 2019, it was reported that WhatsApp had approximately 1.6 billion
active users globally [2], which is almost one-fifth of the total world’s population at
that time. In the context of other popular worldwide social media applications,
WhatsApp is placed behind Facebook and YouTube only as the most popular social
media application. WhatsApp’s user base is significant, which warrants scientific
evidence of its effects in our lives.
WhatsApp’s user base includes students and while there is active research
involving WhatsApp and learning, the research is not conclusive about the effects of
WhatsApp on student learning. For example, one study reported that WhatsApp
improved learning [7] and another reported that WhatsApp did not [8]. Furthermore, in
a recent study, the reviewed literature showed research about WhatsApp and teaching
and learning from various viewpoints, but none measured collaboration on WhatsApp
in relation to academic achievement [9], including there being a lack of instruments for
measuring collaboration on WhatsApp. This was the research problem.
Subsequently, the research question was what constructs and instrument were
appropriate for measuring collaboration on WhatsApp in relation to academic
achievement? The research objective was to develop a quantitative instrument to
answer the research question. The study focused on the important conceptual steps of
the instrument development process rather than the empirical steps. Thus, the study
made an appropriately theoretical contribution, which was grounded in the scientific
literature.
Answering the research question has significant value for researchers in the domain.
It allows them the quantify the effects of collaboration on social media and similar
applications in relation to academic achievement and it facilitates theory development.
This provides significant value to educators and students about how to incorporate
social media, mobile collaborative learning (MCL) and WhatsApp into their teaching
and learning. The paper facilitates a positivistic epistemology based on the scientific
method for objectivity and precision. Hence, the study provides an original contribution
to the scientific body of knowledge in the broad domains of MCL and m-learning.
Furthermore, the study contributes to knowledge generation in Africa, since less than a
fifth of the articles reviewed related to studies in Africa [9].
The paper consists of four sections. The first section introduced the study’s context
and explained the research problem, question and objective. The next section reviewed
m-learning and WhatsApp and learning. Section 3 provided the instrument develop-
ment process, which enabled the study to answer the research question. Section 4
concludes the paper and explains its contribution, limitations and opportunities for
future research.
Development of a Quantitative Instrument to Measure (MCL) 509
2 Literature Review
2.1 Mobile Learning (M-learning)
Mobile and social media technologies are a relatively recent development, but human
learning is a natural human process and many theories to explain how human learning
occurs have been developed since the time of the Ancient Greek philosophers [9].
However, Collaborative Learning, Communities of Practice, Connectivism, Conver-
sation Theory and Social Learning Theory appear to relate especially well to learning
with mobile and social media technologies. Nevertheless, researchers continued with a
new learning theory to explain specifically learning with mobile technologies, namely
M-learning Theory [10].
M-learning Theory has attracted the attention of many researchers who acknowl-
edge the potential of applying mobile and social media technologies to improve
learning [11, 12]. M-learning Theory does not replace traditional learning theories;
instead it complements them by emphasizing the mobility of learning, including how
learning is acquired across various contexts, while on the move and across the tran-
sitions of life. M-learning Theory also takes into consideration learning that happens at
home, work, outdoors, places of leisure, places of worship, cafes, stores and while
travelling. M-learning Theory continues to be researched, defined and evolved together
with the evolution of mobile hardware, software and social media technologies.
Three key aspects of M-learning Theory have been identified, namely personal-
ization, authenticity and collaboration, which occur outside of the traditional learning
time and space constraints [13]. Personalization is based in Socio-cultural Theory and
Motivational Theory and involves learner choice, agency, self-regulation and cus-
tomization. Authenticity refers to the real-world relevance, practices and personal
meaning in everyday life situations. Collaboration involves participating in rich
learning interactions with other people, which is the m-learning aspect that the study
focused on together with the social media application called ‘WhatsApp’.
2.2 WhatsApp and Learning

WhatsApp has evolved into a promising educational tool that has the potential to
promote interaction and participation during student learning activities [14–17].
WhatsApp enables anonymous, asynchronous collaborative learning, which is reported
to improve and increase the productivity and participation of less confident learners
[18]. WhatsApp helps to create immediacy and connection in informal learning, formal
blended learning, open distance learning and learning outside of the classroom [15, 19].
However, despite the documented benefits, challenges have been reported,
including extra workload, distraction from learning, less commitment to participate,
exposure to unregulated messages, false information, addictive behavior and increased
expenses [17, 20]. In addition, WhatsApp use may result in stress, lack of privacy and
difficulties managing responsibilities, especially for more mature students [15]. Married
students have also found WhatsApp disruptive because its use collided with their
family time [18]. In contrast, there is research indicating that students have found
learning on WhatsApp interesting, convenient and motivating [21]. It can be argued

that WhatsApp is affordable to use and increases the chances of learners participating in
learning activities [22].
Several learning theories have been applied in WhatsApp studies. Socio-cultural
Theory was involved in a study where WhatsApp was used for learning English as a
second language [16]. Activity Theory was used to analyze learner interactions on
WhatsApp for improving critique writing skills of English as a foreign language [23]
and in a WhatsApp study to identify factors that influence students’ participation in
mobile learning activities and online discussions [19]. Activity Theory, Situated
Learning Theory and Communities of Practice were applied in a study to understand
how WhatsApp could support teaching and learning in higher education [15]. Expe-
riential Learning Theory was applied in a study where WhatsApp was used to improve
the standard of primary health care education [24]. Thus, several of the prominent
learning theories have been applied in various ways to study WhatsApp. However, the
important concept of collaboration had not been explicitly measured to expose its effect
on learning anywhere and anytime with WhatsApp.
3 Instrument Development
3.1 MacKenzie et al.’s (2011) Framework

MacKenzie et al.’s (2011) framework for instrument development was used to guide
the development of the quantitative instrument for measuring collaboration using
WhatsApp [25]. This framework was selected because it was published in an extensive
study updating important prior research on Information Systems (IS) instrument
development and published in arguably the top journal in the IS field, namely MIS
Quarterly. In addition, it is a fairly recent publication and has been cited by 1793
according to Google Scholar as of 22 December 2019. The framework provides a 10-
step procedure for instrument development starting with construct conceptualization or
reconceptualization and ending in the development of norms [26]. Nonetheless, since
the scope of the study was limited to the important conceptual steps only, the first four
conceptual steps of the framework were applied.
3.2 Step 1: Conceptualization

Constructs are abstract concepts developed for research or scientific purposes [25].
Construct conceptualization involves defining the conceptual domain of each construct.
Each construct should be defined unambiguously and consistently with prior research.
Thus, instruments that related to the measurement of collaboration from various fields
were reviewed and evaluated based on their appropriateness and construct validity and
reliability measures [27, 28]. Only those that had applicability, established construct
validity and high reliability measures were included as inputs into the instrument
development process.
The instruments were the Thomson, Perry and Miller Collaboration Instrument
[29], the Thomson, Perry and Miller (2007) Collaboration Instrument in the South
African Context [30], the Collaboration with Medical Staff Scale of the Nurses Opinion
Questionnaire (CMSS-NOQ) [31], the Collaboration and Trust in an Education Context
[32], the Wilder Collaboration Factors Inventory [33], the Collaboration Index [34], the
Collaborative Culture Scale [35], the Assessment of Inter-professional Team Collab-
oration Scale [36], the Collaboration Assessment Tool (CAT) [37], the Transdisci-
plinary Tobacco Use Research Centers (TTURC) Researcher Survey [38], the Index of
Interprofessional Team Collaboration for Expanded School Mental Health (IITC-
ESMH) [39], the Teacher Collaboration Assessment Survey (TCAS) [40], the Distance
Education Learning Environment Survey (DELES) [41], the Index of Interdisciplinary
Collaboration (IIC) [42], the Expanded School Mental Health Collaboration Instrument
[School Version] [43] and the Collaborative Practice Assessment Tool (CPAT) [44].
For each instrument, all its specified factors/constructs were evaluated by the
authors. The evaluation was directed by importance to the research problem and par-
simony. The selected and adapted constructs were Interaction (IA), Support (S),
Information Exchange (IE), Sense of Community (SC), Interdependence (ID), Trust
(T), Active Learning (AL), Formality (F) and Collaboration (C). In addition, the
construct Academic Achievement (AA) was included since it was essential for
addressing the research problem. All the constructs would apply to students/learners
who use WhatsApp for academic learning.
Interaction (IA) was defined as the amount of reciprocal action and engagement,
such as discussing, sharing, chatting and meeting, between two or more learners using
WhatsApp for academic learning. Support (S) was defined as the amount of help and
assistance that is provided to a learner, who is experiencing learning difficulties, by
other learners using WhatsApp for academic learning. Information Exchange (IE) was
defined as the amount of information exchanged as part of the learning processes using
WhatsApp for academic learning. Sense of Community (SC) was defined as a learner’s
feeling of belonging to a group with shared interests, goals and needs, using WhatsApp
for academic learning. Interdependence (ID) was defined as the contingency or con-
dition that other learners are part of a learner’s learning process, using WhatsApp for
academic learning. Trust (T) was defined as the level of confidence that a learner has in
other learners using WhatsApp for academic learning. Active Learning (AL) was
defined as being opposite to passive learning and comprises meaningful learning
activities and applied learning on WhatsApp for academic learning. Formality (F) was
defined as how casual and relaxed or academically correct and serious the engagement
is between a learner and the other learners by virtue of the language they use, using
WhatsApp for academic learning. Collaboration (C) was defined as the amount of
working and contributing together that takes place in a group of learners to achieve the
common goal of learning using WhatsApp.
In addition, it is necessary to measure a student’s academic achievement in an
acceptable way to address the research problem. Actual student grades are variables
that measure academic achievement. However, the eventual instrument users may not
have access to respondents’ grades, thus, a construct called Academic Achievement
(AA) was defined as a learner’s self-reported academic achievement.
3.3 Step 2: Generate Items to Represent the Constructs

Following the conceptual definitions of the selected constructs, a set of items to rep-
resent the conceptual domain of each construct was generated [25]. The items gener-
ated were adapted from the instruments reviewed and are provided in Table 1. Six
items per construct were generated to balance adequate domain sampling and parsi-
mony for construct and content validity and response bias and fatigue [45]. Each item is
measured using a five-point Likert measurement scale from 1 to 5, where 1 = “strongly
disagree”, 2 = “disagree”, 3 = “neither disagree nor agree”, 4 = “agree” and 5 =
“strongly agree” [46]. The higher the aggregate value for each item the more of that
construct is evident on WhatsApp for academic learning.
In addition to the items in Table 1, a participant would be asked several initial
questions that would provide useful information and analyses about their characteris-
tics. These questions include gender, home language, age range, study major, study
qualification level, year level of qualification, do you use WhatsApp with other stu-
dents for learning (if you mark “No”, then please indicate your reasons for not using
WhatsApp for learning and then there are no further questions for you to answer, thank
you for participating)? How many hours do you estimate that you spend on WhatsApp
every week with other students for learning? What devices do you use when learning
with other students on WhatsApp? Where, what places, do you use WhatsApp for
learning with other students? Is there anything that prevents you from using WhatsApp
more often or in more places for learning with other students?
Table 1. Measurement items for each construct.

# Construct Measurement items
1 Interaction (IA) When I am on WhatsApp with other students:
1. We have discussions to learn from each other
2. We participate with each other to learn
3. We have chats to learn from each other
4. We share with each other to learn
5. We have meetings with each other to learn
6. We communicate with each other to learn
2 Support (S) When I am on WhatsApp with other students:
1. They help me on my courses/modules
2. They reduce the stress from my courses/modules
3. They assist with difficult parts of my courses/modules
4. They aid me when I am stuck on my courses/modules
5. They lend a hand so I can figure out my courses/modules
6. They encourage me to keep going on my
courses/modules
(continued)
3 Information Exchange When I am on WhatsApp with other students:
(IE) 1. We send and receive course/module information
2. Course/module material gets passed around
3. We swap course/module information
4. Course/module material is spread around
5. We distribute course/module information
6. Course/module knowledge is circulated
4 Sense of Community When I am on WhatsApp with other students:
(SC) 1. I feel that I belong to a learning group
2. I matter to my learning group
3. My learning group matters to me
4. My learning group benefits our learning
5. My learning group has shared interests in learning
6. My learning group has similar academic goals
5 Interdependence (ID) When I am on WhatsApp with other students:
1. I rely on other students to learn
2. Other students rely on me to learn
3. My learning requires other students
4. I need other students to learn
5. Other students need me to learn
6. My learning is conditional on other students
6 Trust (T) When I am on WhatsApp with other students:
1. Other students provide honest course/module advice
2. I believe in what other students say to me about
courses/modules
3. I have faith in the course/module communication from
other students
4. The course/module discussions with other students are
sincere
5. The course/module conversations with other students are
genuine
6. I am certain that other students provide truthful
information
7 Active Learning (AL) When I am on WhatsApp with other students:
1. I learn by having debates with other students
2. I learn by working on questions with other students
3. I learn by doing activities with other students
4. I learn by solving study problems with other students
5. I teach other students learning material
6. I show other students how to figure out their
courses/modules
(continued)
8 Formality (F) When I am on WhatsApp with other students:
1. We use academic language only when talking about
courses/modules
2. Messages about courses/modules contain academic
content only
3. When learning, we use correct wording only
4. When learning, we discuss academic content only
5. During course/module communication, we use scientific
language only
6. We use textbook wording only when chatting about
courses/modules
9 Collaboration (C) When I am on WhatsApp with other students:
1. We work together to understand our courses/modules
2. We learn collectively to solve course/module problems
3. We contribute jointly to learn our courses/modules
4. When preparing for tests or exams we learn together
5. We study as a group
6. We learn our courses/modules together
10 Academic Achievement Since I started using WhatsApp for learning:
(AA) 1. My courses’/modules’ marks have improved
2. I do better in tests and exams
3. I am able to achieve better success in my assignments
4. I have had more success in my courses/modules
5. I understand my courses/modules better
6. My courses/modules are easier to do
3.4 Step 3: Assess the Content Validity of the Items

After the items were generated for each construct, they were assessed for their content
validity, which relates to how well a construct’s items represent all aspects of that
construct [25]. Raters are recommended for doing this assessment and university
educated students are considered adequately representative of the intended generalized
population [25]. Given the conceptual focus of the study, the study’s supervisor per-
formed the initial item generation and adaptation and the study’s second researcher, a
postgraduate university educated student conducted the assessment. Although it is
recommended to use one-way repeated measures ANOVA to determine if an item’s
mean rating on one construct differs from its ratings on the other constructs, it requires
more than two raters [47], so instead a qualitative assessment was conducted by the
second researcher. The second researcher was requested, for each item, to assess
whether the item represented the content of the construct that it was assigned to
measure, and for each construct, whether all the items assigned to measure that con-
struct represented the entire content of that construct. After three iterations and chan-
ges, the final items are presented in Table 1.
3.5 Step 4: Formally Specify the Measurement Model

Step 4 involves specifying the measurement model, including how the items relate to
the constructs. Figure 1 provides the initial measurement model which depicts all
constructs with reflective indicators. The paper specifies all of the constructs as uni-
dimensional or reflective constructs and there are no sub-dimensions or conceptually
distinguishable facets [48].
Fig. 1. Initial measurement model for the study.
At this conceptual stage it is not known how each of the constructs IA, S, IE, SC,
ID, T, AL and F interrelate. However, based on the reviewed instruments and literature
it is evident that they are important when measuring and influence C. Thus, only a
general relationship is specified between all those constructs and C. Also, the rela-
tionship from C to AA is specified since it is the central focus of the study. These
relationships can be specified as the following alternate hypotheses (HA1-n): IA
positively influences C, S positively influences C, IE positively influences C, SC
positively influences C, ID positively influences C, T positively influences C, AL
positively influences C, F negatively or positively influences C and C positively
influences AA. The corresponding null hypotheses (H01-n) specify that there are no
associations among each set of constructs.
4 Conclusion
The study has addressed the research problem, being the lack of research instruments
measuring collaboration on WhatsApp in relation to academic achievement, by com-
pleting the conceptual steps to develop an appropriate measurement instrument. The
developed measurement instrument answers the research question by demonstrating
appropriate constructs and an instrument for measuring collaboration on WhatsApp in
relation to academic achievement. This provides an original contribution to the sci-
entific literature.
The instrument provides researchers with a foundation from which to measure
informative constructs involved in the mobile collaborative learning (MCL) processes
on WhatsApp and potentially other mobile and social media platforms. The study
facilitates positivistic research and epistemology to further the objectives of acquiring
objective and precise scientific knowledge. Such deductive research promotes theory
testing and development.
MCL theory testing and development provides educators and students with sci-
entific evidence about learning with MCL applications such as WhatsApp, from which
both curriculum and learning design can be informed and benefited. In the age of
connected mobility this is a necessity.
Limitations include the lack of empirical data for testing the psychometric prop-
erties of the instrument and the relationships among the constructs in actual learning
environments. These limitations provide valuable research opportunities involving
instrument pilot tests, scale purification and refinement and even norms development.
In addition, the instrument could be adapted for various other MCL supported mobile
and social media applications for further knowledge development.
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Understanding Rural Parents’ Behavioral
Intention to Allow Their Children
to Use Mobile Learning
David Mutambara and Anass Bayaga(&)
University of Zululand, KwaDlangezwa, Empangeni, South Africa

vadmutambara@gmail.com, bayagaa@unizulu.ac.za
Abstract. Faced with many challenges resulting in learners’ poor performance

at the matriculation level, emphasis on Science, Technology, Engineering and
Mathematics (STEM) education is in its infancy in South African’s high
schools. However, studies have shown that mobile learning (m-learning) can be
used to mitigate the challenges of STEM education. Despite, the benefits of
mobile learning to rural STEM learners, its full potential has not been realized
because the adoption of m-learning depends on users’ acceptance. Prior studies
focused on teachers’ and learners’ acceptance of mobile learning. However,
little is known about parents’ acceptance of m-learning, especially in rural areas.
This study explores the acceptance of m-learning by parents of rural high school
STEM learners. The study proposes the parents’ acceptance of m-learning
model, which extends the technology acceptance model by introducing per-
ceived social influence and perceived resources. Stratified random sampling was
used to select 200 parents in the survey. Partial least squares structural equation
modeling (PSL-SEM) was used to analyze data from 129 valid questionnaires.
The proposed model explained 41% of the variance in parents’ acceptance of
mobile learning. Attitude towards the use was found to be the best predictor and
the only factor that have a direct effect on behavioral intention to use mobile
learning. However, all other factors have an indirect influence on behavioral
intention. The findings revealed that for mobile learning to be successfully
implemented in rural areas, resources need to be provided.
Keywords: Technology acceptance model Perceived social influence

Perceived resources STEM Perceived usefulness Perceived ease of use
1 Introduction
The integration of Science, Technology, Engineering and Mathematics (STEM) edu-

cation is a growing area in both developed and developing countries [1]. Despite,
STEM’s fast growth, there is a lack of a universally accepted definition of STEM
education [2]. In the study [3], STEM education was defined as “…fostering sustained
engagement with the STEM disciplines where students can become competent con-
tributors and critical participants in a range of STEM-related activities.” What can be
drawn from this definition is that STEM education aims at shifting teaching practices
from teacher-centered into learner-centered and problem-based learning.

https://doi.org/10.1007/978-3-030-44999-5_43
Understanding Rural Parents’ Behavioral Intention 521
As STEM education is in its infancy in South African’s high schools, it is faced with
many challenges resulting in learners’ poor performance at the matriculation level [4, 8],
especially in rural areas. Makgato [6] attributed this poor performance in STEM-related
subjects in rural areas to lack of learning materials, science laboratory and equipment to
promote effective teaching and learning. Lack of parental involvement in their children’s
education also contributes to learners’ poor performance in STEM-related subjects [5].
All the challenges that rural high school STEM learners face lead to demotivation when
learning STEM-related subjects [4]. Based on these studies [4, 5], one can conclude that
there is no effective STEM teaching and learning in rural high schools.
Studies have shown that m-learning can be used to mitigate the challenges of
STEM education [7–9]. M-learning enables the use of visualized science experiments.
This can positively influence learners’ knowledge of science, which can enable them to
give complete descriptions of scientific concepts [9]. Furthermore, m-learning makes
studying materials available to learners anytime anywhere [7]. One can conclude that
even though there are challenges in rural high schools, learners can still benefit from m-
learning as they have access to learning materials and to visualize experiments using
their mobile devices [7, 9]. According to Kong [8], m-learning improves parents’
involvement in their children’s learning, which in turn improves learners’ motivation
and performance in STEM-related subjects.
However, despite the positive effects m-learning can bring to rural STEM learners
and the ubiquity of mobile devices, its adoption into the classroom is far below the
expected rate [10]. Davis [11] stated that the successful adoption of any information
system contingent on the user’s acceptance. As a consequence of Davis’ [11] assess-
ment, it could be argued that successful implementation of m-learning in high schools
of developing countries requires investigation of all stakeholders’ attitudes. A plethora
of studies has been conducted to identify factors that affect the acceptance of mobile
learning [12–15]. However, a key issue is whether academics have adopted an ade-
quately broad approach when investigating the attitudes of the main players in a high
school instructional setting [16]. Most of these m-learning acceptance studies have
concentrated on teachers [14, 17] and learners [13, 17]. Little is known about the
parents’ attitude towards m-learning, especially in rural areas of developing countries.
Teacher and learner preferences aside, parents have the last decision on whether to use
m-learning. Parents’ roles in m-learning include; financial support, encouragement,
purchasing of the mobile device and data, monitoring that the devices are used in a
meaningful way that enhances learning [8]. In spite of parents playing an important role
in the adoption of m-learning, their attitude towards mobile learning has not been given
the attention it deserves [19]. Ford [18] stressed the need to carry out studies on the
acceptance of m-learning in the South African context and not to blindly follow
examples in developed countries. On the basis of the argument thus far, the current
research sought to examine the perceptions of parents of rural high school STEM
learners towards m-learning.
Identifying and understanding these factors is important for the successful imple-
mentation of m-learning. Hence, this study used the technology acceptance model
(TAM) to investigate the factors that predict rural high school STEM learners’ parents’
attitudes towards m-learning. Specifically, the study seeks to answers the following
research questions:
522 D. Mutambara and A. Bayaga
RQ 1: What is the effect of parents’ perceived usefulness, perceived ease of use,

attitude towards the use, perceived resources and perceived social influence on their
behavioral intention to use m-learning?
RQ2: What is the relative importance of each of these factors in explaining parents’
behavioral intention to use m-learning?
The findings of this study may provide more insight on m-learning acceptance in
developing counties, and help policymakers and all other stakeholders in education on
how to successfully implement m-learning in rural areas.
2 Literature Review and Model Development
2.1 Literature Review

