Developments and Advances in Defense and Security: Proceedings of MICRADS 2021 (Smart Innovation, Systems and Technologies, 255) 9811648832, 9789811648830

Table of contents :
Preface
Contents
About the Editors
Part I Cybersecurity and Cyberdefense
1 An Analysis of Cyber Espionage Process
1.1 Introduction
1.2 Cyber Espionage
1.2.1 The Role of Malware in Cyber Espionage
1.3 General Process of Cyber Espionage
1.4 Discussion
1.5 Conclusions
References
2 Portuguese Concerns and Impact on Behaviour About Cybersecurity: A Comparison with the European Average
2.1 Introduction
2.2 Cybersecurity Study in Europe
2.2.1 Europeans’ Concerns About Cybersecurity
2.2.2 Impact on Behaviour
2.2.3 Impact on the Security of Online Accounts
2.2.4 Attitudes to Cybersecurity
2.3 Discussion
2.4 Conclusion
References
3 Impact of Social Engineering Attacks: A Literature Review
3.1 Introduction
3.2 Methods
3.2.1 Research Questions
3.2.2 The Inclusion and Exclusion Criteria
3.2.3 Search Process
3.2.4 Analysis of Primary Studies
3.3 Results
3.4 Discussion
3.5 Conclusions
References
4 Maritime Cyberdefense Actors Taxonomy for Command and Control
4.1 Introduction
4.2 Methodology
4.3 Maritime Cyberdefense Key Actors
4.4 Cyberdefense Capabilities
4.5 Cyberdefense Strategic Attitude
4.6 Complementary Classifications
4.7 Results
4.8 Conclusions
References
5 Enabling Sustainable Management Through Kalman Filtering in glossaLAB: A Case Study on Cyber-Subsidiarity
5.1 Introduction: Lights and Shadows of Information Prosperity
5.2 An Alternative Architecture for the Digital World Based on Network Structural Properties
5.2.1 The Viable System Model as a Paradigm of Sustainability
5.3 Cyber-subsidiarity Model Applied to Interdisciplinary Knowledge Co-creation: Leveraging Transdisciplinarity
5.3.1 glossaLAB Project
5.3.2 Information Management for Sustainability and Autonomy
5.3.3 Information Filtering Across Organization Levels
References
6 Digital Transformation Impact in Security and Privacy
6.1 Introduction
6.2 Digital Transformation in Security and Privacy. Problem Statement
6.3 Research Analysis
6.4 General Findings
6.4.1 Strength Identification Relative to Disruption
6.4.2 Weakness Identification Relative to Disruption
6.4.3 Why Is This an Opportunity?
6.4.4 Why Is It a Threat?
6.4.5 How Does This Disruption Solve Privacy and Security Problems?
6.4.6 Further Areas of Research to Consider
6.5 Conclusions
References
7 ISOLA: An Innovative Approach to Cyber Threat Detection in Cruise Shipping
7.1 Introduction
7.2 Cyber Risks in Cruising Ships
7.2.1 Cyber Risks: From Threats to Vulnerabilities and Contingency Plans
7.2.2 Cyber Risks at Sea
7.2.3 Cyber Risks on Board
7.3 The ISOLA Architecture
7.3.1 ISOLA Principles
7.3.2 Toward Ships Data Fusion
7.4 Discussion on Further Needs
7.5 Conclusion
References
8 Analysis of the Cybersecurity in Wireless Sensor Networks (WSN): A Review Literature
8.1 Introduction
8.2 Related Work
8.3 Methodology
8.3.1 Planning the Review
8.3.2 Conduct of the Search
8.3.3 Analysis
8.4 Discussion and Conclusions
References
Part II Computer Networks, Mobility and Pervasive Systems
9 Green Energy for Nodes of Hybrid Fiber-Coaxial Networks in the Transmission and Distribution of Signals to the End Customer
9.1 Introduction
9.2 Materials and Methods
9.2.1 Importance of Quality Service
9.2.2 Network Integration with Service Quality in Mind
9.2.3 Distributed Installation Cabinets
9.2.4 Operating Scenarios
9.2.5 Hybrid System Simulations
9.3 Results and Discussions
9.4 Conclusions
References
Part III Analysis and Signal Processing
10 Comparative Analysis of High Frequencies for the Broken Bar Fault Diagnosis Using MCSA and Park’s Vector Demodulation
10.1 Introduction
10.2 Materials and Methods
10.2.1 Motor Current Signature Analysis (MCSA)
10.2.2 Transformation of Reference Variables to Associated Variables
10.2.3 Fault Caused by Broken Bars (BRB).
10.2.4 Implementation in Experimental Development.
10.3 Results and Discussion
10.3.1 MCSA Analysis for Broken Bar Fault
10.3.2 Demodulation of the Reference Signal.