Traditionally, the integration of m-learning has considered the home environment as
the basis for extending formal learning beyond the wall of the classroom [16]. How-
ever, there is a big difference between what teachers hoped for and what mobile devices
are actually being used for at home. At home mobile devices are mostly used for
communication and playing games [39]. The most effective way of integrating m-
learning into schools is through involving parents [8]. Parents’ beliefs about m-learning
influence their children’s use [19]. Studies have shown that parents have contradictory
attitudes towards the integration of m-learning in children’s education [16, 19, 39]. In a
study carried out by Genc [39] on the perception of parents towards mobile learning,
the results show that about 46.88% of parents were having negative perceptions, while
26.88% were neutral while 26.56% were having positive perceptions towards mobile
learning. Genc’s [39] results were congruent to Bourgonjon et al’s [16] findings, who
stated that some parents expressed negative perception towards the use of mobile
digital games-based learning. In both studies [16, 39], parents who had positive per-
ceptions towards the integrating technology cited the usefulness of it in their children’s
education. However, parents were concerned about the health and social issues asso-
ciated with overexposure to technology [16]. A plethora of studies has shown that
parents’ PEOU has a positive effect on their ATT and PU [10, 16, 17, 19, 29, 39].
However, there is some inconsistency when it comes to the relationship between
parents’ PEOU and their BI to allow their children to use m-learning. Studies [10] and
[16] found that PEOU does not necessarily have a direct effect on BI. On the contrary,
Alshmrany et al. [17] reported that PEOU has a positive direct effect on BI. Tsuei [19]
studied the effect of parents’ PSI on their PU and PEOU. The results showed that
parent-teacher communication positively influenced both PU and PEOU. However, the
communication between children and their parents only influenced parents’ PU but not
PEOU [19]. These results show that social influence plays an important role in parents’
acceptance of information and communication technology (ICT) learning. Tsuei [19]
highlighted the need to build partnerships between schools and parents for the suc-
cessful integration of ICT learning.
2.2 Technology Acceptance Model (TAM) Variables

TAM and the Unified Technology of Acceptance and Use Theory (UTAUT) are the
commonly used models to study factors that affect the acceptance of m-learning. In this
study, TAM was selected because it is considered to be robust and it is mostly used
model for the study of the adoption of technology in educational contexts [23, 24].
TAM expounded upon the ideas of the Theory of Reasoned Action [20]. Perceived
usefulness and perceived ease of use are the two pillars of TAM. These two pillars
predict users’ attitudes toward the use, which, in turn, affect behavioral intention to use
an information system [11]. Venkatesh [21] suggested that more variables that are
context-related can be added to TAM to improve its explanatory power of the
acceptance of the technology in question as further explained [13].
Behavioral Intention to use (BI)
BI was defined by Fang [25] as,” … the cognitive representation of a person’s
readiness to perform a given behavior”, and it is considered to be the best antecedent of
behavior.” Thus, TAM assumes that parents’ adoption is determined by their BI to use
m-learning [16].
Attitude Towards the Use (ATT)
Attitude toward a behavior is defined as, “… the degree to which a person has a
favorable or unfavorable evaluation or appraisal of the behavior studied” [26]. That is
beliefs and attitudes play an important role in rejecting or accepting m-learning [28].
Parents’ attitudes towards m-learning positively affect their behavioral intention to use
[19]. This finding is congruent to the finding of Davis [11] and Dutota et al. [26].
Therefore, the hypothesis:
H1: Attitude toward use has a positive effect on behavioral intention.
Perceive Usefulness (PU)
In the m-learning context, PU is explained as a person’s perception that using m-
learning will improve his or her teaching and learning [27]. One of the main factors
behind parents’ adoption of m-learning is the perception that m-learning is going to
improve the performance of their children [16, 19]. Bourgonjon [16] studied the factors
that make parents accept digital game-based learning and found that learning oppor-
tunities were the single best predictor of parents’ preference for video games. If parents
perceive advantages in using m-learning, their attitude towards the use of these tech-
nologies will be more positive. Therefore, the hypotheses:
H2: Perceived Usefulness has a positive effect on perceived attitude towards the use.
H3: Perceived Usefulness has a positive effect on behavioral intention to use.
Perceived Ease of Use (PEOU)
In the m-learning context, PEOU can be defined as the extent to which users believe
that adopting m-learning would be free from effort. When parents perceive that their
children can use m-learning for learning STEM-related subject with minimum effort,
they will have a positive attitude towards it, will realize its utility and adopt it. Thus, the
hypotheses:
H4: Perceived ease of use has a positive effect on perceived usefulness.
H5: Perceived ease of use has a positive effect on behavioral intention to use.
H6: Perceived ease of use has a positive effect on attitude towards the use.
Perceived Resources (PR)

PR is defined as “… the extent to which an individual believes that he or she has the
personal and organizational resources needed to use an information system” [30].
Perceived resources was found to have a positive effect on PU, PEOU and ATT [31–
33]. In the studies [31–33], researchers investigated the effects of the availability of
resources on teachers’ acceptance of ICT into the classroom. They found that lack of
laptops, computer technical support from peers negatively affected the integration of
ICT into the classroom. Mboweni [34] found that most of the rural parents rely on
social grants and have financial problems. M-learning requires money for purchasing of
devices and data. Basing on the results of Lim [31] and Mboweni [34], one can learn
that rural parents’ perceived resources will affect their PU and PEOU towards the use of
m-learning. Therefore, the hypotheses:
H7: Perceived resources has a positive effect on perceived usefulness
H8: Perceived resources has a positive effect on perceived ease of use.
Perceived Social Influence (PSI)
PSI is similar to the theory of reasoned action’s subjective norm [20], which was
defined as “… a person’s perception that most people who are important to him think
he should or should not perform the behavior in question”. In this study, PSI is when
parents of high school STEM learners consider the view of those who are important to
them whether they should or should not allow their child to use m-learning. Parents of
STEM learners in rural areas are influenced by messages about m-learning. This was
suggested by Venkatesh et al. [21] who stated that people internalize the beliefs of
other people and make them part of their own belief system. If parents think that their
community, children, and teachers are expecting them to accept the use of m-learning,
they would have a positive attitude towards m-learning. Therefore, the hypothesis:
H9: Perceived social influence has a positive effect on perceived usefulness
H10: Perceived social influence has a positive effect on attitude towards the use.
On the basis of the theoretical underpinning, a hypothetical model is in Fig. 1.
Fig. 1. The parents’ acceptance of mobile learning model
3 Methods
3.1 Research Design

The research followed a quantitative approach, where survey demographic and
opinion-related data were collected from parents using a questionnaire. Firstly, the data
from parents were explored using descriptive statistics. Secondly, the partial least
squares structural equation model (PLS-SEM) was used to test the hypothesized model.
3.2 Participants
The study adopted stratified sampling to collect data [35]. All high schools in rural
areas in King Cetshwayo District were grouped using their quintiles. To ensure that
homogenous elements form a stratum, schools in the same quintile were grouped.
Three strata were formed. Simple random sampling was then used to select four
schools in each stratum. Simple random sampling was also used to select 200 grade, 12
STEM learners, from the selected schools. The selected learners were given ques-
tionnaires to give to their parents and 129 (65%) valid questionnaires were collected.
Using Chin’s [36] recommendation of 10 times larger than the number of items of the
construct with most items, the sample size exceeds the recommended 50.
3.3 Measures
Firstly, the parents filled in questions about demographical information. Secondly,
respondents answered the main part of the questionnaire, which comprised of scales
measuring the constructs of the model. The questionnaire was adopted from previous
studies [19, 33] and modified to suit the needs of the current study. The measurement
instrument consists of six constructs making a total of 25 items. The questionnaire was
developed and translated into IsiZulu and distributed both in English and IsiZulu. The
respondents were asked to choose the language they are comfortable with. All items
were measured on a 7-point Likert-type scale with 1 corresponding to “strongly dis-
agree” and 7 to “strongly agree.”
3.4 Analysis Technique

Partial Least Squares Structural Equation Modeling (PLS-SEM) was used to analyze
data making use of the software SmartPLS 3. One of the functions of PLS-SEM is the
prediction of the target variable [10] in this case rural parents whose children are
pursuing STEM’s behavioral intention to allow their children to use m-learning. PLS-
SEM was also used to assess the predictive power of antecedent variables. The study
followed Chin’s [36] two-stage approach of model analysis. First, the reliability and
validity of different model variables were assessed to confirm the quality of the outer
model. In the second step, the relationships within the structural model were assessed
by testing the significance of the relationships, explained variance of the endogenous
variables and predictive power of different variables [10].
4 Data Analysis Results
4.1 Measurement Model Assessment

The outer model describes the association between items and the latent variables.
Convergent validity and discriminant validity of the outer model needs to be assessed
[37, 38], in order to ascertain the goodness of fit of the out model. Convergent validity
assesses the degree to which there is a high correlation between the latent variable
which are theoretically identical, while discriminant validity assesses the degree to
which a construct differs from other constructs [37, 38].
The results (see Fig. 2) show that almost all reflective indicators have loadings
higher than 0.7 [37] except ATT1 (0.692), PR4 (0.612) and PU4 (0.671). The items
were returned due to the exploratory nature of the study and removing them did not
result in an increase in the composite reliability [37]. The results confirm item relia-
bility. The results (Appendix 4) also confirm convergent validity as well, with Cron-
bach’s alpha (a) greater than 0.7, composite reliability (CR) above 0.6 and average
explained extracted (AVE) values greater than 0.5 [37].
Discriminant Validity
The heterotrait-monotrait ratio of correlations (HTMT) and the Fornell-Larcker crite-
rion were used to assess discriminant validity [37]. Results (Appendix 1) show that all
the root of AVE values were higher than inter-construct correlations and all the HTMT
values were under 0.85 [37]. The results confirm discriminant validity. Overall, the
indicator reliability, internal consistency reliability, convergent validity and discrimi-
nant validity tests conducted on the measurement model were satisfactory.
4.2 Structural Model Assessment

After ascertaining the suitability of the outer model, the inner model was examined, and
the hypotheses were tested. Before assessing the inner model, the variance inflation
factor (VIF) was used to assess collinearity issues. All the VIF values were less than 4
[39], indicating that there were no collinearity issues. Results in (Appendix 2) and
Fig. 2 summarize the inner model and the hypotheses testing results. Figure 2 shows
the R2 of the model. The model explains 24% of PU 19% of PEOU, 43% ATT and
41% of the variance of rural parents’ BI for their children to use m-learning. The
variance explained in rural parents’ ATT and BI is considered moderate, while, vari-
ance explained in PU and PEOU is considered small [36]. The results of Fig. 2 also
shows the standardized path coefficients. The results show that all model’s antecedents
predict rural parents’ behavioral intention to allow their children to use mobile learning
for learning STEM. Results (Appendix 1) show the results of the bootstrapping pro-
cedure. The results show that all the hypotheses were supported except H3 and H5.
Additionally, the results in (Appendix 1) show the effect size of these relations. Two
relations (ATT -> BI and PEOU -> ATT) have large effect size, PR -> PEOU has a
Fig. 2. Structural equation model analysis

medium effect size while the last five (PEOU -> PU, PR -> PU, PSI -> ATT, PSI -
> PU and PU -> ATT) have small effect size. The Q2 values range from 0.16 to 0.23,
indicating a medium predictive relevance [37].
To answer research question 2, the observation of total effects (Appendix 3) was
used. The results show that the best predictors of parents’ BI to allow their children to
use mobile learning to STEM-related subjects are ATT, PEOU and PR.
5 Discussions
RQ1: This study sought to examine the effects of PU, PEOU, ATT, PSI and PR on the
behavioral intention to allow children to use m-learning for rural parents. The results
show that the model was appropriate for determining the rural parents’ acceptance of
m-learning as it explains 41% of the variance in BI. It was found that all the ante-
cedents predict behavioral intention to use m-learning. However, only parents’ ATT
has a direct effect on BI. It would be reasonable to infer that when rural parents have
positive feelings towards the use of m-learning, these positive feelings will reinforce
their intention to allow their children to use m-learning to learn STEM-related subjects.
Parents’ ATT mediates the effect of their PU, PSI, PR and PEOU on their BI. The
results show some notable differences from prior adoption studies [10, 11, 13]. In
contrary to the previous finding, PU has an insignificant effect on rural parents’ BI [13,
19]. The results show that rural high school STEM learners’ parents are not acquainted
with the usefulness of mobile devices in the classroom. However, the results also
confirm the finding of [19], who found that PU indirectly influences users’ BI by the
mediation of ATT. This might mean that even though rural parents have limited
knowledge about the benefits that m-learning bring into STEM learning, that little
knowledge they possess positively affects their attitudes towards the use of m-learning
for STEM learning.
In contrary to the findings of Davis [11], the current study found that PEOU
predicts ATT, better than PU. This shows that rural parents consider the effort needed
to learn to use m-learning more important when adopting it than its utility. The finding
might be due to parents belonging to the “digital immigrants” generation which
struggle to use mobile devices to carry out specific tasks. The results also show that
parents are not indifferent to what other people (teachers, society and children) think
about m-learning, as their ATT towards m-learning was influenced by their PSI better
than their PU. These results are line with the findings of Tsuei [19], who found that
teacher-parent and children-parents communication influenced parents’ technology
acceptance. PSI also positively affect PU and BI by the mediating of ATT. The results
suggest that rural parents value what people important to them say about the use of m-
learning for STEM learning. Therefore, it is important for teachers and learners to
provide rural parents with an awareness of the potential of m-learning for STEM-
related subjects.
Regarding PR, the results show that it positively affects both PU and PEOU. The
results also show that PR has an indirect effect on BI through PEOU and ATT. This
finding was not surprising due to the rural environment in which the study was carried.
Most of the families in rural areas are living in poverty and depend on social grants as
their source of income [34]. It is also interesting to note that PR has indirect effects on
ATT and PU by the mediating effect of PEOU. The results suggest that for rural parents,
the availability of resources affects the usefulness and ease of use, which in turn affects
parents’ attitudes towards m-learning. The conclusion that can be drawn from these
results is that, for a successful implementation of m-learning for STEM learning in rural
areas, resources need to be provided. Based on the current findings, the following
suggestions can be made to mobile developers and instructional designers and the
Department of Basic Education (DBE), in line with Li et al. [13] and Nikou et al. [14]
who studied learners’ and teachers’ acceptance of m-learning. Mobile developers should
make m-learning platforms user-friendly and contain as much learning material and
assessments as possible. This is because rural parents, teachers and learners consider
utility and ease of use to be important when adopting m-learning. The DBE should
provide resources needed for mobile learning. The researchers suggest that the DBE
should supply rural STEM learners with tablets. Furthermore, the DBE should use
offline portals to support m-learning in rural areas, make some partnerships with cellular
network service providers to allow some educational platforms and websites to be
accessed freely, this will remove the burden of buying data from rural parents.
RQ2: The ordinal strength of the predictors of rural parents’ BI to use mobile
learning is as follows: ATT (b = 0.629, p < 0.01), PEOU (b = 0.374, p < 0.01), PR
(b = 0.189, p < 0.01), PSI (b = 0.148, p < 0.01) and lastly PU (b = 0.113, p < 0.05).
One limitation in the current study is that it focuses on parents of STEM learners.
Therefore, the generalization of the findings of this study to all high school and primary
parents of rural areas should be done with caution. Future studies should study per-
ceived resources by clearly differentiating the different resources needed to support m-
learning. It would be interesting to study perceived social influence to clearly determine
the actual group (teachers, children or society) that affect rural parents’ attitudes
towards m-learning.
6 Conclusion
Based on the results of this study, contrary to the findings of Davis [11], only parents’
attitudes towards m-learning have a direct effect on rural parents’ behavioral intention to
allow their STEM learners to use m-learning. Additionally, the results support the
suggestion by Venkatesh et al. [22], who proposed that more variables that are context-
related can be added to TAM to study the acceptance of an information system. In this
study perceived social influence and perceived resources were added to TAM. The
results showed that perceived social influence and perceived resources had a positive
indirect influence effect on their behavioral intention to use mobile learning. The results
also show that all the variables in the model predict behavioral intention to use m-
learning. The predicting power of these variables is as follows: ATT, PEOU, PR, PSI
and PU. The lessons that can be drawn from the study are that rural parents’ attitudes
towards m-learning and the perceived ease of use are the most important factors that they
consider when accepting m-learning. This might mean that parents expect their children
to be trained on how to use m-learning before its implementation. Furthermore,
infrastructure, mobile devices and data need to be made available for mobile learning to
be successfully adopted in rural areas.
Appendix
Appendix 1. Discriminant validity analysis

Fornell-Larcker criterion HTMT
ATT BI PEOU PR PSI PU ATT BI PEOU PR PSI PU
ATT 0.802
BI 0.630 0.837 0.748
PEOU 0.600 0.392 0.805 0.675 0.440
PR 0.243 0.160 0.439 0.744 0.288 0.192 0.527
PSI 0.184 0.187 0.068 0.288 0.928 0.204 0.208 0.084 0.365
PU 0.433 0.366 0.435 0.316 0.106 0.821 0.480 0.401 0.476 0.367 0.118
Appendix 2. Path coefficient

Hypothesis Relation Standard Beta Confidence f2 P values Result
interval
H1 ATT -> BI 0.585** 0.406 0.710 0.349 0.000 Supported
H6 PEOU -> ATT 0.536** 0.356 0.688 0.405 0.000 Supported
H5 PEOU -> BI 0,01 −0,171 0.176 0.000 0.922 Not Supported
H4 PEOU -> PU 0.355** 0.199 0.502 0.133 0.000 Supported
H8 PR -> PEOU 0.440** 0.294 0.553 0.240 0.000 Supported
H7 PR -> PU 0.211* 0.055 0.371 0.043 0.033 Supported
H10 PSI -> ATT 0.201** 0.073 0.314 0.070 0.006 Supported
H9 PSI -> PU 0.192** 0.078 0.264 0.044 0.001 Supported
H2 PU -> ATT 0.178** 0.037 0.313 0.045 0.034 Supported
H3 PU -> BI 0.117 −0,077 0.265 0.018 0.269 Not Supported
Appendix 3. Total effects

Relation Standard beta Standard error T-statistics Confidence interval
ATT -> BI 0.629 0.054 11.610** 0.523–0.705
PEOU -> ATT 0.595 0.094 6.315** 0.431–0.728
PEOU -> BI 0.374 0.075 4.977** 0.246–0.492
PEOU -> PU 0.355 0.097 3.649** 0.196–0.508
PR -> ATT 0.301 0.059 5.097** 0.190–0.384
PR -> BI 0.189 0.046 4.098** 0.109–0.254
PR -> PEOU 0.440 0.086 5.126** 0.274–0.556
PR -> PU 0.371 0.090 4.130** 0.217–0.505
PSI -> ATT 0.235 0.069 3.401** 0.132–0.354
PSI -> BI 0.148 0.046 3.204** 0.079–0.226
PSI -> PU 0.192 0.059 3.275** 0.086–0.279
PU -> ATT 0.180 0.087 2.081* 0.044–0.323
PU -> BI 0.113 0.058 1.966* 0.027–0.218
Significant at p** = <0.01, p* < 0.05;
Appendix 4. Measurement model

Construct PR PU PEOU PSI ATT BI
Cronbach’s alpha (a) 0.737 0.877 0.865 0.920 0.858 0.790
CR 0.831 0.911 0.902 0.949 0.899 0.875
AVE 0.554 0.673 0.648 0.861 0.642 0.701
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May the Change Be with You: The Need
for New Roles to Support Flipped Classroom
Development
Linda Blömer(&), Alena Droit(&), and Kristin Vogelsang(&)
Osnabrueck University, Katharinenstr. 3, 49074 Osnabrueck, Germany

{linda.bloemer,alena.droit,
kristin.vogelsang}@uni-osnabrueck.de
Abstract. The usage of digital media to provide learning content is becoming

increasingly popular. One form of e-learning is the Flipped Classroom (FC). FC
courses, however, are still heavily dependent on the commitment of individual
teachers. Repeatable descriptions of approaches or institutionalized support are
rare. The high amount of work involved discourages many teachers from using
FCs. Strategic course development should therefore be conducted collabora-
tively by several stakeholders. Change management approaches offer a solution
to deal with the integration of strategies for change and consider all stakeholder
groups. This paper aims to combine an FC process model and a change man-
agement approach to include all stakeholders. Based on a literature review, we
develop an integrative approach and summarize the necessary aspects of change.
Our results show that for the successful integration and development of FC
courses, we need new roles that support the process and assure the stakeholder’s
acceptance.
Keywords: Flipped Classroom Change management Stakeholder Course

development Literature review
1 Introduction
The practice of teaching has undergone fundamental changes. The integration of

technology for the supply of content and learning material leads to improved e-learning
variants [1]. One method of so-called blended learning (BL) is the Flipped Classroom
(FC). In an FC, the essential basic knowledge is supplied via online material and can be
learned at home, while the in-class time can be used to train deeper understanding and
application of the knowledge [2]. As the concept is rather new, much research only
deals with siloed - and therefore, often heterogeneous case presentations [3]. Process
models that present the development process are rare [4, 5]. Often, the FC is planned
and proceeded single-handedly by the teachers. Supportive institutional structures are
hardly ever available. The transformation of a traditional course is a time-consuming
task [6] in which the teacher should be supported by a clear division of roles and tasks.
The high amount of work involved discourages many teachers from using technology-
enhanced approaches for teaching [7]. The role of the institution and its supporting
duties are not defined [8]. Newly created FC design models fall too short, as they

https://doi.org/10.1007/978-3-030-44999-5_44
May the Change Be with You 533
assume a high intrinsic motivation of all stakeholders. However, research has already
proven a resistance to change among students, teachers, and administration [9]. Change
management (CM) that accompanies stakeholders and directs the change is often
missing [10]. Due to the defined lack of applicable process models that include
stakeholders and motivational structure, this paper links an FC process model with a
CM approach. The aim is to present the possible connections between FC development
and CM integration. Doing so, we will answer the following three research questions
(RQ): (1) Which CM approaches are considered in the current FC literature? (2) What
tasks and recommendations to change, referred to as CM aspects, can be identified and
linked to the FC development process? (3) What other CM aspects should be taken into
account in a stakeholder-integrating FC development process in the future?
Based on a literature review, we decide to link a CM model with an FC process
model to disclose similarities between the FC development and the change process. We
define how a successful CM can support the FC development process and foster the
distribution of the tasks arising. Also, we emphasize which aspects cannot be directly
assigned to the development process, but should nevertheless be considered in the
sense of a successful change process. To achieve this, we have conducted a research
process based on a systematic literature review described in Sect. 2. In Sect. 3, we will
present the theoretical basis: The selected FC process model [11] as well as the
underlying CM model from Kotter [12]. We then link the CM aspects derived from the
literature review with both models in Sect. 4 and discuss supplementary aspects
without direct reference to the FC development process in Sect. 5. Further research and
limitations of our work are also covered in the section. The paper ends with a con-
clusion in Sect. 6. We regard the paper as a wake-up call for higher education insti-
tutions (HEI) to recognize the importance of a fundamental and managed change,
involving all stakeholders, providing support and structure, and breaking down
barriers.
2 Method
Our research process shown in Fig. 1 is based on a literature review [13] that leads to a
merge of two different models.
Search string: “Change Management” AND (“Flipped Classroom” OR “Inverted Classroom”)

Databases: AISel, Eric, Google Scholar, Science Direct, Scopus, Web of Sience
1. Exclusion: Duplicates
Screening of title, abstract and key words of 282 identified articles
2. Exclusion: Unsuitable articles
Full-text reading of 57 selected articles
3. Exclusion: Unsuitable articles
7 articles
Backward/Forward Research
In depth-reading of 8 included articles (RQ 1) to identify CM aspects
Bundling CM aspects through
discussion & revision within
Linking CM aspects to FC & CM model (RQ 2) and bundling general CM aspects (RQ 3)
research team
Fig. 1. Research process

534 L. Blömer et al.
The aim is to identify current articles and conference proceedings that deal with the
consideration of CM during the development of an FC course and show which CM
approaches have been applied (RQ 1) to identify CM aspects, that can be linked to
specific checklist tasks (CTs) of the FC process model as well as to steps of the CM
model (RQ 2) or be bundled to general CM aspects (RQ 3). We searched in six
databases using the search string and limiting the results from 2015 to get only current
sources. After deducting duplicates in the first exclusion, we identified 282 articles of
which title, abstract, and keywords were screened for relevance. Reasons for the second
exclusion were a lack of relevance to CM and FC or at least BL and a lack of quality
when the source was not published as a journal or conference paper. We selected 57
articles for full-text reading rejecting 50 of them during the third exclusion which we
carried out taking into account the criterion lack of relevance to CM and FC/BL, lack of
relevance for HEI as well as lack of application of a CM approach. Afterward, we
conducted a backward/forward research determining one more article as relevant for
our study. Our findings are summarized in Table 1, in which the CM approach, the
mainly addressed stakeholder (Ad. ST) and the primary goals of the paper are noticed.
Table 1. Considered CM approaches in current FC literature

Author [Ref.] CM approach Ad. ST Major goal
Berglund et al. [14] Self-developed Institution Establishment of the role
“pedagogical developer” to
accompany the CM
Daniel et al. [15] Self-developed Teacher Overcome challenges for teachers by
training students as multipliers for
digital learning
Collyer and CM model Institution Build a grounded theory for adequate
Campbell [16] (Kotter) technology adoption change support
Hurtubise et al. [17] CM model Teacher Build a pedagogical strategy for FC
(Kotter) implementation using CM methods
Hutchings and Triple helix model Institution Transform the learning experience
Quinney [10] of change and organizational culture to adopt
(Hutchings et al.) technology-enabled learning
Quinn et al. [18] CM model Institution Using CM principles to engaging
(Kotter) students into the learning culture in
e-learning
Van Twembeke Self-developed Institution Examination of what leads adult
and Goeman [19] education teachers to integrate FC and
seeks to cultivate CM principles
White et al. [20] Self-developed Staff/teacher Development of strategies to foster
transformational change in teaching
and learning using a range of active
learning strategies
The results of the literature review show that there are only a few articles taking
into account a CM approach while developing a BL method like FC. This also cor-
responds to the results of other researchers for FC [17] and blended learning [18, 21].
In three of the eight articles, the well-known CM approach of Kotter was chosen. Most
of the articles shown in Table 1 address the institution as a whole or at least teachers
and further staff. We assume that an institutional anchoring and a distribution of tasks
to clearly defined roles within the institution is needed. To identify such tasks, as well
as recommendations to change, that should be considered in the FC development
process, we continue to proceed our research as follows in this paper: First, we describe
the FC creation process on the one hand and the CM process on the other hand.
Therefore, we merge the FC process model [11] and Kotter’s CM model [12], as
Kotter’s approach is the only one that is used in several included articles. The chosen
models build the basis for assigning CM aspects derived out of the eight papers from
the underlying literature review. To do so, we screened the articles for relevant CM
aspects. We collected a total of 79 CM aspects, discussed the content within our team
of three experienced FC researchers and assigned the aspects to the CTs of the FC
process model as well as the steps of Kotter’s CM model whenever possible. Doing so,
we could link 46 CM aspects with both models (Sect. 4). 33 CM aspects could not be
assigned to single CTs of the FC process. They were as well discussed within the team
and clustered (Sect. 5).
3 Theoretical Basis
An FC is defined as a concept in which interactive, group-based learning activities take

place in the classroom, while individual learning occurs outside the classroom [2].
Many studies prove the success of FC concepts [9]. Videos, podcasts, and reading
assignments provide basic knowledge, which is studied individually by the students
online [22]. The attendance time of the FC is arranged differently according to the
needs; the main focus is on the application of the knowledge imparted online, problem-
oriented and collaborative learning as well as discussions between the students and the
teacher [23]. The implementation of the FC courses is heterogeneous and scientific
findings, therefore, challenging to transfer. Many researchers and users in this field
wish for uniform procedure models for the creation of FC courses [24]. First models for
FC design came up, which primarily concentrate on content creation [4] and student
learning [25].
Table 2. FC process model checklist [11]

Phase No. Checklist task
Initiation 1 Define need and goals
2 Estimate time, staff, and financial expenses
3 Identify stakeholders (lecturers, students, institution)
4 Weigh benefits and costs and make a decision whether FC is useful
(continued)
Phase No. Checklist task
Planning 5 Activate project team
6 Train teachers
7 Check if changes/plans are in accordance with university requirements
8 Define learning outcomes and levels with the help of taxonomies
9 Identify group of learners (context, diversity)
10 Inform students in advance
11 Prepare and produce material (choose media type)
12 Choose in-class activities and prepare material
13 Tune in-class and online courses
14 Prepare learning analytics
15 Check and provide resources (rooms, technical equipment, LMS)
Execution 16 Provide online material
17 Continuous learning assessment
18 Proceed in-class activities
19 Monitor participants and learning success
20 Steer according to students needs
Closing 21 Cany out exams
22 Conduct formative evaluation (attitudes, perceptions) of stakeholders
23 Conduct summative evaluation (learning success) of students
24 Lessons learned
For the instructional design of an FC that integrates CM, we chose an already

existing FC process model [11]. As the FC process model has its roots in project
management, we assume that further stakeholder can easily be included. Four suc-
cessive project management phases initiation, planning, execution, and closing [26]
describe the process and the activities of FC development. A supplementary checklist
with CTs for each phase is shown in Table 2. During the initiation phase, the idea of
the project comes up and has to be evaluated. Risks and impacts are considered for
preparing the decision about the project execution. In the second phase, the planning,
required resources are identified and plans for time, costs, and performance are
developed. The third phase is often presented in two sections (testing and execution).
Here the FC takes place. The closing phase includes an evaluation of the project and its
output. Lessons learned are collected. Besides the practical implications of this model,
we assume, the model profits from some enhancements to include stakeholder and their
tasks from a broader perspective than the core teaching team.
The results of our literature research show that Kotter’s eight-step process is the
only established CM approach described in multiple articles. John P. Kotter’s work is
based on the experiences he made during the observation of several companies, which
were dealing with the process of change. According to Kotter, mistakes can have a
destructive effect on the whole change process. In his work, he focuses on eight errors,
from which he derives the eight steps to transform an organization [12]. Figure 2 gives
an overview of the steps.
Fig. 2. Kotter’s CM model [12]
Step 1 is based on current facts, communicated tactically to stimulate the formation

of motivated collaborations. At the beginning of the change process, the acceptance to
change from at least three-quarters of the management is critical to success for the
whole change process. Excellent leaders with comprehension for the necessity of
change are required. Step 2 underlines the importance of guiding coalitions, which rely
on power. Numerous influential individuals are needed, breaking loose with former
hierarchy structure and earlier formalities within their cooperation, working as a team –
a steep challenge when they, until then, were used to reach goals on their own and
therefore overlook the significance of such a coalition. Step 3 assumes responsibility to
sketch and maintain the direction of change, defining a vision that is simple to com-
municate and easy to understand in a short time, inducing comprehension and interest
and combining all single plans to a future perspective. The vision has to be spread
through every communication channel, as step 4 demands. The change will fail without
the support of many people, based on their trust in the change, willing to make
concessions at their expense. Therefore, extensive and believable communication is
indispensable, even if still not enough. Step 5 makes clear that in the following process,
serious barriers to change have to be determined and removed so that people are
enabled to adjust their organization on the vision. Step 6 deals with the relevance of
diverse goals, that can be reached and celebrated in short steps during the change
process. This short term wins have to be planned and created, e.g., to prevent people
discontinuing or even start rejecting the change. However, once proclaiming a con-
cluding triumph is dangerous, step 7 considers. In this process step, it is more advisable
to go on with short term wins in broader contexts, taking care of organization parts that
did not change yet, be aware of prospective recruiting and development and start new,
more extensive projects. Step 8 anchors the change within the culture by communi-
cating relevant circumstances that enabled the positive change and the resulting success
and by anchoring the new approaches within the next generation [12].
We share Kotter’s opinion that a vision of the change process can reduce the error
rate [12]. Therefore, we link CM to an FC development to not just reflect the creation
process, but also the process of change.
4 Consideration of CM During FC Development
We identified 46 CM aspects of which we were able to assign each of them to a single

checklist task (CT) of the FC process model and to a step of the CM model by
searching for parallels. This approach should be seen as a superior supplement to mere
course development models. The focus here is not on imparting knowledge, but on the
long-term integration of the FC course system, supported by institutional anchoring.
Table 3 illustrates the distribution of CM aspects and the connection between the
two models. While 10 CM aspects could be linked to the initiation phase, 25 to the
planning phase and 11 to the closing phase of the FC process, no CM aspect could be
assigned to the execution phase. The phases of the FC process and assigned CM
aspects are explained below.
Table 3. Linking CM aspects with FC and CM model
4.1 Initiation Phase

The first phase of the process model is the initiation phase, which starts as soon as a
teacher considers to introduce an FC by converting an existing course or creating a new
course. The phase includes all process steps from the first idea to the decision for or
against the FC and the communication of the vision of the FC class (CT 1–4).
Implementing CM is particularly crucial at the beginning of the FC development; Most
of the CTs are closely linked to one or more steps of Kotter’s CM model. At the very
beginning, goals and needs for an FC (CT 1) have to be defined, which corresponds
directly with the task to generate necessity for digital transformation in classrooms
(step 1). The initiators should explain and justify the change [14] to all affected
stakeholders at an early stage. Existing problems in teaching should be discussed in
retrospect, and the need didactical change should be demonstrated [18, 20]. It is
important to create awareness for the usefulness of the learning system, including the
voices of industry leaders [16]. By creation an induction experience that allowed
students to self-assess their needs and undertake development as required before the
beginning of a course, teachers can motivate students for the FC [18]. The estimation of
time, staff and expenses (CT 2) can be linked to Kotter’s first step as well. From a CM
perspective (step 1), Berglund et al. [14] recommend the establishment of pedagogical
developers (PDs); Highly motivated teachers who work part-time as PDs to promote
pedagogical development and facilitate cooperation and knowledge exchange among
faculty members at the HEI [18]. The identification of all affected stakeholders (CT 3)
can be linked to the first, second and fifth CM step. The FC initiators should
demonstrate the benefits of FC teaching clearly and ensure teachers that support and
training will be available for them and all other affected stakeholders (step 1) [16]. It is
crucial to involve the relevant stakeholders for the FC transformation from an early
stage. A guiding coalition should be formed, including not only teachers, students and
administration but also technical support, faculty development leader and curricula
designers (step 2) [17]. When involving the stakeholders, their diversity must be
considered: Van Twembeke et al. found out, that teachers often feel frustrated when
basic accomplishments were overlooked and not valued, especially because skills that
seem self-evident for younger teachers might be hard to master for older or less digital
literate teachers (step 5) [19].
4.2 Planning Phase

The planning phase includes all the tasks to organize the FC in general and in detail,
involving the affected stakeholders in each stage (CT 5–15). Concerning the CTs, this
phase is the most extensive. First, the project team must be activated (CT 5). Together
they agree on an action plan, that can be subsequently adapted into a project man-
agement document, as a BL agreement (step 1) [18]. To connect a powerful stakeholder
coalition (step 2) interdisciplinary networking should be promoted within and outside
of the institution [10, 19] and connections should be formed between lecturers to share
and extend knowledge and best practices [19, 20]. It can help to organize workshops to
create and inform the stakeholders about the FC vision [18] (step 4). Also, peer-to-peer
interaction is useful [19]. Peer assessment activities through platforms and peer-
reflection about teaching and learning concepts and implementations between teachers
have been proven beneficial for the change process [18] (step 4). To transplant the
vision of the FC approach (step 5), regular meetings of involved stakeholders should be
held at the institution [19] to exchange ideas, feedback, and knowledge. Furthermore,
White et al. motivate stakeholders to overcome barriers (step 5) by constantly com-
municating “why” and “how” FCs should be implemented and point out the advantages
and possible applications of FC methods [20]. To support teachers while planning and
executing the FC (step 6), the institution can provide shared workspaces, where
teachers can prepare new materials and have access to books and materials supporting
technology-enhanced teaching [19].
The training of teachers plays an essential part during the CM process (CT 6). To
assure the use of the systems, teachers, and students must have unrestricted access to
the system (step 3). It implies that teachers, in particular, should be able to use the
system in terms of content and technology [10]. Also shared vision and agreement on
how the technical system will be used in teaching is needed (step 4). Therefore, the
expected effort must be realistically estimated and communicated [19]. Specifically, the
support and training opportunities for teachers should be developed and offered [14].
Training that focuses on teaching in the digital environment is particularly important
[15]. The combination of technical and didactical training is a distinctive feature of FC
[19]. These measures are necessary to remove potential barriers in advance (step 5).
This also includes providing comprehensible materials, for example, in the first
language [19], so that the necessary steps for electronic teaching are easy to understand
[19]. To rely on existing, functioning technical tools and start learning the basics [15],
can be an easy way to gather short-term wins (step 6).
To check if changes and plans are in accordance with university requirements
(step 7) and to define learning outcomes and levels with the help of taxonomies are
subsequent significant actions. These tasks refer to the instructional design of the FC.
The underlying CM literature suggests no further actions taken focusing these stages
due to the strong relation to the didactical part of the FC. When the learning goals are
settled, the teacher should spend some time to classify the group of learners taking the
content and the different preconditions (CT 9) into account. The consideration of the
diversity of the students is a key to enable the overcoming of potential barriers (step 6)
[19]. Now the focus is on involving the students. They should be informed in advance
about the course and the requirements (CT 10). This also includes explaining the
benefits of the course. In concrete terms, former students or practitioners can advertise
and explain the benefits of the classes for their future careers [18]. The course can be
advertised with these strong stakeholder alliances (step 2). Students are informed
comprehensively through different channels [17] (step 4) and the information about the
course is provided [18]. This step also serves to overcome potential barriers (step 5).
Once the learning material has been created, and the corresponding media type has
been selected (CT 11), the material can be made available to the students [18]. Here it is
crucial to identify and remove potential barriers that make access to the material more
complicated, such as technical barriers or language barriers (step 5).
The final CTs of the planning phase are again strongly focused on the interaction of
the teachers with the students. Once the students’ diversity is defined in advance, in-
class activities can be selected, and the material prepared (CT 12). The current in-class
activities will now be tuned to the online courses (CT 13). The preparation of the
Learning Analytics (CT 14) is also based on the previous steps towards CM. The
information used in step 7 is used here. This phase concludes with a final check of
resources. Rooms must be booked, and the technical equipment should be available and
accessible. The same applies to the learning management system (LMS) (CT 15).
4.3 Execution Phase

The execution phase is the most challenging part of FC development. Here most
actions are taken that focus on the proceeding of the courses. It, therefore, seems
somewhat surprising that we were unable to work out clear recommendations for action
on CM from the selected literature. We see the reason for this in the fact that many CM
measures have already been established at this point. Help structures regarding
administrative activities and technical support should already be anchored. Stake-
holders should already be informed at this point and follow a shared vision. New
impulses from CM do not come to bear at this point. Instead, the team is now con-
centrating on the successful handling of the FC course. This includes above all the
processing of CT 16–20: The online material is made available via existing systems.
This is accompanied by opportunities for the students to continuously check their
performance. The in-class activities take place at the same time. The teacher focuses on
the participants and their learning success and steers his course according to the stu-
dent’s expectations and needs.
4.4 Closing Phase