10.4 Conclusions
References
Part IV Wearable Technology and Assistance Devices
11 Nexus of Electrospun Nanofibers and Additive Processing—Overview of Wearable Tactical Gears for CBRNE Defense
11.1 Introduction
11.2 Materials and Methods—An Overview of Electrospinning and Additive Processing
11.3 Characteristics of Fibers
11.4 Applications Space of Nanofibers in Defense and Security
11.4.1 Biomedical Application
11.4.2 Sensors—Chem.-Bio, VOCs, Explosives, and Biomarkers
11.4.3 Textile: Force Protection, ICT, Tactile Sensors
11.5 Rapid Prototyping, Conclusion, and Path Forward
References
Part V Simulation and Computer Vision in Military Applications
12 Towards Real-Time Drone Detection Using Deep Neural Networks
12.1 Introduction
12.2 Methodology
12.2.1 Dataset
12.2.2 Training
12.2.3 Validation
12.3 Hypothesis
12.4 Results
12.5 Conclusions
References
13 Detection of Opencast Mining Sites from Multispectral Satellite Images
13.1 Introduction
13.1.1 Related Works
13.1.2 Contribution
13.2 Methodology
13.2.1 Data Preparation
13.2.2 Support Vector Machine (SVM) for Image Segmentation
13.2.3 Fully Convolutional Neural Network (FCN) for Semantic Segmentation
13.3 Evaluation of Image Segmentation Techniques
13.3.1 Image Preprocessing
13.3.2 Results of the Segmentation Process Using the SVM
13.3.3 Semantic Segmentation Using the FCN
13.4 Conclusions
References
14 Impact of the Use of Simulators on Training and Specialization in the Navy
14.1 Introduction
14.2 Background
14.3 Simulator’s Technological Environment
14.3.1 Simulation
14.3.2 Simulators Pedagogy
14.4 Methodology
14.4.1 Design
14.4.2 Measured Variables and Applied Instruments
14.4.3 Population and Sample
14.5 Results
14.6 Conclusions
References
15 Comparison Between Two Novel Approaches in Automatic Breast Cancer Detection and Diagnosis and Its Contribution in Military Defense
15.1 Introduction
15.2 Materials and Methods
15.3 Results
15.4 Comparison and Discussion
15.5 Military Defense Contribution
15.6 Conclusion
References
Part VI Weapons and Combat Systems
16 Model-Driven Engineering as the Interface for Tactical Operation Order of Mixed Robot/Human Platoons
16.1 Introduction
16.2 Background
16.3 Vision
16.4 Model-Driven Engineering
16.5 Metamodel for Operation Order
16.6 Conclusion
References
Part VII Chemical, Biological and Nuclear Defense
17 Decontamination of Seawater in a Harbor: Case Study of Potential Bioterrorism Attack
17.1 Introduction
17.2 Ballast Water—Source of Bacteriological Seawater Pollution
17.3 Proposed Methods for Decontamination of Seawater in a Harbor
17.3.1 Prevention of Bioaerosol Formation from Seawater Using MICP
17.3.2 Prevention of Bioaerosol Formation from Seawater Using Aerobic Oxidation of Salts of Calcium or Iron with Long-Chain Organic Acids
17.4 Conclusion and Discussion
References
18 Trace Detection of C-4 on Aluminum Using Mid-Infrared Reflection–Absorption Quantum Cascade Laser Spectroscopy
18.1 Introduction
18.2 Materials and Methods
18.2.1 Reagents
18.2.2 Sample Preparation
18.2.3 Instrumentation
18.3 Results and Discussion
18.3.1 Spectral Profile
18.3.2 Partial Least Squares (PLS) Regression Analysis of Standards
18.4 Conclusion
References
19 Nanomaterials, Energy Devices and Defense: Metal Oxides and Supercapacitors
19.1 Introductions
19.1.1 Defense and Nanotechnology
19.1.2 Nanomaterials and Devices
19.2 Supercapacitors
19.2.1 Supercapacitor Design and Components
19.3 Final Remarks
References
20 Cellulose Acetate/ABS Blends as Insulating Phases for 3D Printing of Carbon-Based Composite Sensors
20.1 Introduction
20.2 Materials and Methods
20.2.1 Materials and Blends Preparation
20.2.2 Composite Electrodes Preparing
20.2.3 Characterization Details
20.2.4 Measurement Details
20.3 Results and Discussions
20.4 Conclusions
References
Part VIII Health Informatics in Military Applications
21 Stress Biomarkers Detection Using Non-invasive Methods for Textiles Integrated Sensors Development
21.1 Introduction
21.2 Materials and Methods
21.2.1 Chemicals
21.2.2 Sampling
21.2.3 LC-MS/MS
21.2.4 Electrochemistry