The final phase of the FC development and implementation is the closing phase. This
phase marks the end of the FC process. The teacher and the teaching team must choose
an evaluation method (step 8) and decide whether formative (CT 21) or summative
(CT 22) methods or a combination of both are appropriate. There is a need for the
adaptation of evaluation and assessment methods [17] to the course settings. The
collection, comparison, and dissemination of research results [17] (step 8) is proper
preparation of the lessons learned (CT 23) from the past course. In forums, teachers can
discuss recent events retrospectively [14]. For this purpose, however, a suitable
framework for these meetings must be created. Within established sessions, teachers
can share their experiences [19] and knowledge [15]. Networking should be enabled
[18]. Also, the derived success factors are communicated to the stakeholders (step 7).
To raise the interests of future students, the opportunities that arise through the
courses should be promoted. The arising advantages should be reported through
appropriate channels [18]. The FC approach can then be expanded to other courses and
programs within the universities (step 7). This means this phase is, on the one hand, the
closing of the current course but also the first preparation for future courses.
5 Discussion
Besides those CM aspects that could be linked to the FC process, we found a total of 33
aspects which are more general and therefore cannot be clearly assigned to a single CT.
Instead, they are ongoing tasks and recommendations that should accompany the whole
development process of FC thus concentrate on the management of the stakeholders.
We defined the following five categories for accompanying CM aspects that should be
taken into account in a stakeholder-integrating FC development process: (1) Care for
the stakeholders: Make circumstances for stakeholders as pleasant as possible [16],
show appreciation [19], remove barriers like insufficient time and money [19] and
compensate the additional burden of time on teachers through the use of trained stu-
dents [15] or the support of Ph.D. students [20] during all phases; and also note the
changes in the requirements of stakeholders during the various phases. (2) Encourage
teams: Create a sense of community [14] and promote the presence of the guiding
coalition [19]. (3) Live the vision: Create and use a vision [20] that gets a proper name
and is distributed across different communication channels [18]. Consider an FC
establishment from bottom-up [19], set and communicate goals [20], use motivational
techniques [18] and activate committed stakeholders [10]. (4) Offer permanent support:
Form a team for support [18] and provide necessary framework conditions [10]. Offer
emotional support and encourage self-confidence of teaching staff [19]. Concentrate on
established technological tools [16] and support voluntary participation of teachers
[15]. (5) Enable step-by-step procedure: Implement FC step-by-step [20] by starting
small, flipping one lecture at a time, executing pilots and preparing subareas [17]. Set
intermediate goals [19], evaluate the progress [16] communicate the first results [18],
and employ feedback loops [16]. Enable reflection [18] and promote presentations of
cases and pilots [16].
In literature, it often remains unclear who exactly will take on the task to guide the
change. As shown in Table 1, either the institution is addressed in general terms or
tasks are assigned to the teacher. Thus, we call for new roles in HEIs, which overtake
the task to guide the change and take into account the individual FC phases as well as
the consideration of the entire CM process. Such a position could be located within the
organizational development of HEI, initiate the change together, accompany stake-
holders, and thus act as a present and responsive support.
6 Conclusion
By disclosing the relevant CM aspects for the change to digital teaching, we will show
institutions how they can support relevant stakeholders in a targeted and holistic way
during the change in the future. We combined two perspectives and merged them into
one overview of how CM can be integrated to foster a successful FC development. Our
literature research has shown that many authors have recognized the critical role of CM
in the digital transformation of education.
Despite the merits of our model, we have to name some limitations. Although we
based our research and the model development on well-prepared literature research, it
is possible that models exist, that would be suitable as well.
The alignment of CM process steps and CTs to design an FC give hints for several
stakeholders. Compared to the existing literature, we do not focus solely on the
inclusion of the teachers and students in the FC implementation focus. We consider all
different stakeholders. We assume the findings to be of value for teachers and teaching
teams to implement new FC concepts or improve existing ones. The integration of CM
to an FC process model is of particular relevance for researchers from the fields of e-
learning, instructional design, CM, and Process Management, especially in HEI. For
further research we would welcome reports about FC development projects, that rely
on our findings. Furthermore, stakeholder specific action plans should be developed
and tested. In the long-term, it could be of value to see how the strategic stakeholder-
based FC development affects the satisfaction of the recipients.
Furthermore, the role and tasks of the institution are still somewhat unclear [8]. It
would be the aim of future research to clarify the promotional and driving role of the
institutions and to define the implications of the change for the stakeholders involved
[21]. We claim here for the creation of new supporting roles like a teaching coach and
teaching teams that are responsible for successful CM in FC course implementation.
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Preliminary Insights into the Nature
of Graduate IS Programmes
in Sub-Saharan Africa
Mark-Oliver Kevor, Richard Boateng(&) ,

Emmanuel Awuni Kolog , Acheampong Owusu ,
and Anthony Afful-Dadzie
University of Ghana Business School, Box LG 78 Accra, Ghana

Richboateng@ug.edu.gh
Abstract. Extant Information Systems (IS) curriculum research has focused on

the nature of undergraduate IS programmes, particularly in the US and UK,
eliciting calls for studies on graduate IS programmes and in regions beyond the
US and UK. This study, consequently, looks at the nature of graduate IS pro-
grammes in Sub-Saharan Africa (SSA). Using a direct survey method, IS
courses information were collected from the websites of top universities in SSA
based on a 2019 webometric world ranking of universities. The course offerings
from these universities are mapped to the competencies specified in the Global
competency model for graduate IS programmes (MSIS 2016). The findings
generally indicate, among others, non-adherence of graduate IS programmes in
SSA to the MSIS 2016. The reasons for the non-adherence to the MSIS 2016
curriculum model is recommended for future research.
Keywords: MSIS 2016 adherence IS curriculum Adoption Sub-Saharan

Africa
1 Introduction
It is becoming well-accepted that the aim of information systems (IS) curriculum

design and delivery is to prepare IS graduates with the skills required by organisations
(Benamati et al. 2010; Topi et al. 2017). Recently, organisations have been concerned
with the competencies of IS graduates due to the implications—financial and otherwise
—of providing on-the-job (i.e. in-service) training to ensure employees can meet the
organisations’ competency demands (Anderson 2017). Stefanidis et al. (2013, p. 1)
claim that ‘there is an expectation that IS graduates possess sufficient skills to make
their transition into graduate employment as seamless as possible’. As a result,
organisations are gradually eliminating trainee positions and preferring to hire gradu-
ates with the relevant competencies (Anderson 2017). While this organisational
dimension supports expansion and competitiveness, it poses a practical challenge for IS
faculty and curriculum developers, who must work to meet the changing demands of
businesses in the face of declining IS enrolment (Akbulut-Bailey 2012).

https://doi.org/10.1007/978-3-030-44999-5_45
546 M.-O. Kevor et al.
The IS community has responded to organisations’ rapidly changing IS competency

needs by developing IS competency models to guide the design and delivery of both
graduate and undergraduate programmes in higher education institutions (Gorgone et al.
2006; Topi et al. 2017). While considerable research has examined the level of adoption
of IS curriculum models at the undergraduate level (Andoh-Baidoo et al. 2014; Bell
et al. 2013; Clark et al. 2017; Lo and Cruz 2014; Mills et al. 2012; Osatuyi and Garza
2014), there is less research on adoption and adherence at the graduate level (Apigian
and Gambill 2014; Yang 2012). Moreover, much of the domain-specific research is
predominantly conducted in the North American context (Helfert 2011), despite the fact
that organisations’ IS competency needs differ between regions and regional market
factors influence the structure of IS curricula (Larsson and Boateng 2010; Kaiser et al.
2011; Clark et al. 2017). Yang (2012) suggested that researchers should investigate this
topic in non-US universities, preferably in other regions of the world. However, in our
preliminary investigation, we found no empirical research on the adoption of the IS
competency model in Sub-Saharan Africa (SSA). Additionally, according to Yang
(2012) and Apigian and Gambill (2014), few studies have been on the adoption of the IS
competency model at the graduate level, only with the MSIS 2006 (Gorgone et al. 2006)
and none with the global competency model for graduate degree programmes (MSIS
2016) (Topi et al. 2017) which is the latest of the curriculum guidelines developed by a
joint committee of professionals specifying competencies required from an IS graduate.
Quality graduate IS programmes in SSA presents an opportunity to develop contextual
solutions to the myriad of problems challenging the region and other less developed
countries (Syler and Venkatesh 2018). In view of these gaps, this paper seeks to
understand the nature of graduate IS programmes in SSA and to assess the level of
adherence of SSA IS curricula to the MSIS 2016 guidelines. The following research
questions are posed: What is the nature of graduate IS programmes in SSA? What
courses are offered in graduate IS programmes in SSA to ensure that students attain IS
competencies? What is the level of adherence of graduate IS curricula in SSA to the
MSIS 2016 guidelines?
The rest of the paper is organised as follows. Section 2 presents the background of
the study, including an overview of the MSIS model and IS in higher education.
Section 3 describes the research methodology. Section 4 presents the results and dis-
cusses them. Section 5 describes the relevant conclusions and suggests a direction for
future research.
2 Background
2.1 Information System Programmes in Higher Education Institutions

Westfall (2012, p. 66) defines IS as a ‘field that prepares students to interface between
non-technical organizational employees and managers and very technical IT profes-
sionals, with a focus on functions that are unlikely to be offshored’. This definition,
which we have adopted in the current study, underscores the relevance of under-
standing the content and curricula of IS programmes in higher education institutions.
Research aiming to identify the nature of graduate IS curricula often starts by
Preliminary Insights into the Nature of Graduate IS Programmes 547
investigating the nomenclature associated with IS programmes in various institutions

(Brooks et al. 2016; Cassel et al. 2008; Longenecker et al. 2015). IS programmes can
be found within various departments of higher education institutions (Longenecker
et al. 2015), and a benchmarking effort in the UK identified more than 6000 different
names for computing-related programmes of study and over 150 different names for IS
programmes (Cassel et al. 2008). Brooks et al. (2016) found that the terms IS, man-
agement information systems (MIS), computer information systems (CIS) and infor-
mation technology (IT) refer to the same or similar disciplines, indicating that no effort
has been put towards developing a naming convention or standard for IS education.
Similarly, Pierson et al. (2008) compared the names of IS programmes in 2004 to 2007
to determine whether there was any convergence in the naming of IS programmes in
higher education. They found that MIS, IS and CIS are the dominant names, but 20%
of the programmes in the surveyed US schools did not use these names (Pierson et al.
2008). Given the aim of this paper, we believe it is critical to add to the debate on the
identity of the IS field (Agarwal and Lucas 2005; Benbasat and Zmud 2003) and
investigate the naming conventions of IS programmes in other regions. This will help
researchers understand not only the identity of the IS discipline but also distinguish IS
from other computing-related disciplines.
2.2 The MSIS Model in Perspective

In an attempt to maintain standards and work towards a core body of knowledge in the
field of IS, a joint task force created by the Association for Computing Machinery
(ACM) and the Association for Information Systems (AIS) developed a model cur-
riculum for IS programmes in various higher education institutions. The most recent
model for undergraduate programmes is the IS 2010 (Topi et al. 2010) and for graduate
programmes is the MSIS 20161 global IS competency model (Topi et al. 2017).
The MSIS 2016 model is a revised version of the MSIS 2006 (Gorgone et al. 2006),
which was itself a revision of the MSIS 2000 (Gorgone et al. 2000). The MSIS 2000
and MSIS 2006 were developed based on the assumptions and principal characteristics
regarding IS in the US and Canada. The MSIS 2016 was the first to consider the
context of other regions, such as Asia and Europe. Moreover, whereas its antecedents
provide specific recommendations, the MSIS 2016 is a meta-model that specifies
necessary competencies and provides guidance for the development of IS curricula or
models. This follows the recent emphasis on a competency-based approach to IS
curriculum design and delivery (Sutcliffe and Chan 2004; Topi 2016; Topi et al. 2011).
According to Sutcliffe and Chan (2004), this approach is more flexible than the course-
based approach, which specifies that certain courses must always be taught.
The MSIS 2016 offers three categories of competencies: IS, individual foundational
competencies and core competencies in a domain of practice. These categories cover
broad areas of competency as well as specific competencies where appropriate. Nine IS
1
Heikki, T. et al. (2017) “MSIS 2016 Global Competency Model for Graduate Degree Programs in
Information Systems,” Communications of the Association for Information Systems: Vol. 40, Article
18. Available at: https://aisel.aisnet.org/cgi/viewcontent.cgi?article=3997&context=cais.
competency areas, 88 specific competencies (omitted in this paper), and 11 indicative

foundational competencies are identified. Whilst previous models emphasised com-
petencies in the business domain, MSIS 2016 recognises the applicability of IS beyond
business and core competencies in other domains, such as health, law and government.
The MSIS 2016 specifies four levels of competency attainment expected from an IS
graduate for each competency: awareness (i.e. the graduate is aware of the existence of
the competency), novice (i.e. the graduate has enough knowledge and skills that s/he
could perform tasks under supervision while developing the competency further),
support (i.e. the graduate has sufficient knowledge and skills to work with others and
support those with higher levels of competencies to achieve set goals) and independent
(i.e. the graduate can achieve the desired competency outcomes without continuous
supervision). A fifth level, expert, cannot be achieved with a graduate-level IS cur-
riculum (Topi et al. 2017). Employees perform IS roles by applying their knowledge,
skills and attitudes within organisational structures and processes (Peppard and Ward
2004). The MSIS 2016 prepares graduates to fill these roles by teaching specific
competencies beyond the awareness level and provides curriculum profiles for the roles
of Business Analyst, Business Information Manager, Enterprise Architect, IT consul-
tant, IT Project Manager and Systems Analyst (CEN 2012).
Extant research has examined the IS curriculum model from various perspectives.
One perspective looks at the presence (or absence) of a specific IS competency rec-
ommended by the model in a selected number of schools. Andoh-Baidoo et al. (2014)
undertook such a study, examined business intelligence and analytics courses in 161
US schools accredited by the Association to Advance Collegiate Schools of Business.
They found a considerable difference in the schools offering business intelligence
courses and degrees in different departments. Another perspective looks at the IS
courses offered by universities to provide students with specific IS competencies or
promote certain career tracks. Studies adopting this perspective survey universities with
IS programmes, and they can be exploratory in nature, be guided by a model or perform
comparisons with existing IS model curricula. In separate studies of graduate IS pro-
grammes in the US, Yang (2012) and Apigian and Gambill (2014) compared a list of
courses that universities required and deemed valuable with the MSIS 2006 graduate IS
curriculum model. This study applies a similar approach, using the MSIS 2016 global
IS competency model as the framework.
3 Methodology
To study the nature of graduate IS programmes in SSA, we adopted a direct survey

approach (Andoh-Baidoo et al. 2014; Apigian and Gambill 2014; Bell et al. 2013;
Yang 2012) and thus collected data directly from the websites of the participating
institutions. Bell et al. (2013, p. 77) explained that direct surveys are advantageous
because they focus on a ‘specific program of interest, allowing systematic collection
and quantification of data’. The top 50 universities in SSA were selected based on their
rankings by Webometrics (2018), which is an initiative of the Cybermetrics Lab, a
research group belonging to the Consejo Superior de Investigaciones Científicas, which
ranks universities by region in order to improve the web presence of academic and
research institutions. In this study, the university websites were accessed beginning in
September 2018, when the academic calendar for most universities in SSA begin and
updated course catalogues are provided. Only English-language websites were selected
in this survey. The websites of two universities in the top 50 were in French and were
therefore excluded. To fill this gap, we included the 51st and 52nd universities. Since
our focus is on graduate programmes, only universities that offered graduate IS pro-
grammes were included.
Of the 50 universities included in the survey, 27 either did not offer a graduate IS
programme or did not offer information about their graduate IS programme online.
Furthermore, the Masters programmes of six universities are exclusively dissertation-
based. Since such programmes do not detail the specific competencies a learner will
acquire, it would be difficult to include them in this analysis. Five universities provided
incomplete information about the offerings of their graduate IS programmes, and three
were specialised universities focusing on, for example, health or agriculture. Nine
universities offering graduate IS programmes provided complete data that was suffi-
cient for this analysis.
The name of the programme, total number of courses/modules, minimum duration,
presence of domain and IS bridge modules, university type, mode of instruction
delivery and modules/courses offered within each broad competency category were
recorded. These data were obtained from department websites, university yearbooks,
rulebooks and programme catalogues. These descriptions were indicative of what broad
competencies students were expected to acquire. The courses offered by the universities
were mapped to the broad competencies specified in the MSIS 2016. Similar courses
were combined into a common category (for example, systems analysis and design and
information systems development). ‘YES’ was used to indicate that at least one course
matching a broad competency category was found. For example, ‘YES’ was used for a
university that offers only entrepreneurship courses, as these fit within the IOCE cat-
egory, even if there are no courses teaching other competencies within the category.
A descriptive analysis was performed on the collected data, and the results are pre-
sented in Sect. 4.
4 Results and Discussions
4.1 The Nature of Graduate IS Programmes in SSA

There is generally lack of graduate IS programmes in SSA. This may be as a result of
IS being relatively new as compared to other traditional business and computing
programmes and may be an indication of the maturity of the IS discipline in SSA.
Nevertheless, the nine graduate IS programmes are offered by flagship universities in
SSA. Flagship universities are “almost always public, often among the largest in the
system or country, and a leading university in a country or an academic system which
is looked to for influence and emulation” (Altbach and Balan 2007, p. 8) and relevant
in the SSA context (Teferra 2016) to understanding the nature of graduate IS pro-
grammes. Again, Larsson and Boateng (2010) argue that different countries have
different resources strengths, maturity and approach in offering IS programmes.
Consequently, of the 50 universities we surveyed, 9 offered a graduate IS pro-

gramme or an equivalent programme with a different name. This result confirms other
studies (Brooks et al. 2016; Pierson et al. 2008) suggesting that there is a lack of
standards for the naming of IS programmes and emphasising the multidisciplinary
identity of the IS discipline. The institutions and the names of the graduate IS pro-
grammes are summarised in Table 1. All are public universities offering different types
of degrees, such as MSc, MBA, MCom and MIT, and they are located in six different
countries in SSA.
Table 1. Summary of IS graduate programmes in SSA (Source: Authors)

University Type Country Programme Degree
name type
University of Pretoria Public South ICT MIT
Africa Management
University of Kwazulu Natal Public South IS and Mcom
Africa Technology
University of Nairobi Public Kenya IT MSc
Management
Makerere University Public Uganda IS MSc
University of Ghana Public Ghana MIS MBA
University of the Free State Public South CIS MSc
Africa
University of Dar Es Salaam Public Tanzania Health MSc
Informatics
Mbarara University of Sci. and Public Uganda IS MSc
Technology
University of Botswana Public Botswana BIS MBA
The minimum number of modules offered is 6, and the maximum number is 20,
with an average of 13 (12.88). This is not unlike the typical MSIS programme in the
US, which offers 10 to 12 modules over three semesters (Topi et al. 2017). Three of the
9 graduate IS programmes offer bridge modules covering both IS and domain-specific
competencies. Such modules are important to help learners from diverse backgrounds
transition into the programme (Topi et al. 2017). However, this study did not consider
the entry requirements for the programmes, and it is therefore difficult to interpret the
absence of bridge modules as injurious. A summary of the number of modules and the
presence or absence of bridge modules is presented in Table 2.
From Table 2, the minimum duration of a graduate IS programme is 1.5 years, and
the average is 2 years for face-to-face (f2f) delivery (regular stream). In line with the
recommendations for IS programmes to move beyond business domain (Gorgone et al.
2006; Topi et al. 2017), there is evidence that graduate IS programmes consider the
education, geographic information systems (GIS) and health domains, although the
business domain remains dominant.
Table 2. Summary of graduate IS programmes’ characteristics in SSA (Source: Authors)

University Number Duration Domain Bridge Instruction
of modules mode
modules
University of Pretoria 13 2 Business Present F2F
University of 6 2 General Absent F2F
Kwazulu Natal
University of Nairobi 10 2 Business Absent F2F
Makerere University 13 2 Business/GIS Absent F2F
University of Ghana 20 2 Business Present F2F
University of the Free 13 2 Education Absent F2F
State
University of Dar Es 14 2 Health Present F2F
Salaam
Mbarara University of 11 2 Health/GIS Absent F2F
Science and
Technology
University of 16 1.5 Business Absent F2F
Botswana
4.2 Courses and Adherence of Graduate IS Curricula in SSA

to MSIS 2016
The results show that information systems development (ISD) and related courses are
widely offered in graduate IS programmes in SSA. This supports Surendra and Den-
ton’s (2009) suggestion that the defining course in an IS programme is systems analysis
and design, on which the core body of knowledge in the IS field depends (Baskerville
and Myers 2002). The five most common courses providing IS competencies are ISD,
IS Research, Strategic IS Management, IS Project Management and IS Security and
Auditing. These findings are similar to those of other researchers (Apigian and Gambill
2014; Yang 2012). Yang (2012) identified IS Analysis/Modelling/Design, IT Infras-
tructure, Project and Change Management and Management of IS as the four courses
most commonly offered in IS programmes by universities in the US, and Apigian and
Gambill (2014) identified Database, Management of IS, System Analysis and Design,
and Project Management as the most common courses.
We compared the courses offered in graduate IS programmes with the MSIS 2016
global competency model. To do so, we mapped the IS courses offered by the uni-
versities to the appropriate broad IS competency categories in MSIS 2016 (which are
discussed in Sect. 3). The results are summarised in Table 3. The results show that
courses providing competencies within the Data, Information and Content Manage-
ment (DICM) and Systems Development and Deployment (SDAD) categories have a
strong presence in graduate IS curricula in SSA. Fewer courses that cover competencies
within the Ethics, Impacts, and Sustainability (ETIS) and the Enterprise Architecture
(EARC) categories are provided. Moreover, little attention has been given to the
categories Innovation, Organisational Change and Entrepreneurship (IOCE), Business