21.3 Results and Discussion
21.3.1 Blood Results
21.3.2 LC-MS/MS Results
21.3.3 Comparison Between Blood and Sweat Results
21.3.4 Electrochemistry Analysis
21.4 Conclusion
References
22 Detecting Autism Spectrum Disorder Using Data Mining
22.1 Introduction
22.2 Related Work
22.3 Methodology
22.3.1 Business Understanding
22.3.2 Data Understanding
22.3.3 Data Preparation
22.3.4 Modeling
22.3.5 Evaluation
22.4 Results and Discussion
22.5 Conclusions
References
23 Classification of Dementia in Adults
23.1 Introduction
23.2 Related Work
23.3 Methodology
23.3.1 Business Understanding
23.3.2 Data Understanding
23.3.3 Data Preparation
23.3.4 Modeling
23.3.5 Evaluation
23.4 Results and Discussion
23.5 Conclusion and Future Work
References
24 VR-test ViKi: VR Test with Visual and Kinesthetic Stimulation for Assessment Color Vision Deficiencies in Adults
24.1 Introduction
24.2 Background
24.3 Approach to Develop the VR-test ViKi
24.3.1 Motivation
24.3.2 Development Proposal and Research
24.3.3 Design and Development
24.3.4 Measurements
24.3.5 Procedures
24.4 Conclusions and Future Works
References
25 Cardio Monitoring and Geolocation Control System for Guards of the Armed Forces with LoRa Technology
25.1 Introduction
25.2 Materials and Methods
25.2.1 Mobile Device
25.2.2 Gateway
25.2.3 Application Server
25.2.4 Integration of Map Module
25.2.5 Integration Cardiac Monitor Module
25.3 Results
25.3.1 Mobile Device Connectivity to Gateway
25.3.2 Gateway Connectivity to the Application Server
25.4 Discussion
25.5 Conclusions
References
Part IX Defense Engineering
26 A Methodological Proposal for Managing Operational Risk by Integrating Agility
26.1 Introduction
26.2 Problem
26.3 Methodology
26.4 Results
26.5 Conclusions
References
Part X Leadership and e-Leadership
27 Chosen Aspects of Cultural Awareness Training in the Military. Case Study of Polish Troops’ Training in the years 2003–2020
27.1 Introduction
27.2 Literature Review on Cultural Awareness in the Military
27.3 The Aim of the Article
27.4 Methodology
27.5 Research
27.5.1 Cultural Savoir-Vivre
27.5.2 Gender Perspective
27.5.3 Religion
27.6 Conclusions
References
Part XI Planning, Economy and Logistics Applied to Defense
28 Green Mobility in the Portuguese Security Force: A Case Study of the Gendarmerie Force
28.1 Introduction
28.2 Propulsion Systems
28.3 GNR Land Vehicle Park
28.4 Supply Network
28.5 Methodology
28.6 Results Discussion
28.7 Conclusions
References
29 The Demographics of Defense and Security in Japan
29.1 Introduction
29.2 Stochastic Population Forecasts
29.2.1 Demographic Growth-Balance Equations
29.2.2 Forecasting Demographic Components
29.3 Results
29.4 Discussion and Conclusion
References
Part XII Strategy, Geopolitics and Oceanopolitics
30 The Issues of Changing Geopolitical Challenges—The Case of Poland
30.1 Introduction
30.2 The “Fluidity” of Europe’s Borders and Divisions
30.3 Poland in the Dichotomous Division of Europe
30.4 Poland and Central and Eastern Europe
30.5 Conclusions
References
31 EU’s Maritime Situational Awareness (MSA): Advancements and Limitations
31.1 Introduction
31.2 Key Concepts, Theoretical Framework, and Methodology
31.3 MSA Doctrine Within the EU
31.4 Surveillance and Data Collection
31.4.1 Maritime Surveillance Initiatives
31.4.2 Data Collection Initiatives
31.4.3 Regulatory Initiatives
31.5 Data Fusion and Knowledge Development
31.5.1 Data Fusion
31.5.2 Analysis and Knowledge Development
31.6 Coordination and Dissemination of Knowledge
31.6.1 Information Sharing and Communication Systems
31.6.2 Command and Control
31.7 Management and Improvement
31.7.1 Technology Development
31.7.2 Education and Training
31.7.3 Lessons Learned
31.7.4 Capacity Building
31.8 Conclusion
References
32 The Multifaceted Approach of China to Latin America and the Caribbean: A Commentary on the Defense Dimension
32.1 Introduction
32.2 Economic Diplomacy: Trade and Economic Statecraft
32.3 Economic and Military Diplomacy: Infrastructure Development
32.4 The Cross-Strait Issue
32.5 China’s Steps Toward a “World-Class” Military: “Blue-Water Navy”