Continuity and Information Assurance (BCIA) and IS Strategy and Governance
(ISSG).
None of the graduate IS curricula completely followed the MSIS 2016 model. The
most adherent curriculum differed by four broad competencies, and the least adherent
differed by six. Four of the universities offer courses providing graduate IS compe-
tencies in five broad categories, three offer courses that provide competencies in four
broad categories and the remaining two offer courses providing competencies in three
broad categories. These results are not much different from those of Yang (2012) and
Apigian and Gambill (2014) or from studies examining undergraduate programmes
(Bell et al. 2013; Clark et al. 2017; Mills et al. 2012). Apigian and Gambill (2014)
found that graduate IS programmes in US universities generally exhibited non-
adherence to the MSIS 2006, and Yang (2012) found that course offerings differed
from the MSIS 2006 in terms of one category. In a survey of undergraduate IS pro-
grammes in the US, Bell et al. (2013) found a wide range of non-adherence to the IS
2010 model. Moreover, a number of non-IS courses were required despite their absence
in the IS 2010. Similarly, Stefanidis et al. (2012) found generally low adherence to the
IS 2010 in a study of undergraduate IS programmes in the UK.
Table 3. Mapping of graduate IS curricula offered by universities in SSA to the broad IS

competency categories in MSIS 2016 (Source: Authors)
University Core IS competencies (MSIS 2016)
IOCE ETIS EARC BCIA DICM ISMO ISSG INFS SDAD Total
University of NO NO NO NO YES YES YES YES YES 5
Pretoria
University of NO NO NO NO YES YES NO YES YES 4
Kwazulu Natal
University of YES NO NO YES NO YES YES YES NO 5
Nairobi
Makerere NO NO NO YES YES NO YES YES YES 5
University
University of YES YES NO NO YES YES NO NO YES 5
Ghana
University of the NO NO NO NO YES NO NO YES YES 3
Free State
University of Dar YES NO NO NO YES NO NO YES YES 4
Es Salaam
Mbarara Univ. of NO NO NO YES YES NO NO NO YES 3
Sci. and Techn.
University of NO NO YES YES NO YES YES NO NO 4
Botswana
Total (YES) 3 1 1 4 7 5 4 6 7
The current study shows that IS graduates from SSA universities may not have the
global IS skills specified in the MSIS 2016 and may require interventions to fill the
gaps in their skills, which are associated with extra training costs and time to integrate
into organisations, making these graduates less likely to be hired. This continues to be a
subject of research, and relevant questions have been raised about the usefulness of the
IS curriculum model due to the general non-adherence of universities and whether non-
adherence can be further explored.
The results shown in Table 4 also reveal that IS curricula are beginning to move
beyond the business and organisational domains, although these domains remain
dominant. Previous studies on graduate IS curricula did not analyse domain compe-
tencies separately, but this study identified course offerings in non-business domains,
such as health, GIS and education. No courses offered competencies in the law or
government domains, as suggested by the MSIS 2016. One programme focused only
on the core IS competencies, which we refer to as the general (GEN) domain.
No modules or courses provided individual foundational competencies, and it was
not clear whether these competencies were embedded in other courses based on the
course catalogues. Individual foundational competency modules were identified in a
survey of undergraduate IS programmes in the UK (Stefanidis et al. 2012), but not they
have not received much attention at the graduate level. A number of studies have
advocated for the inclusion of courses in IS curricula that provide individual founda-
tional competencies, including creativity and problem-solving (Martz et al. 2017),
service learning (Jones and Ceccucci 2018), virtual teamwork (Chen et al. 2008), inter-
cultural communication (Mitchell and Benyon 2018) and ethics and social responsi-
bility (Harris and Lang 2011).
Table 4. Summary of domain competencies offered by IS graduate programmes in SSA

(Source: Authors)
University BUS HEALTH LAW GOVT GIS EDU GEN
University of Pretoria YES NO NO NO NO NO NO
University of Kwazulu Natal NO NO NO NO NO NO YES
University of Nairobi YES NO NO NO NO NO NO
Makerere University YES NO NO NO YES NO NO
University of Ghana YES NO NO NO NO NO NO
University of the Free State NO NO NO NO NO YES NO
University of Dar Es Salaam NO YES NO NO NO NO NO
Mbarara Univ. of Science and Techn. NO YES NO NO YES NO NO
University of Botswana YES NO NO NO NO NO NO
Total (YES) 5 2 0 0 2 1 1
5 Conclusion and Future Studies
This research sought to identify the nature of graduate IS programmes in SSA and their
adherence to the MSIS 2016. Notwithstanding a number of limitations of the study, the
findings indicate that traditional business and computer science programmes dominate,
although a few universities offer a two-year graduate IS programmes in SSA. The
graduate IS programmes generally offer courses providing competencies in SDAD as
well as DICM. Courses providing competencies in ETIS and EARC are rare in
graduate IS curricula in SSA. Popular core IS courses include ISD, IS Research,
Strategic IS Management, IS Project Management and IS Security and Auditing.
Whilst this study did not consider specialised courses that provide competencies
specific to certain career tracks, we found that the programmes included new domains
beyond business. However, there were no specific courses providing individual
foundation competencies. We observed different levels of adherence of graduate IS
programmes to MSIS 2016. Due to the general non-adherence, many graduates of IS
programmes in SSA may not have sufficient skills for the workplace. The reasons for
non-adherence were not studied in this research and may be explored in future studies.
A descriptive survey like this, though valuable, does not provide rich insights into
how faculties develop or revise graduate IS curricula. Future research could look at
specific case studies of graduate IS curricula similar to those of Gupta et al. (2015), and
Ramesh and Gerth (2015). Such a study would provide richer insight into the factors
that enable or inhibit IS curriculum model adherence than provided by extant literature.
These insights could help guide universities in planning graduate IS programmes in
SSA. In addition, future research should use all specified competencies during mapping
to provide a detailed view of which competencies are provided by courses in graduate
IS programmes, moving beyond the broad competencies. Finally, although we com-
pared graduate IS curricula to the competencies specified in MSIS 2016, it is important
to understand whether those competencies are exhaustive and relevant to organisations
in Africa, as this would guide its adoption or adaptation by universities (Larsson and
Boateng 2010). A future study could consider the views of employers, employees and
other stakeholders regarding the value of the competencies specified in MSIS 2016 in
SSA.
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Requirements for an eModeration System
in Private Schools in South Africa
Vanitha Rajamany(&) , Corne J. Van Staden ,

and Judy van Biljon
School of Computing, UNISA, Pretoria, South Africa

7232969@mylife.unisa.ac.za,
{vstadcj1,vbiljja}@unisa.ac.za
Abstract. Despite the growing importance of digitization in all aspects of

teaching and learning, digital moderation (eModeration) has received little
attention in research or practice. Considering the secondary school environment,
no evidence-based requirements could be found for the development of a digital
moderation system. This finding provides the rationale for this investigation into
the requirements for an efficient eModeration system for IT and CAT assess-
ments at grade 12 level in South Africa (SA). This study draws on eModeration
literature as well as technology adoption literature to identify a set of pre-
adoption eModeration requirements against the background of the challenges
and benefits of eModeration. The research design involved a single exploratory
case study with IT and CAT moderators as units of analysis. Qualitative data
analysis using Atlas.ti V8 was conducted on the 61 responses received from an
online survey and 4 responses received from a focus group interview. The
findings confirmed the absence of customized eModeration systems. The main
contribution is the eModeration requirements identified from literature and then
refined by triangulation with the empirical findings of the survey. The research
has practical value in guiding the design of eModeration systems for the school
environment.
Keywords: eModeration Quality assurance Paper-based moderation

Technology acceptance Annotation tools Security
1 Introduction
eModeration can be explained as the use of electronic media to support moderation and
the secure storage of student evidence; quality assure evidence of assessment; record
results electronically and upload students’ work to a secure site for moderation [1]. Van
Staden [2] describes eModeration as an electronic quality assurance process using an
online tool. The New Zealand Qualifications’ Authority established the Digital
Moderation Project for completing all external moderation online [3]. The objective
was to submit assessments via an online digital platform by providing an application to
support moderation practices [4]. However, there is no evidence of the successful
implementation nor the efficacy of such a system within the New Zealand educational
system.

https://doi.org/10.1007/978-3-030-44999-5_46
558 V. Rajamany et al.
In the SA context, Van Staden et al. [5] demonstrated the efficacy of an eModer-
ation system which was successfully implemented at a higher education institution.
However, despite the identified benefits of optimizing moderation procedures, reducing
the time taken for moderation processes and decreased costs, the application of online
moderation in the secondary school environment is limited. Paper-based moderation is
still extensively used at academic institutions in SA [6].
Drawing on the existing work of Van Staden [6] and reports commissioned by the
New Zealand Qualifications Authority [7], eModeration is defined as the electronic
quality assurance of portfolio tasks by external moderators within a digital environ-
ment. This study draws on prevailing eModeration and technology adoption literature
and empirical research in the private secondary school environment in SA to provide an
evidence-based contribution to the requirements for an efficient eModeration system.
This study is structured as follows: an introduction to the study, a preliminary
literature review of the requirements for an eModeration system and introduction to
four existing technology acceptance models whose constructs formed the basis for this
study, an overview of the data collection methods and the findings, an analysis of the
qualitative data and the final section concludes this paper.
2 Preliminary Literature Review
A preliminary literature review of the benefits, challenges and requirements from the
literature are now presented.
2.1 Benefits and Challenges of eModeration

The benefits of eModeration are directly related to the disadvantages of paper-based
moderation. The latter is less efficient, both in terms of time and resources. For
example, the resources required for transporting assessments to moderators and the
space for archiving the scripts. Additionally, online moderation limits the loss of
moderation reports and assessments (which are conventionally couriered [2, 9]), in
transit.
Challenges and benefits identified from the literature are discussed in the context of
participant responses in Sect. 3.3. The challenges relate mostly to the usability of the
systems, e.g. judgements are impaired when moderators must manage different pages in
documents [10]. Searching through different portfolios presents difficulties when
viewing and comparing different candidates’ work. Studies indicate that an annotation
tool is invaluable in developing shared perspectives of standards in digital moderation
[11, 12]. The limited accessibility of such tools increases cognitive demands on the
educator and the process can become less reliable [11]. Additionally, teachers involved
in eModeration must be confident in the use of the technology [1].
Requirements for an eModeration System in Private Schools in South Africa 559
2.2 Requirements for an EModeration System

Technological developments offer the possibility of developing online tools for remote
standardization of marking [13]. The following requirements for an eModeration
system have been identified from literature [6, 14]:
• Reusability: existing content can be reused on different platforms.
• Manageability: refers to the ability of a system to track moderation procedures.
• Accessibility: stakeholders can access content without time or place constraints.
• Durability: unnecessary to redevelop content when new versions are installed.
• Scalability: minimal effort is expended to extend the system.
• Affordability: the system must be cost effective for the primary users of the system
or based on free technologies so that the institution has no licensing issues.
• Security and reliability: each user should have her own space with email and
discussion facilities. The privacy and confidentiality of each school’s work must be
guaranteed while all access to a student’s private space should be denied.
• Usability: the tool should be user friendly and self-explanatory.
• Portability: possible to set up the system on another server without difficulty.
• Infrastructure: hosting institutions should have adequate infrastructure.
• Bandwidth: increased bandwidth will increase the efficiency of the system.
An important consideration is if the technology enhances task performance and if it
will provide an e-Service to potential users. If there is a good fit between the task and
the technology being used to complete the task, then there is increased probability of
greater utilization which is important for online standardization. Online standardization
has distinct characteristics and best results can only be obtained if the requisite pro-
cesses are supported by the technology [15].
2.3 Technology Acceptance Models

Studies into the acceptance of technology stem from the sphere of information systems
(IS). Various technology acceptance models for instance, Technology Acceptance
Model (TAM) [16–18], Task-Technology-Fit (TTF) [17], Technological-
Organizational-Environmental (TOE) [19] and the Human, Organization and Tech-
nology (HOT-Fit) model [20] exist in IS literature. A challenge is that technology
acceptance models relate to existing system use while the context for this study is the
pre-adoption of an eModeration system. The basic premise of these models is sum-
marized in Table 1.
See Rajamany, Van Staden and Van Biljon [26] for a detailed comparison of the
pre-adoption constructs of these models, namely TAM, TTF, TOE and HOTFIT.
A table (cf. https://cutt.ly/NetW0jq) was created to determine the commonality of the
constructs amongst the models as well as commonality with constructs mentioned by
respondents to the survey and comments made by focus group participants. The con-
structs were prioritized by centrality, i.e. those occurring across all three data streams
formed the basis for the extraction of final requirements for an eModeration system.
Table 1. Summarized Theoretical models

Model Fit between human and technology
TAM Users will not readily accept a system, irrespective of how efficient the system is, if
they cannot immediately identify tangible benefits in their job performance as a
direct result of utilizing the system [23]
TTF An IT system will be used only if the functionality supports the user’s activities.
Any system not offering sufficient support will therefore, by extension, not be
utilized [24]
TOE Technological, environmental and organizational factors influence ICT adoption [19]
HOT-Fit The user, technologies and organizational contexts cumulatively affect the net
benefits of using an IS. Human, organizational and technical elements should have a
mutual alignment to ensure successful implementation [25]
3 Data Collection and Findings
The pragmatist philosophy views research as a human experience based on the beliefs
of individual researchers [27]. Pragmatism proposes a philosophy extending beyond
“what works” [28] and encourages an inquiry based process of searching for knowl-
edge with the aim of solving societal problems. Pragmatism is particularly suitable for
the current study as it is envisaged that the resulting body of knowledge will inform
future practices and policies within schools and assessment bodies.
The literature review informed the design of a customized questionnaire developed
using Google forms and distributed via email to teachers at private schools in SA. The
online survey captured qualitative and quantitative data. The responses to the open-
ended questions (qualitative) provided a basis for the structuring of the questions for a
focus group interview conducted with 4 moderators.
Focus group interviews explore the attitudes and perceptions of a homogeneous
group of people focused on a given issue [29] and use a purposeful sample composed
of information-rich participants resulting in a greater sharing of insights [27, 28]. The
demographics of the survey population is depicted in Table 2. The survey was
Table 2. Participant Demographics
Role (N= 61) %

Technology Experience (N = 61) %
IT Educator 53,20% < 1 year 3,30%
CAT educator 24,20% 1 - 5 years 8,30%
CAT and IT educator 6.4% 6 - 10 years 8,30%
Cluster moderator 3,30% > 10 years 80%
Regional moderator 4,90%
National moderator 6,60%
Other 1,40%
distributed to 122 IT and 145 CAT teachers in private schools via email; 61 of whom
responded. Focus group participants (N = 4) were moderators who volunteered to
participate after being contacted via email.
Both qualitative and quantitative data was collected, but due to space constraints
only the qualitative data is reported on. The survey contained open-ended questions
requiring participants to express their opinions on the challenges and benefits of current
moderation practices and the perceived challenges, benefits and requirements of an
eModeration system. The data from the survey and the focus group was analyzed
thematically where a theme is considered to be a coherent and meaningful pattern in the
data which captures an important aspect about the data in relation to the research
question [31].
Section 3.1 presents the findings from the survey, Sect. 3.2 presents the findings
from the focus group and Sect. 3.3 presents an integrated analysis of the findings.
3.1 Qualitative Findings from Survey

Participants’ comments around the challenges and benefits of current moderation
practices and the perceived challenges, benefits and requirements for an eModeration
system were imported into Atlas.ti V8. Words which appeared most frequently were
used to identify themes around which the discussion of the findings is structured.
– Challenges of current moderation practices: The greatest challenge is that it is
time consuming to scan portfolios before uploading these documents digitally.
Huge amounts of paper is wasted when moderating manually. A related challenge
of paper-based moderation is that of “inconsistent record-keeping” and the fear of
losing evidence of moderation. Together with the costs of paper, printing and other
consumables, costs are incurred when portfolios are couriered to “out of town”
schools.
– Benefits of current moderation practices: Participants’ responses were mostly
positive for those who use some form of digital moderation. The most frequent
response was that Google Drive or Google docs are used for moderation processes.
Respondents agreed that it is easy and effortless to use Google Drive. Feedback is
timely and eModeration is especially convenient when the school is in a rural area.
A related benefit is that eModeration reduces the costs of transporting or posting
portfolios.
– Challenges of eModeration: The most common challenge was Internet connec-
tivity. Additional challenges: differing file formats, access to necessary resources
like scanners, a knowledge of the system, versioning problems, the time required to
learn to use the system and the time consumed in scanning the necessary docu-
ments. A respondent mentioned “Annotation of content.” However, it is not evident
if the reference was to the availability of the tools or the knowledge required to use
these tools. A significant finding is that although some respondents indicated using
a digital moderation process as evidenced by the following: “I have been using an
eModeration system for the past 3 years and will never go back to a paper-based
system again”, other respondents responded as: “I have only used Google Docs and
am Will (sic) be honest to say I do not know what an eModeration system is.”
– Perceived benefits of an eModeration system: ease of use, faster feedback,

cheaper than couriering portfolios, faster to find digital files, easy to upload files.
– Requirements for an eModeration system: Respondents mentioned Internet
bandwidth, multiple access and reliability but did not expand on these aspects. The
requirements for an eModeration system are summarized using the specific quo-
tations of respondents:
• Connection availability: “A good internet connection and a secure drop site.”

• Connection speed: “Fast connection speed.”
• Additional resources: “Equipment. Good quality scanner which can handle bulk
scanning.”
• Attitude: “A positive attitude towards the use of this technology.”
• Availability of system: “Being always available.”
• Annotation: “Annotation that will allow for different moderation styles.”
• Communication: “It should make communication easier.”
• Ease of use: “An easy to use interface with standardized organization for files and
folders.”
• Flexibility: “Flexibility so one can moderate one section only or start at the back.”
• Responsiveness: “The system needs to be responsive and not have huge amounts of
latency.”
• Security: “There should be sufficient security to ensure that the portfolios can only
be seen by the school and relevant moderator.”
• Timely feedback: “It should save me time. It should also give you feedback as to
whether the other person is actively involved in the moderation process.”
3.2 Focus Group Findings

The focus group interview was structured around themes that emerged from the
responses to the open-ended questions in the questionnaire. Participants’ responses
were loaded into QDA Miner Lite and the various subthemes were analyzed. The
significant findings for each theme are summarized as:
– Challenges of current moderation practices: turn-around time; more difficult to
keep track of hard copies; physical waste of resources; security; slow and inflexible.
– Challenges of manual moderation: easier to lose hard copies; physical waste of
resources; many drafts must be done on paper.
– Challenges of eModeration: resistance to change; competence; file formats; doc-
ument formatting; time taken for feedback; slow to download files; need for many
screens.
– eModeration vs Manual Moderation: easier to track, view and review changes on
a digital version; eModeration takes longer than manual moderation.
– Benefits of eModeration: easier to contact the moderator.
– Requirements for an efficient eModeration system: more than one screen; mul-
tiple views; revision histories; easy to use and advanced annotation software; voice
over to leave a comment; a call button for communication.
While the consensus was that scanning of documents is time consuming, participants
acknowledged that “the pen and paper connection” is important. However, the issue of
security pertaining to written assessments cannot be trivialized. Focus group partici-
pants agreed that security is the largest challenge posed by paper-based moderation.
A qualitative analysis of the data indicates that the frequency at which security was
mentioned in the context of paper-based moderation is 30%.
3.3 Integrated Data Analysis

In this section, the challenges, benefits and requirements are synthesized from the
literature and data obtained from the survey and focus group interview.
– Challenges.
Cost: An electronic moderation system requires additional technology like scanners
thus increasing the initial costs [6].
Infrastructure: The ICT infrastructure necessary to develop digital portfolios is a
particular challenge [12, 32]. A good computer network capable of high-speed
uploading and downloading of projects is essential. Instability in the network can create
challenges for uploading projects. Having appropriate access to the schools’ network
systems is also important [1]. Focus group interviewees agree that the Internet con-
nection hampers the process by slowing down the downloading of files as evidenced by
participant B’s response: “the frustration is waiting for the assessment to load which
slows down the process.”
Technology and Availability of Resources: Technological limitations can hamper the
implementation of eModeration systems [33]. Focus group participants concur, indi-
cating: “At this stage technology is failing the process.” Although all participants are
from private schools, the assumption that all schools are equally resourced cannot be
made. Hence available resources at individual schools play a significant role in the
efficacy of eModeration. It is therefore reasonable to assume that the lack of adequate
resources could be a limiting factor in digital moderation.
Training: Making comparative and holistic judgements of students’ work is a critical
aspect of moderation [33]. Participants A and B stated that “Having to highlight on a
pdf or add a comment box to annotate a pdf requires the person moderating to be
trained on the technology.” Additionally, participant C indicated that “A challenge is
that people are resistant to being trained on a new technology.” These statements
confirm literature findings that assessors’ approach to online standardization may be
hampered by discomfort in using technology and the skills required to interact with an
eModeration system [8, 34]. Contrary to literature findings, none of the survey
respondents indicated discomfort in using technology. A factor in the contradiction
between the findings of this study and the literature reviewed is that respondents were
teachers whose professions require prowess in using digital resources. Whereas the
literature generalized the challenges to all educators, the survey and focus group in this
study isolated IT and CAT educators. It is thus not surprising that these teachers would
either be proficient or possess the motivation to learn how to use unfamiliar technology.
Confidentiality and Reliability: Participants concurred with Van Staden [9] that
physical copies can easily be misplaced leading to issues around confidentiality. If one
misplaces a learner’s work, then there is no evidence of submission which creates the
added problem of reliability. With eModeration, proof of moderation is easily available
with tracked changes.
Time: Turnaround time is a challenge of paper-based moderation. Many drafts must be
done; involving rewriting information. Data from the focus group and the survey
confirms Van Staden’s [9] findings that moderators prefer to use an eModeration
system. For instance, participant A indicated: “tending towards digital because of poor
security with paper” while participant B indicated that “digital moderation is prefer-
able because there is an audit trail” and a survey respondent stated, “I prefer sending a
digital portfolio for moderation that (sic) making endless copies for each student file.”
Contrary to the assertion that electronic development and storage of evidence results
in greater flexibility, convenience and accessibility [34], participant A indicated that the
“loss of flexibility is huge with digital moderation.” However, upon further interroga-
tion it was determined that this view was being expressed on current moderation
practices as evidenced by: “the way in which it is currently being done is slow and
inflexible.” This result is not surprising given that there is no standard, usable dedicated
eModeration system in place.
– Benefits of eModeration
Summarized benefits are: typing comments is faster; easy to create a reusable bank of
comments reducing the amount of work and time taken; better quality; eliminates the
possibility of mistakes; easy to determine if changes have been made. Feedback is
faster as evident by the comment “reduces the time of couriering moderation docu-
ments and having to wait for the results to be delivered. With digital moderation, as
soon as the submit button is clicked, all parties concerned receive notification.”
– Requirements of an eModeration System
Based on the results from the survey and focus group interview, the perceived
requirements for an eModeration system can be summarized as: need for multiple
views, easy to use annotation tools, effective communication, security, availability and
flexibility.
Responses from the focus group strongly confirm the literature findings; with
participants mentioning multiple views and having “more than one screen” so that “all
relevant documents can be viewed side by side” with great frequency. Additionally,
participants indicated that “these views should also show revision histories” and that it
would be useful to have “one document with all changes made right from the first
version.”
Consistent with the findings discussed in Sect. 2.1, focus group participants indi-
cated that an eModeration system should include easy to use “top tier” annotation
software; a sentiment echoed by respondents of the survey. For instance: “Annotation
has to be quick and simple to use.”
The privacy and confidentiality of each school’s work must be guaranteed while all
access to a student’s private space should be denied [6]. This important theme of
security recurs in the data extracted from additional comments provided by respondents
to the survey. The statements “Security - papers may not leak.” and “Security for the
documents using a per session key of suitable length that changes for each session” are
representative of statements made by these respondents.
Contrary to the results from the literature reviewed and the survey responses, and
despite security being a recurrent theme during the discussion on manual moderation, it
was surprising that security was not overtly mentioned when participants were asked to
elaborate on the requirements for an eModeration system. A possible explanation for
this contradiction is that while security is a huge issue from the organization’s per-
spective; it is not necessarily an issue that directly impacts users of the system. The
focus seems to be on convenience and flexibility of use rather than on essential aspects.
It seems reasonable therefore to conclude that users focus on aspects that affect them
directly as evidenced by the frequency of hardware requirements being mentioned. This
evidence supports the technology adoption theories which form the theoretical basis for
this study as summarized in Table 1.
Participants not overtly mentioning security as a requirement does not in any way
detract from security being a critical requirement in eModeration. During the initial
selection of constructs, security was recognized as a critical component. Despite no
questions being structured around security, the lack of security in paper-based mod-
eration was repeatedly discussed. Therefore, security is an essential requirement for an
eModeration system.
Additional requirements which were not evident in the literature reviewed were
phrased as follows by focus group participants:
• “Should allow for a voice over so that it is easy for the moderator to leave a
comment.”
• “Have a call button for both the assessor and the moderator to “meet” instead of
back and forth communication i.e. multi-user communication technology.”
4 Structured Requirements for an eModeration System
In determining the requirements for an efficient eModeration system, the broad cate-
gories of User Requirements (UR); Task Requirements (TR) and System Requirements
(SR) were identified as depicted in Fig. 1 (see Rajamany, Van Staden and Van Biljon
[26] for a full-sized diagram).
Based on the findings, it was deemed useful to replace attitude by self-efficacy.
Accuracy was replaced by audit trail as this was the context in which participants
viewed the accurate keeping of records. Ease of learning was removed as it was specific
to literature. The assumption is that participants are skilled as well as experienced (cf.
Table 2) in the use of technological resources. The survey results indicate that 70% of
the participants believe that they have the capacity to learn to use a new system. The
categorization of flexibility was based on the system supporting different file formats. It
is thus necessary to support paperless work and other formats like videos [14].
Based on the context in which participants described constructs, Productivity and
Work volume were merged into Productivity. Job effects and Time consumed were
Fig. 1. Diagram depicting structured requirements
merged into Time. Confidence was removed and Self-Efficacy was retained and
assumed to encompass confidence. After the analysis, core technological characteristics
that were initially left out of the survey were added to the requirements. Context
specific items, for instance a voice over button arising from the focus group interview,
were added. The identified dimensions were then analyzed further. Dimensions present
in 2 or more streams of evidence (literature review, survey and focus group) were
included. These values were categorized under UR, SR or TR; with some overlap. For
instance, file formats was categorized as both SR and TR. User characteristics inform
UR. It was thus deemed necessary to include a separate dimension for user
characteristics.
5 Conclusion
This paper addresses the lack of eModeration requirements for secondary schools.
A single exploratory case study strategy was employed to determine the challenges,
benefits and requirements of an eModeration system with the purpose of identifying
requirements for an eModeration system. Empirical data was collected from a focus
group interview and an online survey to investigate the current moderation practices of
IT and CAT teachers at private secondary schools in SA and triangulate the findings
with the challenges, benefits and requirements abstracted from literature. The
requirements for an eModeration system (presented under the categories of UR, TR and
SR) constitute the theoretical contribution of the study. The pre-adoption attributes
could be useful to designers and developers of eModeration systems and hence con-
stitute a practical contribution.
Acknowledgement. This paper is based on the research supported by the South African
Research Chairs Initiative of the Department of Science and Technology and National Research
Foundation of South Africa (Grant No. 98564).
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Ready to Go? Schools’ Preparedness
for Teaching and Learning Within
a One-to-One Program
Cathrine E. Tømte1(&), Markus M. Bugge2, Sabine Wollscheid3,

and Frida F. Vennerød-Diesen2
1
University of Agder, 4630 Kristiansand, Norway
Cathrine.tomte@uia.no
2
University of Oslo, 0316 Oslo, Norway
markus.bugge@tik.uio.no, frida.vennerod@nifu.no
3
NIFU, 0608 Oslo, Norway
sabine.wollscheid@nifu.no
Abstract. During the years there has been an increasing number of one-to-one
programs around the world. In such programs all students are equipped with
portable devices, such as laptops, tablets, smartphones for learning purposes.
Even if these initiatives are increasing, our knowledge of the impact of such
digital transformation of education is still little studied. Based on data from a
three years longitudinal study on a large-scale implementation of Chromebooks
in a municipality, this paper highlights teachers’ experiences. Key findings
suggest that this initiative has been successful when it comes to the adminis-
trative and technical implementation of the Chromebooks, but there is still a way
to go to transform pedagogical practices to enhance student-active learning
supported by the Chromebooks.
Keywords: One-to-One program Implementation Innovation School

Teachers
1 Introduction: Implementation of One-to-One Programs
Since the ‘one laptop per child-initiative’, which originated from the U.S more than 10
years ago, there have been an increasing number of one-to-one programs around the
world. Some have been quite successful, while others have failed, and there have been
various reasons for the success and the opposite (Islam and Grönlund 2016; Zheng
et al. 2016). In one-to-one (1:1) programs, all students are equipped with portable
devices, such as laptops, tablets, smartphones and the like for learning purposes
(Balankasat et al. 2013). Previous studies on 1:1 implementation suggests various
efforts in order to succeed. For example, to ensure that changes are ‘systemic and
underpinned by pedagogical values’ (ibid, pp. 7). Moreover, over the years, teachers’
beliefs and views regarding the use of technology in classrooms have been studied by
quantitative approaches (Scherer et al. 2019; Tondeur et al. 2012; Tondeur et al. 2016)
and by qualitative approaches (Prestidge 2012; Tondeur et al. 2012; Genlott et al.
2019). Moreover, studies on such initiatives have looked at learning outcomes, and
https://doi.org/10.1007/978-3-030-44999-5_47
570 C. E. Tømte et al.
changes in workstyles for students and teachers. Findings suggest that one-to-one
initiatives enhance student-centered teaching and learning (Hershkovitz and Karni
2018; Lindqvist 2015).
Even if 1:1 initiative in schools are increasing, we still have limited knowledge of
the impact of such a digital transformation of education. Research has been directed
towards the infrastructure, such as types of hardware and software use, Wifi-coverage
and the like, and the prevalence of the number of pupils who have received their own
digital devices, in English has often been referred to as 1:1 computing. or 1:1 coverage.
Research has also looked at what is called 1:1 learning, that is teachers’ pedagogical
approaches and students learning in contexts where each student has their own digital
device (Bocconi et al. 2013). In 2013, Bocconi and colleagues examined 29 1:1 pro-
grams in 19 countries in Europe to elucidate how such initiatives contribute to different
types of innovation in education. One finding was that most of these efforts were
primarily aimed at infrastructure, that is to equip schools with 1:1 coverage and to some
extent also to contribute with competence development for the school’s teachers. In
such studies, much of the attention was focused on getting students more motivated for
learning and technically competent. We also find such studies in the Nordic countries
(Gilje et al. 2016). Later studies have confirmed that 1:1 coverage enables adapted
training (Chauhan 2017). At the same time, some student groups may be more easily
distracted from doing other things than learning (Zheng et al. 2016). Furthermore, 1:1
coverage will enable what is often called student-active teaching and learning (Genlott
and Grönlund 2016). This means that the student is placed at the center of his/ her own
learning and traditional instructor-driven teaching is given less space. Here, researchers
disagree about what student-active teaching and learning in practice entails and what
role a teacher should have. Such discussions are often colored by researchers’ different
pedagogical positions. For example, researchers who are concerned with socio-cultural
approaches to learning work are more likely concerned with how technology can
contribute as an artefact in such interactions, while researchers with a behavioral
approach will increasingly use technology as a resource for repetitions. (Zheng et al.
2016; Tømte et al. 2018). Moreover, class leadership in technology-intensive class-
rooms requires different types of competence and skills than in classrooms where
technology has less space (Genlott and Grönlund 2016). Researchers suggest that a
holistic approach to change common to all schools in a municipality is important; it
enables a larger network, and a shared understanding of the objectives of the change. In
addition, it is easier to follow up for school owners, operating costs are kept under
control by connecting user support to only one operating system and type of device. At
the same time, the schools are different in technology maturity and professional digital
competence and the initiatives can thus be experienced as demanding for some, but
feasible for others (ibid). Several studies reveal an increased need for knowledge about
governance, leadership and educational development work in schools with 1:1 cov-
erage (Islam and Grönlund 2016; Genlott et al. 2019).
Based on how these previous studies have addressed what it takes to succeed with
the implementation of digital technology for teaching and learning in schools and
studies on one-to-one initiatives, the present paper will look at the role of school
Ready to Go? Schools’ Preparedness for Teaching and Learning 571
leaders and teachers within the implementation of one-to-one Chromebooks in a

municipality in Norway. The research questions addressed are:
• How were schools prepared towards the one-to-one Chromebook initiative?
• How did teachers’ digital competence influence this process?
As technology changes in a fast pace, our study might serve as an updated con-
tribution to the growing body of studies on one-to-one initiatives in schools. With few
exceptions, most studies that address one-to-one initiatives do not include longitudinal
data, as we do here. Hence, we will present and discuss the results of various stages the
one-to-one implementation, including the attitudes, readiness and perspectives of
school principals and teachers.
Our study might bring new insights into how one-to-one implementation as ped-
agogical development/ change are understood and interpreted in schools and in the
municipality. For example, knowledge about teachers’ perceptions on how to lead
classes in technology rich environments, how the digital devices may enhance learning
within various subjects and the like can contribute to further understanding of such
implementations and be further used in similar initiatives. Moreover, the roles taken by,
and the communication with teachers, school leaders and stakeholders from the
municipality will be discussed from the perspective of innovations.
2 Theoretical Framework
Rogers’ Diffusion of innovation theory (2003) points to critical factors for success in
implementing innovations. Such factors include the characteristics of the innovation,
those who use the innovation, the communication channels the innovation is com-
municated through, the time perspective, and what Rogers calls the social system that
surrounds those who use the innovation, such as where they live and where they work.
The theory has also gained ground in educational research, and especially in studies
of the introduction of new technology. For example, Sahin (2012) studied teacher
students’ perspectives on the use of ICT in primary school, while Li and Huang (2012)
studied implementation of game-based learning in primary school in light of Rogers’
theory, and Akin (2016) reveals how school administration interpreted and used the
authorities’ ICT-based plans and strategies. Genlott, Grönlund and Viborg, explored
Rogers’ theory to shed light on how to introduce a new ICT-supported educational
model in primary school. Through a survey of teachers who have taken a one-year
course in the educational method WTL (Write to Learn), they highlighted three general
implications: First, the method worked best when teachers use it as a reference point
more than a set of standards. This way teachers would enable to use the method in the
light of tailored training and student creativity, and to safeguard and further develop
their own competence development. Second, Genlott and colleagues recommend
establishing an extended social system involving more than one school. Larger school
networks add more energy and allow for further dissemination and sharing of ideas and
practices. Third, it is important to keep in mind that not everyone can be an innovator
and therefore it is important to have a network large enough to handle discussions and
knowledge about the new method/ innovation. In order to ensure dissemination, it is
crucial to involve those with previous experience in using the innovation, and those
who are good communicators, that is, who are good at communicating the method and
the usefulness of the innovation to colleagues. It is also important to allow time for
change, while ensuring continuous growth in the network. Of course, the quality of the
innovation is decisive, and preliminary studies on the quality of the innovation are
often carried out before starting to spread/ roll out. This again means that the school
management also needs to be well updated on recent research in order to see the results
of the innovation.
3 Research Context
Our study, which was designed as a formative dialogue design study comprises a
municipality which initialized a large project on enrollment of one-to-one digital
devices for all students in the 24 schools (16 primary schools; 1–7 grade, and 8 lower
secondary schools; 8–10 grade). The students were provided with Chromebooks. The
study run for three years and covered several aspects of the implementation process,
such as teaching and learning with digital resources and devices, competence devel-
opment, institutional learning, development of digital competence and the like. The
present paper address’ some distinct topics within the overall study.
4 Research Design, Methods and Data
The research questions for the present paper are illuminated by a case study design (Yin
2009). By looking at two distinct schools (8th–10th grade) which were equally exposed
to the implementation from the school owner side, we are to identify local adjustments
and efforts made in order to meet this new situation. We selected schools with different
profiles in terms of socio-economic background of students, and with different geo-
graphical location in the municipality. Nonetheless, both schools are equal in size in
terms of number of students. We conducted classroom-observations in Mathematics
and Norwegian and interviews with teachers in these selected subjects and the school
leaders from both schools. Table 1 summarizes our data from the schools.
Table 1. Data collected from schools 8–10th grade.

8–10th grade 2017 2018 2019 Total
Norwegian Mathematics Norwegian Mathematics Norwegian Mathematics
Observation in 4 4 6 6 4 4 28
class
Interview 4 4 6 6 5 4 29
teachers
Interview 2 2 2 6
school leader
Total 10 8 14 12 11 8 63
In order to grasp how the actual school owner prepared schools, we attended joint
meetings organized for school leaders and teachers for 8th–10th grade. In addition to
observation, we conducted group interviews with participants from these meetings.
Moreover, we attended meetings with the coordinator of the one-to-one initiative in the
municipality. This gave us insights about the overall processes within the implemen-
tation process; such as mutual challenges across schools. From each meeting we
produced a short memo including observations notes addressing scope of the meeting,
our role as observants and key takeaways including how people were reacting and
acting throughout the meeting. Table 2 summarizes types of- and number of meetings
attended.
Table 2. Overview meetings attended

2017 2018 2019 Total
Meetings with resource- Meetings with resource- Meetings with resource- 4
teams with teachers across teams with teachers across teams with teachers across
schools (3) schools (1) schools (1)
Meeting with school leaders Meeting with school leaders 5
across schools (4) across schools (1)
Meeting with coordinator Meeting with coordinator Meeting with coordinator 30
from the municipality (10) from the municipality (10) from the municipality (10)
Annual gathering for Annual gathering for 2
teachers at all schools (1) teachers at all schools (1)
We analyzed the data by qualitative content analysis (Krippendorf 2004). Notes

from interviews, the observation notes from class and memos from meetings were read
with different reading techniques, such as wide and narrow reading. Based on this
reading we developed several categories and sub-categories emerging as relevant to this
study’s overall aims and scope. The first and second author of this paper organised
these categories, and these were later discussed with the research team and a shared
understanding and categories were developed.
5 Key Findings and Discussion
The following section presents findings that illuminate our two research questions. In
addition to presenting sole findings, we also discuss how these findings might be
interpreted within our theoretical scope.
5.1 How Were Schools Prepared Towards the One-to-One Initiative?

A key message from the research literature is that institutional factors matters to suc-
ceed with the introduction of new technology in educational institutions. These include
anchoring in management, adequate technological infrastructure and a holistic
approach to ‘get all teachers involved’ (Tondeur et al. 2012). These elements are in line
with Rogers framing of the users of the innovation, the communication channels, the
time perspective, and the social system. In addition, researchers recommend to give
individuals or smaller teams responsibility for implementation locally at schools
(Genlott et al. 2019). In the 1:1 program studied here, the implementation of
Chromebooks followed a step-by-step process. Students and teachers on 8–10 grade
received their devices early spring 2017, students and teachers on 4–7 grade early
autumn 2017, while students and teachers in 1–3 grade received Chromebooks fall
2018. Ahead of handing out the Chromebooks, the municipality had made preparatory
work on technical facilitation and started a process of competence development of all
teachers. The municipality had also allocated personnel resources and a binding col-
laboration with each school. The initiative was coordinated through regular meetings
with school leaders and resource teams of teachers from each school. Few schools
reported technical problems, such as the lack of broadband capacity or technical fail-
ures. Thus, much of what is referred to as “first order barriers” (Genlott et al. 2019) was
avoided. Most teachers demonstrated positive attitudes towards the initiative, and many
of them were well motivated when starting up with the program.
Lessons Learned from the First Years (2017–2018)
As referred to in the theoretical section, researchers recommend establish an extended
social system involving more than one school (Genlott et al. 2019). Larger school
networks allow for the spread and sharing of ideas and practices. It is also important to
allow time for change, while ensuring continuous growth in the network. In the
municipality, resource persons were appointed at each school in addition to a central
coordinator of the initiative centrally in the municipality. It was the school management
who designated who should be the resource persons at the school. These formed teams
of about two to four persons from each school. Initially, the resource persons/team often
constituted persons with technical competence more than educational/professional
didactic competence, but this changed during the years, so that awareness was raised to
include the latter type of competence.
Through interviews and school visits, we found that peer-to-peer learning among
teachers took place both unstructured (i.e. as chats in front of the coffee machine) and
structured (i.e. in dedicated meetings and seminars) at schools, and in various arenas,
such as at their own school and through gatherings organised by the municipality, and
to some extent over the web, via the municipality’s resource page.
In addition to organizing resource teams and project management for the initiative,
the municipality also involved a national agency as knowledge provider. Employees
from this agency were present in the initial joint gatherings for resource teams from the
schools. Even if teachers reported to appreciate the contributions from representatives
of this agency, the topics addressed were most likely to be generic (i.e. cyber ethics and
copyright issues), or more technical oriented (i.e. how to share documents in google or
shortcuts on the keyboard), and less linked to distinct subjects. This led to that some
teachers reported to learn little, since the contents were too basic, while others expe-
rienced that the technical focus became too advanced. Moreover, some teachers
expressed that due to the generic nature of these topics, they found it less relevant to
their actual subjects and/or grades that they taught.
During the first one and a half years of the implementation, an overall impression
was thus that despite the initial enthusiasm and positive attitude towards the initiative
among most teachers and school leaders, many felt somewhat overwhelmed by the
scope of the initiative, both technically and educationally. Several expressed that the
implementation went too fast and that they did not have enough time to become
acquainted with the potential of the Chromebook, whether technical or educational.
This was also confirmed in that the schedule of the joint competence development
program for all schools organized by the municipality became delayed. The munici-
pality’s aim was to implement two out of five modules during the first spring of
implementation (2017), but as the process was delayed, the second module was
launched half a year later. In the interviews, one of the resource teachers framed the
situation as follows: “I am the captain on a boat floating on a tidal wave, it goes very
fast!”. Apparently, many principals and teachers experienced that they were given too
little time to get used to the technical dimensions associated with the internal logic of
the CB itself before they felt comfortable applying it in educational contexts. Inter-
views with teachers revealed for example that some were uncertain about how the
Google versions of word processing tools and spreadsheets worked, and how other
cheating and plagiarism functions worked.
Lessons Learned from the Last Years (2018–2019)
During the last years of implementation, we observed that the organization of resource
teams and local experience-sharing along with peer-to-peer learning among teachers
had spread out and dominated the competence development practices at the schools.
Technical and administrative issues linked to the use of the Chromebooks were less
apparent, and a renewed attention towards the pedagogical integration of the
Chromebook into the subjects were observed in the classrooms. One principal explains
how competence development now had become systematically approached at her
school:
We have started with joint meetings with all teachers in where teachers who have done
something new in terms of technology, i.e. the software, or done something innovative peda-
gogically with the help of the Chromebook can present their efforts and experiences in a 5–
10 min time slot.
At several schools, we observed that teachers tested out various opportunities in the
Chromebook as part of getting to know it and considered what opportunities it provided
for student-active teaching and learning in the classroom. A teacher explains how she
worked with video recordings with colleagues before trying them out with students:
We teachers try out how to make video records linked to the topics and subjects we teach. It is
very nice that we have tried it out ourselves before we throw the students into it.
We also observed the efforts in pedagogical change from the external bodies, such
as the governmental agency mentioned above. Moreover, from the second year of
implementation, an external company was engaged by the municipality to speed up the
process of using the Chromebooks in for teaching purposes. The company run a fixed
program that focused on getting student-active teaching and classroom management
into technology-rich learning environments. The consulting company and the national
agency had different roles in the implementation process. Where the national agency
contributed with content and competence development, the consultancy had a more
hands-on approach by implementing a practical scheme of using Chromebooks at each
school. The municipality asked schools to provide feedback on the latter through a
questionnaire. Although many teachers reported to be satisfied with their intervention,
several were not, and the main reason they reported was that they felt they were
exposed to an intervention that were either too difficult or to easy, since the consultancy
adopted the same scheme to all schools without any adaption to the teachers’ actual
level of digital proficiency. Other teachers reported that they were given too little time
to prepare themselves ahead of participating to the intervention, others were able to
join, or they only got parts of it, while others did not think the arrangement was
relevant, regardless of whether it was easy or difficult.
During the last period of the implementation, we thus observed that the one-to-one
Chromebook-implementation had become integrated in teachers’ daily work. Most
teachers were using the Chromebook in their teaching, and competence development-
practices have been set on regular basis in schools and across schools in the joint
gatherings organized by the municipality. The technical and administrative efforts to
make the Chromebooks work were solved, and teachers were exploring how the
Chromebook might support their subject related didactics. However, these processes
were colored by their actual professional digital competence.
5.2 How Did Teachers’ Digital Competence Influence the Process?