32.6 Concluding Remarks
References
33 The Alignment of the Top Structure of the Portuguese Armed Forces. Focus on HR Strategy and Policies
33.1 Introduction
33.2 Alignment Between HR Strategy and Policies
33.2.1 The Alignment Concept
33.2.2 HR Strategy and Policies
33.2.3 The HRM System of the Portuguese Armed Forces
33.3 Method
33.4 Results
33.4.1 The Alignment Between Policies and Strategy HR
33.4.2 Communication and Coordination of HR Policies
33.5 Discussion
33.6 Conclusions
References
34 Logistical Reflections on Developing a Forward Operating Base: Improving Logistics Sustainability in Durable Deployment of Air Units
34.1 Introduction
34.2 Literature Review and Method
34.2.1 Concern: Design Keys for the Logistics Support System of the Air Forces to Respond to the New Global D&S Paradigm
34.2.2 Method: Concepts and Fundamental Aspects of Transformation of ISS Within New Logistics 4.0
34.3 Results: Logistic Concept of FOB Deployment
34.4 Discussions: Main DAAM Design Principles for Deployment of Air Units in FOBs
34.5 Conclusions
References
Part XIII Information and Communication Technology in Education
35 Development of a 3D User Interface for Programming a Robotic Arm Using Virtual Reality
35.1 Introduction
35.2 Experimental Framework
35.2.1 Robotics
35.2.2 Unity and Visual Studio
35.2.3 HTC VIVE PRO
35.3 Design
35.3.1 Design of the Robotic Arm
35.3.2 Configuration of the HTC VIVE PRO Virtual Reality Equipment
35.4 Results
35.4.1 Analysis of the Operation
35.4.2 Analysis of the Degrees of Freedom
35.4.3 Final Result of the VR Application
35.5 Conclusions
References
36 Augmented Reality for Learning Sign Language Using Kinect Tool
36.1 Introduction
36.2 Methodological Framework
36.2.1 Sign Language
36.2.2 Augmented Reality
36.2.3 Microsoft Kinect
36.2.4 Blender
36.2.5 Vuforia Development
36.2.6 Unity
36.3 Design
36.3.1 3D Hand in Blender
36.3.2 Database in Visual Gesture Builder
36.3.3 Design and Development of the Prototype in Unity
36.4 Results
36.4.1 Learning Stage and Augmented Reality
36.4.2 Evaluation Stage
36.4.3 Analysis of Gesture Recognition
36.5 Conclusions
References
37 Virtual Education: University Students’ Experiences in the Time of Covid-19
37.1 Introduction
37.1.1 Learning in the Virtual World
37.2 Materials and Methods
37.3 Results
37.4 Discussion of Results
References
38 StarsCTF: A Capture the Flag Experiment to Hack Player Types and Flow Experience
38.1 Introduction
38.2 Background
38.2.1 History of Brazilian Capture the Flag
38.2.2 Capture the Flag
38.2.3 Related Work
38.3 Gamification and Flow State
38.4 Material and Methods
38.4.1 Design
38.4.2 Instruments
38.4.3 Hypothesis
38.4.4 Experiment Execution
38.5 Results
38.5.1 Data Analysis
38.5.2 First Event—Day 1
38.5.3 Discussion
38.6 Conclusions and Future Works
References
39 Transfer of Knowledge and Technology to Ecuador’s Business Network
39.1 Introduction
39.2 The Role of Universities in the Entrepreneurial Environment
39.2.1 Universities’ Technology Transfer Policies
39.2.2 Technology Transfer Processes
39.3 Methodology
39.4 Results and Discussion
39.5 Conclusions
References
40 Technology-Based Companies: The Case of South American Countries
40.1 Introduction
40.2 Methodology
40.3 Results and Discussion
40.4 Conclusions
References
41 University Educational Environment in the Information Exchange Agents Evaluations
41.1 Introduction
41.2 Literature Review
41.3 Methodology
41.4 Results
41.5 Discussion
41.6 Conclusion
References
42 The Role of Information Technologies in a Criminal Investigation for the Portuguese Security Forces: A Case Study of the Guarda Nacional Republicana
42.1 Introduction
42.2 The Criminal Investigation
42.3 The Information
42.4 From Information Systems to Information Technologies
42.5 Analysis and Discussion of Results
42.6 Conclusions
References
43 Knowledge Production in Universities: An Analysis Based on Human Capital Theory, a Case of Accredited HEIs in Colombia
43.1 Introduction
43.2 Methodology
43.3 Results
43.4 Conclusions
References
Author Index