At most schools, teachers’ professional digital competence varied; from non-users,
early adopters to teachers who liked to experiment with innovative teaching. These
various types of competence and experiences with teaching with technology influenced
the implementation at schools.
Lessons Learned from the First Years (2017–2018)
One year and a half after the implementation, we observed a technical-administrative
change in the schools where most teachers highlighted that the Chromebook had
contributed to better workflow and communication. In the interviews, teachers stressed
that their workflow had been improved, in that all notes, files and submissions were
stored within the Chromebooks, and not on diverse sheets of paper. However, as for
pedagogical change, we observed only a slight development from teacher-directed
teaching towards more student-active pedagogical approach, where Chromebook
served as an integral part of the learning design. At the same time, we also observed
that many teachers experienced challenges with class management in these new
technology rich learning environments. One explanation was that such classrooms
required a different pedagogical approach (Lindquist 2015). Teachers had to ensure that
students used the Chromebooks for learning and not for non-schooling activities
(Zheng et al. 2016). This required awareness of pedagogical use Chromebook, and a
balance between digital and analogue teaching. While some teachers seemed eager in
exploring new opportunities with the help of Chromebook, others were more hesitant
about how Chromebook and digital resources could contribute in their teaching and
learning. Some of these teachers called for more time to familiarize themselves with
Chromebook and specific digital resources, others were less enthusiastic towards the
change of their own teaching that came with the Chromebooks. One teacher put it this
way: “I would have started with Chromebooks and spreadsheets earlier, but I just
noticed that I have postponed and postponed, because I always have something else
that I can do.” Nonetheless, some of the tech-savvy teachers were more enthusiastic
towards the Chromebooks and stated that they often used their own free time, such as
evenings, weekends and holidays to find new opportunities for teaching with the
support of technology. One of them expressed his experience of the implementation as
follows: “I think I might be an enthusiast about technical stuff, so I just find it fun to try
new things.” Another observation was the differences in the scope and use of digital
resources between subjects; for example, in classes where the subject Norwegian were
taught, a multitude of digital resources were explored, whereas in Mathematics, we
observed a more traditional analogue teacher-led instruction.
Teachers professional digital competence thus varied a lot during the first years of
the implementation. The efforts made by the municipality, the external agencies and the
school leaders did not seem to work too efficiently in terms of raising the digital
competence among teacher staff. One explanation might have been the way the
implementation of the Chromebooks were communicated (Rogers 2003); as demon-
strated, most gatherings and joint arenas for competence development were dominated
by a ‘one size fits all’-approach, which did not meet the actual competence need for
teachers; not for the innovative digital competent ones, nor for those who were lagging
behind. Following this, another reason could be that the competence development
lacked a distinct connection with actual subjects and their distinct knowledge domains.
Lessons Learned from the Last Years (2018–2019)
In 2019 late fall, three years after the implementation started, we observed that schools
still needed more time allocated to ‘get all teachers involved’. This means structural
challenges along with challenges that comprise teachers’ ‘pedagogical beliefs’ (Genlott
et al. 2019), meaning that teachers must be convinced of the usefulness of conducting
educational development as such, and of the opportunities that comes with digital
resources in subjects, in order to change their teaching. The role of the school leader is
central to this work (Tondeur et al. 2012). During the three years we observed
increased involvement by the school leaders.
These processes mentioned here address what we have called ‘second order change’
(Genlott et al. 2019). During the last year of the implementation, we observed that
teachers increasingly reported new opportunities to facilitate student-active teaching
with the support of technology. At the same time, there was still a way to go to unleash
the potential that lies in overcoming to teach as usual but with the use of the
Chromebook, so called ‘first order change’ (ibid).
We observed the role of the professional, digitally competent teacher, and what it
implied in practice. A central dimension of such teachers was how they managed to
adopt varied and adapted teaching, and how they included various digital and analogue
resources in this work. The good balance between analogue and digital was emphasized
by many teachers, such as from this teacher:
I have become more aware of when it is beneficial to use digital resources and when it is most
beneficial to use handwriting on paper in teaching. Sometimes, when drawing graphs on the
Chromebook, you can see trends and explore changes. This is nice when doing geometry.
Because then you can perform some changes and observe that the rule remains. It would have
taken too much time to do the same tasks by hand. (teacher, 10 grade)
However, some teachers let students choose themselves whether they wanted to
work digitally or by analogy. This indicates that there is not yet enough awareness in
the schools when it comes to awareness of a balance between analogue and digital
learning. This could have unfortunate consequences in the form of being overweight by
either analogue or digital teaching forms depending on the school and teacher and the
preferences of the students. Several dilemmas thus emerge when teachers aim to reach
out to all students. While some students quickly understand the technology, others may
strive to make it work. This applies especially to software that is typical of school work,
such as Excel and Geogebra in mathematics and word processing programs in other
subjects. This way, teachers will have different starting points for taking the leap into
new forms of teaching.
Moreover, some teachers referred to the new technical-administrative equipment as
demanding, and that limited resources have been devoted to this development work
beyond normal working hours. Given that there are considerable differences between
teachers in terms of how tech savvy they are, one should not underestimate the chal-
lenge it will be to implement of new teaching methods based on the opportunities
offered by 1:1 coverage of Chromebooks.
Furthermore, we also observed different practices in the competence development
work regarding teaching and learning with the support of Chromebooks - both among
teachers and across schools within the municipality. These differences reflect the
organization and anchoring of the development work as well as the teachers’ emphasis
on digital versus analogue learning forms respectively.
6 Conclusion
The overall implementation process initiated and conducted by the municipality

included a comprehensive approach for all schools in the district. This way all schools
were offered joint competence development courses, and the teachers could benefit
from networking across schools, in professional groups.
If we look to the concepts of ‘first order’ and ‘second order barriers’ (Genlott et al.
2019), where so-called first order barriers refer to putting the technical solution in
place, while ‘second order barriers’ are about cultural change and teaching practice, it
can be said that the comprehensive and coordinated commitment to the municipality
has accomplished the first order barriers successfully. The introduction of the technical-
administrative part that works on the Chromebooks went smoothly, and there were few
technical issues related to infrastructure. We demonstrated how the research literature
points out that understandings of change can also be seen as two-step processes, in
which so-called ‘first order change’ is often about doing the same, but with new
technology, while ‘second order change’, on the other hand, means that the activities
themselves are redefined. In our study, we have shown that the work of addressing
what we have called ‘second order change’ is in the form of an emerging maturation
process in which teachers see new opportunities after they have begun to explore and
understand the educational possibilities. by digital learning resources. At the same time,
there is still a way to go to unleash the potential that lies in overcoming the ‘power of
analogue practice’, i.e. ‘first order change’. In the further development and imple-
mentation work in the schools in the municipality, this disparity between the teachers,
the need for coordination and coordination across schools, as well as the extra work
required to radically change teaching forms, should be considered. The work of
addressing ‘second order change’ and new teaching methods will be even more
demanding as ‘first order change’. In sum, this is likely to represent a need for higher
priority and increased resources for the further educational development work in the
municipality.
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Agile Development of a Flipped Classroom
Course
Linda Blömer(&), Christin Voigt(&), Alena Droit(&),

and Uwe Hoppe(&)
Osnabrueck University, Katharinenstr. 3, 49074 Osnabrueck, Germany

{linda.bloemer,christin.voigt,alena.droit,
uwe.hoppe}@uni-osnabrueck.de
Abstract. Digital course designs such as the Flipped Classroom (FC) are
increasingly enriching university education. However, before implementing
such an FC, teachers face the challenge of creating content in the form of
materials and activities and finding a suitable development method. This is very
time-consuming, which is why circumstances such as lack of time and personnel
can make implementation difficult. In other areas, agile approaches have already
proven to be effective in enabling flexible and efficient development. We use this
opportunity to overcome different barriers in the context of FC development by
creating an agile model for FC development. To achieve this, we first examined
the previous research on agile development approaches concerning the imple-
mentation of an FC by a systematic literature review, concluding that no
appropriate model exists yet. Building upon this, we designed an AgileFC
Development Model, which can be used by teachers to create their FC. This
model is very generally designed so that it can be easily adopted. On the other
hand, it can be adjusted to a particular situation without effort. We also illustrate
the application of the model using a small case study.
Keywords: Agile development Case study Flipped classroom Model
1 Introduction
The Flipped Classroom (FC), also known as the inverted classroom, has become an
increasingly popular teaching method in Higher Education Institutions (HEI) through-
out the last decade. It can generally be described as the swapping of traditional
attendance time activities with at-home activities [1]. Direct computer-based instruc-
tions like videos are used to convey knowledge at home before students apply and
deepen their knowledge in interactive activities inside the classroom [2]. Many studies
report positive effects of FC teaching, like improved learning performance and
increased student engagement [3]. However, the development of an FC is a challenging
task, where different barriers can occur, such as lack of time [4] or the need for
technical and media didactic support [5]. FCs always contain an online and offline part,
which has to be synchronized. The development of videos, self-assessment tests, and
other online content is more time consuming than preparing a traditional lecture [3].
Also, for the interactive attendance part of a class, various active teaching methods

https://doi.org/10.1007/978-3-030-44999-5_48
should be used, and new contents have to be created. Teachers can feel overwhelmed
when they create FCs. A possible resistance of the teachers concerned about the effort
and technical challenges involved should also be taken into account. In order to
overcome these barriers, a feasible and efficient approach to FC development is
required. At this point, agile methods can offer a solution. The concept of agility
became quite common when the Manifesto for Agile Software Development was
published in 2001. It stated that the development of software could be improved if the
development process focuses on four principles: Individuals and interaction, working
software, customer collaboration, and responding to change [6]. Even though some
authors state that the current principles of agility often lack transferability outside the
field of software development, the underlying concepts of agility, flexibility, and
leanness, can be easily transferred to other fields [7]. Tesar and Sieber adapted the agile
principles for the field of agile e-learning development, leading to the four core prin-
ciples: Personalized learning process, the usability of learning utilities, learner-centered
design, and flexible course design [8]. Agile methods can empower HEIs to implement
new teaching methods in an efficient and cost-reducing way [9] and can lead to an
improvement in the flexibility and reactivity of the capable stakeholders [10]. The
added value of agile methods in teaching and pedagogy has already become clear in
previous studies [11]. Besides, it is recommended to implement an FC step by step,
starting with the transformation of single lectures as pilots instead of transforming the
whole lecture at once [12, 13]. With this iterative procedure, teachers can assess,
compare, and continually improve future FC lectures through regular evaluations [12,
14]. In order to limit the workload and consider students’ opinions, teachers can also
involve students to support FC development [13]. The Horizon Report highlighted the
application of agile approaches as a long-term key trend to drive the change concerning
technology adaption in 2014 [9]. Surprisingly, there has been very little isolated
research on the use of agile methods to develop an FC so far. A transferable model
showing an agile FC development process is still lacking. Therefore, it is our goal to
give teachers and other stakeholders of different disciplines an overview and a rec-
ommendation on agile FC development to facilitate FC implementation and break
down barriers. To achieve this, we give an overview of the previous research in this
area, design a general model for agile FC development, and describe the application of
the model in a case study. Thus, this paper addresses the following research questions
(RQ): (1) Which concepts of agile methods are already used in the context of FC
development according to current research? (2) How could a process model for agile
FC development look like? (3) How could an FC be implemented step by step, taking
into account this agile development model? Figure 1 shows an overview of the sys-
tematic procedure of this article, including the research process and the corresponding
paper structure.
Fig. 1. Systematic procedure

Agile Development of a Flipped Classroom Course 583
As shown in Fig. 1, systematic literature research serves as the foundation of our

paper, answering RQ1 in Sect. 2. Based on the results and current research about the
determined agile concepts presented in Sect. 3, we then develop and explain our
general AgileFC Development Model in Sect. 4, giving a response to RQ2. Afterward,
we apply the model in practice by showing the use in a module of a bachelor’s degree
program at a German public university. By giving an insight into the current and
planned implementation of this FC, we answer RQ3.
2 Method
In order to find out which agile methods have already been used for FC development in
the current literature, we conducted a literature review and used the results to design an
agile FC development model. This model was then applied in a case study. The
literature review and its phases search and assessment, interpretation, synthesis,
guidance and conclusion [15] build the basis of our work. While the search and
assessment process are explained below and outlined in Fig. 2, the other phases of the
literature review are included in the following sections.
Fig. 2. Search and assessment process
The search was carried out systematically [16] under consideration of defining rules
as reasons for stepwise exclusion. The search string shown in Fig. 2 leads to a total of
122 identified articles. We focused our search on the intersection between agile process
models or agile development mentioned in research so far and the environment of the
FC or similar. A focus on these topics in the investigated articles represents the
inclusion criteria in our search and assessment process. On the other hand, we defined
duplicates, lack of relevance, and lack of feasibility as exclusion criteria, which are
explained in more detail below. We used the data bases Google Scholar, Science
Direct, AISnet, Eric, Web of Science, and Scopus for our research. However, AISnet,
Eric, and Web of Science did not deliver any results, which is why the results shown
refer to Google Scholar, Science Direct, and Scopus. After the first screening, we
removed all duplicates, which was necessary if an article was listed several times on
different data bases. Thus, 116 articles remained for screening 2 in which title, abstract,
and keywords are viewed. For the second screening, we defined the reasons for
exclusion due to lack of relevance or lack of feasibility. We excluded articles due to a

lack of relevance if they did not show reference to agile process models or agile
development in the context of FC course development. However, we included those
articles, which refer to agile process models or agile development in the context of
blended learning or e-learning course development, if they show parallels, hints or
outlooks on FC course development. Besides, reading the articles had to be classified as
feasible. We excluded articles due to a lack of feasibility if they were written neither in
English nor in German or were not available. As a result, 103 articles had to be
excluded from screening 2 due to a lack of relevance or feasibility. Most of them
showed a lack of relevance. After the second screening, 13 articles left for full-text
reading to prove for eligibility, of which nine articles revealed a lack of relevance as
stated above. In subsequent backward/forward research based on the remained articles,
we looked for further sources dealing with agile process models or agile development
in the context of FC, blended learning, or e-learning development. This search enabled
us to identify another relevant article that we added to our study. Thus, the search and
assessment process result in a total of five included articles. These articles form the
basis for further development. In a team of three FC experienced researchers, we then
carved out the used agile concept, the study design, and the primary goal mentioned in
each text. Furthermore, we looked more closely at the concepts of agile development in
each article. The findings are presented in the following section. After the literature
review, we discussed the concepts and let selected aspects flow into our subsequent
model in Sect. 4. Finally, we present a case study, which is based on the developed
model and demonstrates the application in one FC lecture. Since three of the authors of
this paper were involved in the implementation and, at the same time conduct research
on the development model, we now make use of action research [17].
3 Findings in Literature Review
The literature review we conducted to answer our first research question resulted in five
articles that deal with agile process models or agile development concerning FC course
development. Table 1 gives an overview of the key aspects of the included articles,
showing the agile concepts that have been used. It is striking how strongly most of the
included articles differ concerning their concepts and their research background. The
overview, sorted by year of publication, illustrates that no current articles could be
found that were published after 2016. It seems surprising that no research has taken
place in this field in recent years, although a need has been predicted [9]. Considering
the agile concepts, it is also striking that just Scrum is used twice. The overview does
not indicate that there is already an established concept or model for agile FC course
development. The fact that most articles were conducted as case studies can be
interpreted as further evidence that so far, mainly case-related models and concepts
have been developed. The major goals of the articles shown in Table 1 focus on
efficiency [6], individuality [18], flexibility [19], adaptability [20], and feasibility [4] of
approaches or procedures creating digital media, digital materials or digital environ-
ments. The background and the implementation of the articles are versatile.
Table 1. Included articles and their applied agile approaches

Author, Year Agile Study Major goal
[Reference] concept design
Tesar and Agile Literature Show an efficient procedure for responsible
Sieber [8] e-learning analysis persons putting blended learning into
development practice
Meissner and JiTT Case Demonstrate the use of digital media to
Stenger [18] study support the individual integration of
heterogeneous students at HEI
Vogel, Kilamo Scrum & Case Present a flexible approach to learning and
and Kurti [19] analogies to study teaching, considering issues of work from
JiTT software employees
Gale et al. [20] Scrum Case Create a digital and adjustable learning
study environment to school health staff in Africa
to fight against of Ebola
Bofill [4] ADDIE & Mixed Present a feasible approach for medical
Rapid methods schools on how to create digital learning
prototyping materials
Tesar and Sieber claim that changing teacher roles and new digital learning and
teaching opportunities place new demands on the development of a digitally improved
course. Based on a literature analysis, they derived a framework of agile e-learning
development from the Manifesto of Software development, containing transparency of
expectations towards learners, possibility for individual learning, adaptability and
usefulness of digital learning material, alignment of teaching with the need of learners
as well as flexibility and adaptability of the course [8]. Meissner und Stenger, on the
other hand, reports about students that differ from beginners to repeaters and experi-
enced professionals in the subject Electrical Engineering at TU Nürnberg. Using Just in
Time Teaching (JiTT), they offer a learner-centered and individual learning process
[18]. JiTT is a teaching design that is based on questions provided online by the
teacher, which are answered by the students as preparation for the lecture. After
planning the in-class activities, the teacher uses the answers just before his lecture to
adapt his teaching agilely to the answers of the students. Thus, the students are rec-
ognized as essential participants in the development of face-to-face time [21]. Vogel,
Kilamo, and Kurti describe the development of two courses closing the gap between
academic education content and industrial demands in the field of software develop-
ment. In one course, they used Scrum as a basis for the course structure. Scrum is based
on the empirical process control theory. All participants included in the Scrum process
are combined in the so-called Scrum Team: The Product Owner, the Scrum Master, and
the Development Team [10]. The Scrum process has a specific sequence and begins
with the Product Owner in a planning phase [22]. He or she is one person who is
making the essential decisions of the project and is defining all the requirements [10].
The Product Owner’s vision of the entire product is initially documented in the Product
Backlog. The Product Owner now selects precisely those requirements that should be
implemented in one Sprint, creating the Sprint Backlog [23]. Hereupon the Sprint
starts, and the Development Team begins to evolve the product. One sprint takes about
30 days and has a fixed goal about what to fabricate [22]. It consists of a Sprint
Planning Meeting, a Daily Scrum, the development work, a Sprint Review meeting,
and a Sprint Retroperspective meeting. At the end of the Sprint there is the Product
Increment, a functional intermediate product of the Product Backlog [10]. Vogel,
Kilamo, and Kurti followed this process developing their FC. For the other course, they
conducted an FC, in which online material for preparation as well as questions were
previously addressed to the students. The answers of the students to these questions
were then used to design the discussion that took place during face-to-face-time [19].
This procedure points to similarities with JiTT, even though the authors do not mention
this method by name. The research of Gale et al. research is based on the Ebola
outbreak calling for new learning methods because of time and place restrictions of
training staff, difficult access to health staff, and limited financial resources. Using
Scrum, the authors were able to produce training content as an online-simulation for
three months. They adapted the Scrum process to their case-specific needs. Gale et al.
point out that the resulting online material could be used within an FC by deepening
important content in local workshops [20]. Bofill appoints time limit during the
semester, missing adjustment of module contents and strong limitation of time for
e-learning development as existing framework conditions at Florida International
University Herbert Wertheim College of Medicine in the subject Radiology. She
combined the instructional design (ID) model ADDIE with rapid prototyping to create
e-learning material efficiently [4]. Along with this, other authors are also calling for
important aspects of instructional design to be taken into account when developing an
FC [12, 24]. However, it is a challenge to adapt existing ID models or to develop new
ID models that seem suitable for the development of digital teaching concepts [25]. In
Bofill’s research, ADDIE delivers a framework to design a curriculum [26] while fast
prototyping allows reverse loops and a corresponding adaptation during the develop-
ment process [4].
As the findings show, a general model concerning the particularities of agile FC
Development does not exist yet. Taking a closer look at the articles, it becomes clear
that the minority explicitly deal with agile FC development. Instead, they deal with
agile blended learning or e-learning development. Currently, literature provides only a
few clues as to how agile FC development should take place. No holistic view of the
development of an FC lecture has been taken into account yet, as some authors focus
mainly on the development of online materials [4, 20], while others are primarily
concerned with the design of the presence phase [18, 19]. In addition, general prin-
ciples for agile development have already been addressed [8]. But a model for agile FC
development in HEI considering both, the development of online materials and face-to-
face time, is still pending. We, therefore, want to fill this research gap, answering our
RQ2 in the next section.
4 Design of an AgileFC Development Model
The results of the literature review and the more detailed investigation of the applied
agile concepts lead us to the design of the AgileFC Development Model. We claim that
no agile concept listed in Table 1 is suitable on his own to design a general FC course
nor a single FC Lecture. Although certain methods are suitable for particular phases of
FC, such as video development, none of them have been used for the development of
the entire course so far. We are instead of the opinion that those agile concepts should
complement each user. Thus, we designed a model regarding key features of agile
concepts used in the included articles. In order to allow teachers a flexible development
of an FC course, the model refers to the development of individual FC lectures instead
of the development of the whole course. Thus, teachers can decide whether they want
to transform one, several or all events into an FC during one or more semesters. As a
result, our AgileFC Development Model for FC lectures is shown in Fig. 3. The model
illustrates the creation of a single one-week session. Since an entire course consists of
numerous sessions, the development model has to be run through several times in order
to develop a whole FC course. Both, the agile principles [8] and the consideration of
relevant ID aspects [4, 24], form the foundation of the AgileFC Development Model.
But since our model is designed to provide efficient and practical guidance for agile
development of an FC, neither is considered in depth. Moreover, the model is a
combination and generalization of Scrum and JiTT. The AgileFC Development is to be
separated into two parts: The online activities of the self-study phase and the in-class
activities. For the first part, we made use of Scrum. In Fig. 3, this is shown by the first
four steps of the model, starting with the Product Backlog and ending with the Finished
Milestone. Unlike the classic Scrum process, roles in our model are distributed to
stakeholders in the HEI. A Product Owner could be, e.g., a professor or a team leader
of a special digitalization project. The Scrum Master could be a responsible researcher
of the department. According to existing capacities, we claim for an interdisciplinary
Development Team containing researchers, employed students, and IT-staff with
knowledge concerning digital learning and technical implementation.
Fig. 3. AgileFC development model
The model itself starts with the Product Backlog of Scrum, given by the overall
requirements for FC development. The Product Backlog is to develop the online
materials for a single one-week long FC course. In the following, the requirements are
divided into several milestones (M), which all have to be mastered in order to develop
the materials. Each milestone represents a new Sprint Backlog. The Product Backlog is
P
therefore given by Nn¼1 Mn with n ¼ 1; . . .; N. A milestone is processed during each
sprint sequence. For the development of an FC course, it is recommended to adopt
Scrum by shortening the time of a sprint to one week, as the case study of Gale et al.
shows [20]. Similar to the classic Scrum, the Sprint also includes daily Sprints. After a
milestone has been completed, the Scrum Process starts again at the Product Backlog.
The development of online materials is finished, when the last milestone N of the
Product Backlog has been implemented, which means that the online materials for this
single course are completely developed. Following the first phase, the materials pro-
duced are made available online to the students. The Sprint Retroperspective meeting
will then take place hereafter. Due to the shortened sprint times and the fact that every
sprint has a Review meeting itself, there is no need to do hold a Sprint Retroperspective
meeting after every milestone- Sprint. Instead, the results of this meeting will be used
for the online material development of the next Product Backlog at the next one-week
session. Moreover, in this way, not only the evaluation of the Scrum Team but also an
evaluation of the students and other stakeholders can flow into the next session pro-
duction of online materials.
Once the materials are available online, the second phase of the AgileFC Devel-
opment Model begins: The in-class material and activity development. This is aimed at
the presence phase of the FC. Two of our included articles made use of JiTT or a JiTT
similar procedure to adjust their presence phase on students’ responses [18, 19]. JiTT is
attributed with a positive effect on the learning success of students [18]. In order to use
this effect and to ensure that agility is consistently applied in our model, we adopt this
approach for the design of the presence phase, so that a flexible adaption to the
respective students is possible. To apply JiTT in the following development process, it
is necessary to produce at least one online-activity offering questions to the students
that can be evaluated to adopt already developed learning activities according to stu-
dent needs. At this point, the teacher is in charge of creating the content for in-class
time. During this, he could make use of an ID, such as ADDIE. After evaluating the
questions asked in the online phase before, he or she is able to adapt the materials
according to JiTT. For the FC, this means that the materials for the in-class time are
improved on the basis of the data evaluation from the self-tests and quizzes provided
online. This has to be done short notice as a circle between development and adap-
tation. It allows the teacher to respond flexibly to the current needs derived from the
answers of the students and to interpret them in the class time accordingly. This also
means that the development of materials is only completed shortly before the beginning
of the lecture. Further on, in-class activities also follow the circle of development and
adaption and can be designed in a variety of ways. For example, open elements such as
live questionnaires or discussions that influence the structure of the lecture on site can
be integrated. During this phase, it lends itself to retain the roles previously defined.
Thus, the Product Owner could set the essential goals, the Development Team could
take over the data evaluation, and the Scrum Master could carry out the didactic
implementation. Daily meetings are also recommended due to the fast-paced nature of
the in-class time development. In a nutshell, the AgileFC Development Model is a
combination of different agile approaches, most of all Scrum and JiTT, that has been
transferred and adapted to the context of FC development at HEI.
5 Application of the AgileFC Development Model
In order to show one possible application of our AgileFC Development Model, we

conducted a short case study by flipping one course as a prototype in which two of the
authors were actively involved as Scrum Masters and one as a Product Owner. Within
this case study, the module “Fundamentals of Organization” of the bachelor’s degree
program in economics at a German public university is supposed to be transformed
from a traditional lecture into an FC course. This was carried out as part of a study
project in the summer term 2019. As mentioned above, it is advisable to implement an
FC step-by-step [12, 13]. Also, referring to our model, a stepwise implementation is
recommended, as lecturers need some time to overcome barriers of change and get used
to the new methods like JiTT [21]. Also, in our case, an abrupt change to an FC using
the AgileFC Development Model for each lecture date does not seem feasible due to a
lack of time and personnel. For this reason, we defined different levels of FC imple-
mentations to convert the module gradually. Four levels are required for the entire
course transformation. Figure 4 visualizes level 1, conducted 2019 and explained
below, as well as level 2, planned for 2020. The following levels will be continued
accordingly until all sessions are transformed.
Fig. 4. Level 1 and 2 of AgileFC development
We started the application of our model in the middle of the semester using Scrum
to develop videos and questions to generate online-activities and using JiTT to adapt
in-class-activities to student’s needs. The Scrum process of our model lasted five weeks
until the 12th lecture when we uploaded the online material in our learning manage-
ment system. JiTT was used during the 12th and 13th lecture, where the FC prototype
took place. The Scrum Team of our development process consisted of the professor of
the course, two research assistants, and three master students. The professor was the
Product Owner of the project. He defined the Product Backlog, one session of FC
course. He also decided about the type, scope, and design of the FC prototype. The
research assistances, two authors of this paper, were the Scrum Masters, as they
coordinated the activities of the Development Team and monitored the prototype
development. We occupied this role twice to allow as many people as possible to
benefit from the experience to facilitate the ongoing agile development process. Fur-
thermore, the master students of the project seminar build the Development Team.
At the beginning of the process, an overview of project goals was formulated. We

defined the milestones for each sprint as follows: (1) formulating learning objectives,
(2) writing a storyboard for a video, (3) creating slides for the video, (4) formulating
questions for online practice, quizzes, and online self-testing and (5) produce the video.
At the end of each sprint, there was a weekly meeting with the whole Scrum Team,
where the Development Team presented their results. Each meeting was related to one
milestone. After discussing potential problems, the Scrum Teams adjusted the mile-
stones as appropriate. In this way, the Development Team had a fixed date when which
milestone had to be fulfilled. Since the meeting within the Scrum Team was held not
daily, but rather weekly, we stayed in contact via social media to enable daily com-
munication. In addition, Scrum Masters conducted every morning a short, approxi-
mately 15 min daily Scrum to support the Development Team whenever necessary.
Short-term problems were solved in this way. After the last milestone, we held the
Sprint Review meeting and reflected the project. This meeting concluded all five sprints
we conducted for each milestone. After this, the production of the online materials for
the prototype was finished, whereupon they were uploaded online. These were avail-
able to the students between the 12th and 13th lecture to prepare for the 13th lecture.
Meanwhile, we developed the materials for the in-class time. In doing so, the online
questions and quizzes were directly incorporated into the adaptation and influenced the
focus of our content. In this way, we were able to respond to the needs of the students
and clarify their questions better during the FC presence phase at the 13th lecture. In
addition, a quantitative survey of the students was carried out to evaluate the prototype.
The results of this survey were discussed in the Retroperspective Meeting. Hereafter,
level 1 of agile FC development was finalized. We have planned the same process for
lecture 4, 7 and 10 in level 2. Due to learning effects, we assume that less time is
needed for development in the future. The 13th lesson of level 1 will be revised and
improved in level 2 based on the results of the evaluation. In addition, the online
questions of the current semester will continue to be incorporated into the revision of
the course content. In the following semesters, we plan to increase the number of
sessions to be developed, as shown in Fig. 4. At the end of level 4, the course is fully
transformed into an FC, as illustrated in Fig. 5.
Fig. 5. Level 3 and 4 of AgileFC development

6 Conclusion
The aim of our work is to provide teachers with an understanding of the possible use of
agile methods for designing FCs based on current research. For this purpose, we have
developed a model that includes different agile methods. We assume that both teachers
and students can benefit from our model, because following Scrum, a structured and
time-saving development takes place, and following JITT, learner-centered and indi-
vidual learning processes are made possible. To introduce the topic and an overview of
the current state of research on the subject, we first conducted a structured literature
review. Our review resulted in five research articles that make agile concepts in edu-
cation a subject of discussion. There is no generally applicable agile model for FCs in
current research. Thus, we filled the research gap evolving the AgileFC Development
Model, referring to our findings. This model is a combination of different agile
approaches, most of all Scrum and JiTT. To illustrate how to implement the AgileFC
Development Model in practice, we introduced a case study of an FC development. We
suggest a stepwise implementation of an FC course, beginning with one prototype of
one single course and continuing gradually with the other sessions as a classic lecture.
Even though we conducted our research systematically and conscientiously, it may
have limitations. Another research process could have led to other or more findings.
Our model is based on the literature available through the literature review and our
experiences as FC developers. Other experienced FC developers could have rated
different concepts as relevant and suitable for an AgileFC Development Model. In
addition, a general model, as we wanted to create, could be in contrast to the indi-
viduality of the course conditions. Depending on the course, further adjustments could
be necessary. On the other hand, the shown application of the model is case-based and
referred to our course and, therefore, not necessarily transferable to other HEI without
adaptation. The boundaries of our work indicate the need for further research. During
continuing the development process of our course, we would like to evaluate and adapt
our AgileFC Development Model. In particular, we want to investigate whether an agile
and stepwise approach to the development of an FC can increase acceptance by
teachers and other stakeholders. We also plan to use the results of our evaluation for
continuous improvement in the agile sense.
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Author Index
Abayomi-Alli, Adebayo I-276 Daramola, Olawande II-402

Abendroth, Adrian II-211 Darvish, Mahdieh II-358
Abia, Mike II-370 de Vries, Marné I-370
Adebesin, Funmi II-96 Devar, Thaverson II-108
Adesemowo, Kayode I-276 Djan, Elijah I-370
Adetutu, Morakinyo II-307 Doyle, Carmen I-325
Afful-Dadzie, Anthony I-545 Draheim, Dirk I-3
Afful-Dadzie, Eric I-204 Droit, Alena I-532, I-581
Akaba, Temofe Isaac I-3 Du, Xu II-389
Akinnuwesi, Adetutu N. II-414 Dwivedi, Yogesh K. I-161, I-176, I-266
Akinnuwesi, Boluwaji A. II-414
Ameen, Nisreen I-153 Earle, Clara Benac II-331
Amod, Shiraz I-288 Effah, John II-28
Anim-Yeboah, Samuel I-192 Eikebrokk, Tom Roar I-114, I-126
Antonizzi, Joshua I-239 Els, Caro I-67
Apleni, Anele II-15 Engesmo, Jostein II-39
Appiah-Nimo, Christina II-147 Eybers, Sunet I-481
Arogundade, Oluwasefunmi ‘Tale I-276
Aspø, Kristian I-126 Fadiran, Olakumbi A. II-263
Awuni Kolog, Emmanuel I-192 Fani, Dudu II-345
Fashoto, Stephen G. II-414
Baker, Adiel II-73 Fosso Wamba, Samuel I-79
Bamigbade, Taiwo I-276 Fredlund, Lars-Åke II-331
Bayaga, Anass I-520
Bedi, Ibrahim I-192
Bednarska-Olejniczak, Dorota I-102 Gao, Shang II-3
Gerber, Aurona I-383
Bick, Markus I-358, I-443, II-358
Giannakos, Michail N. II-429
Bley, Katja I-337
Grobbelaar, Sara I-67, I-397, II-84
Blömer, Linda I-532, I-581
Grobler, Chris D. I-350
Boateng, Richard I-192, I-204, I-545, II-28
Gumbi, Lucas I-41
Botha, Adele I-397, II-84
Gundlach, Jana II-211
Botha, Elsamari I-216
Guo, Hong II-3
Brosens, Jacques II-441, II-452
Brous, Paul I-431
Brown, Irwin II-46, II-370 Hattingh, Marie I-481, II-108, II-223, II-452
Bugge, Markus M. I-569 Hendricks, Kayla II-135
Bühler, Julian I-443 Hentschel, Raoul I-409
Hernández, Susana Muñoz II-331
Calitz, Andre P. I-55, II-345 Hoppe, Uwe I-581
Celliers, Marlie II-223 Howard, Grant Royd I-507
Chovancova, Miloslava II-147 Hughe, Laurie I-176
Coetzee, Serena II-159
Cooper, Antony K. II-159 Ismagilova, Elvira I-266
Cullen, Margaret II-345 Iyamu, Tiko I-493
594 Author Index
Jaccheri, Letizia II-39 Nwaiwu, Fortune II-147

Jacobs, Mariam II-61 Nyasulu, Peter II-402
Jansen, Jacques I-138 Nyembe, Bangisisi Zamuxolo Mathews
Janssen, Marijn I-431 I-507
Jibril, Abdul Bashiru I-216, II-147
Joubert, Anke I-443 Odusami, Modupe I-276
Odusanya, Kayode II-307
Kabanda, Salah II-46 Ofori-Amanfo, Joshua I-204
Kangelani, Phaphama I-493 Olowe, Victor I-276
Kar, Arpan Kumar I-456 Olsen, Dag Håkon I-114, I-126
Karki, Yashoda II-338 Opland, Leif Erik II-39
Kearney, Carike I-383 Osakwe, Christian Nedu I-216
Kennon, Denzil I-67 Owusu, Acheampong I-192, I-204, I-545
Kevor, Mark-Oliver I-545
Kizgin, Hatice I-161 Papamitsiou, Zacharoula I-252
Kolog, Emmanuel Awuni I-545 Pappas, Ilias O. II-39, II-338, II-429
Koskivaara, Eija II-380 Parry, Douglas A. II-175, II-187, II-211
Krans, Rutger I-431 Pather, Shaun II-61, II-73
Kruger, Rendani II-441, II-452 Petersen, Fazlyn II-61, II-73
Kushwaha, Amit Kumar I-456 Pilik, Michal II-147
Kwarteng, Michael Adu I-216, II-147 Pretorius, Hendrik Willem I-301
Prinz, Charlotte Marie II-358
le Roux, Daniel B. II-175, II-187, II-211
le Roux, Pierre I-383 Queiroz, Maciel M. I-79
Lowe, Joy I-469
Rajamany, Vanitha I-557
Machete, Paul II-235 Rana, Nripendra P. I-161, I-176, I-266
Mahloko, Lerato II-96 Ratshidi, Lilies II-84
Makkan, Nabeel II-441 Renner-Micah, Anthony II-28
Makubalo, Themba I-15 Roodt, Sumarie I-288
Mamonov, Stanislav I-313
Mäntymäki, Matti I-27 Sajets, Elaine I-126
Maramba, George II-274 Sarker, Prianka I-176
Maritz, Juane I-481 Schoeman, Marthie A. II-263
Marivate, Vukosi I-419 Scholtz, Brenda I-15, I-55, II-247
Matthee, Machdel I-469, II-199 Scholtz, Iddo-Imri II-287
Mawela, Tendani II-319 Schön, Hendrik I-337
Metfula, Andile S. II-414 Seymour, Lisa F. I-325
Mikalef, Patrick I-252, II-429 Shah, Mahmood Hussain I-153
Mohungoo, Idah II-46 Shainesh, G. II-301
Msweli, Nkosikhona Theoren II-319 Sharma, Kshitij II-429
Muhammad, Raza I-153 Shirish, Anuragini II-301
Mujinga, Mathias I-228 Sivarajah, Uthayasankar I-266
Murawski, Matthias I-358, I-443, II-358 Smuts, Hanlie I-89, I-239, II-15, II-274,
Mutambara, David I-520 II-287
Smuts, Stefan I-89
Naidoo, Krishnan I-419 Somerkoski, Brita II-380
Najmul Islam, A. K. M. I-27 Spies, Ruan I-397
Norta, Alex I-3 Srivastava, Shirish C. II-301
Author Index 595
Strahringer, Susanne I-337, I-409 van der Merwe, Alta I-89, I-138, I-301,
Struweg, Ilse II-120 I-383
Svobodová, Libuše I-102 van der Merwe, Thomas M. I-350
Van Staden, Corne J. I-557
van Zyl, Albie II-199
Tamilmani, Kuttimani I-161
Varde, Aparna S. II-389
Thordsen, Tristan I-358
Varghese, Christina II-389
Tokosi, Temitope Oluwaseyi I-15
Vennerød-Diesen, Frida F. I-569
Tømte, Cathrine E. I-569
Vigneswara Ilavarasan, P. I-456
Tsibolane, Pitso II-135
Vogelsang, Kristin I-532
Tucker, William D. II-73
Voigt, Christin I-581
Turpin, Marita II-199, II-235
vom Berg, Benjamin II-247
Twinomurinzi, Hossana I-41
Weerakkody, Vishanth I-266
Udokwu, Chibuzor I-3 Wirén, Milla I-27
Wollscheid, Sabine I-569
van Belle, Jean-Paul II-135
van Biljon, Judy I-557, II-263 Yakobi, Khulekani II-247
van der Hoogen, Anthea I-55 Yeboah, Eunice I-204

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Marié Hattingh · Machdel Matthee ·

Hanlie Smuts · Ilias Pappas ·

Implementation and Use

Editorial Board Members

Hanlie Smuts Ilias Pappas

Yogesh K. Dwivedi Matti Mäntymäki (Eds.)

ISSN 0302-9743 ISSN 1611-3349 (electronic)

© IFIP International Federation for Information Processing 2020

enabled innovation, entrepreneurship, and managing cross-border business

February 2020 Marié Hattingh

Program Committee Chairs

Elmi Bester UNISA, South Africa

Paula Kotzé University of Pretoria, South Africa

Elena Parmiggiani Norwegian University of Science and Technology,

Corné Van Staden UNISA, South Africa

A Framework for the Adoption of Blockchain-Based e-Procurement

Blockchain Technology for Empowering Patient-Centred Healthcare:

Exploring the Disruptiveness of Cryptocurrencies: A Causal Layered

Fourth Industrial Revolution

SMME Readiness for Smart Manufacturing (4IR) Adoption:

Using Theories to Design a Value Alignment Model

Complementary Partnerships for SMEs: A Relational Capability Maturity

The Role of Digital Connectivity in Supply Chain and Logistics Systems:

A Strategic Organisational Perspective of Industry 4.0:

SMART City and Economy: Bibliographic Coupling and Co-occurrence . . . . 102

Robotic Process Automation and Consequences for Knowledge Workers;

Co-creation for Digitalization: A Study of Co-creation in Norwegian

A Framework for Industrial Internet of Things . . . . . . . . . . . . . . . . . . . . . . 138

Cybersecurity Readiness of E-tail Organisations: A Technical Perspective . . . 153

Consumer Mobile Shopping Acceptance Predictors and Linkages:

Social Commerce Adoption Predictors: A Review and Weight Analysis. . . . . 176

Digital Entrepreneurship in Business Enterprises: A Systematic Review . . . . . 192

Assessing the Role of Trust in Merchant Adoption of Mobile Payments

The Influence of Price Comparison Websites on Online Switching

Online Banking Service Quality: A South African E-S-QUAL Analysis . . . . . 228

The Characteristics of Digital Entrepreneurship and Digital Transformation:

Mapping the Intellectual Progress in e-Business, e-Services and e-Society

Weight Analysis of the Factors Affecting eWOM Providing Behavior . . . . . . 266

An Intelligent Marketspace Mobile Application for Marketing

A Theoretical Framework for IT-Enabled and IT-Enforced Corporate

The Role of Information Technology in Fintech Innovation:

Governance Challenges Constraining Business Process Management:

Towards a Strategic Model for Safeguarding the Preservation of Business

How to Measure Digitalization? A Critical Evaluation of Digital

Business Process Re-engineering and Agile Software Development:

The Zachman Framework for Enterprise Architecture:

A Scoping Review of the Application of the Task-Technology Fit Theory . . . 397

A Broker-Based Framework for the Recommendation of Cloud Services:

Big Data and Machine Learning

Unsupervised Anomaly Detection of Healthcare Providers Using

Data Governance as Success Factor for Data Science. . . . . . . . . . . . . . . . . . 431

Happiness and Big Data – Theoretical Foundation and Empirical Insights

Predicting Information Diffusion on Twitter a Deep Learning Neural

Requirements of Data Visualisation Tools to Analyse Big Data:

Implementation Considerations for Big Data Analytics (BDA):

A Model for Evaluating Big Data Analytics Tools

ICT and Education

Development of a Quantitative Instrument to Measure Mobile Collaborative

Understanding Rural Parents’ Behavioral Intention to Allow Their Children