Citation preview

Smart Innovation, Systems and Technologies 255

Álvaro Rocha Carlos Hernan Fajardo-Toro José María Riola Rodríguez   Editors

Developments and Advances in Defense and Security Proceedings of MICRADS 2021

123

Smart Innovation, Systems and Technologies Volume 255

Series Editors Robert J. Howlett, Bournemouth University and KES International, Shoreham-by-Sea, UK Lakhmi C. Jain, KES International, Shoreham-by-Sea, UK

The Smart Innovation, Systems and Technologies book series encompasses the topics of knowledge, intelligence, innovation and sustainability. The aim of the series is to make available a platform for the publication of books on all aspects of single and multi-disciplinary research on these themes in order to make the latest results available in a readily-accessible form. Volumes on interdisciplinary research combining two or more of these areas is particularly sought. The series covers systems and paradigms that employ knowledge and intelligence in a broad sense. Its scope is systems having embedded knowledge and intelligence, which may be applied to the solution of world problems in industry, the environment and the community. It also focusses on the knowledge-transfer methodologies and innovation strategies employed to make this happen effectively. The combination of intelligent systems tools and a broad range of applications introduces a need for a synergy of disciplines from science, technology, business and the humanities. The series will include conference proceedings, edited collections, monographs, handbooks, reference books, and other relevant types of book in areas of science and technology where smart systems and technologies can offer innovative solutions. High quality content is an essential feature for all book proposals accepted for the series. It is expected that editors of all accepted volumes will ensure that contributions are subjected to an appropriate level of reviewing process and adhere to KES quality principles. Indexed by SCOPUS, EI Compendex, INSPEC, WTI Frankfurt eG, zbMATH, Japanese Science and Technology Agency (JST), SCImago, DBLP. All books published in the series are submitted for consideration in Web of Science.

More information about this series at http://www.springer.com/series/8767

Álvaro Rocha · Carlos Hernan Fajardo-Toro · José María Riola Rodríguez Editors

Developments and Advances in Defense and Security Proceedings of MICRADS 2021

Editors Álvaro Rocha ISEG University of Lisbon Lisbon, Portugal

Carlos Hernan Fajardo-Toro Fundación Universitaria Konrad Lorenz Bogota, Colombia

José María Riola Rodríguez Escuela Naval Almirante Padilla Cartagena, Colombia

ISSN 2190-3018 ISSN 2190-3026 (electronic) Smart Innovation, Systems and Technologies ISBN 978-981-16-4883-0 ISBN 978-981-16-4884-7 (eBook) https://doi.org/10.1007/978-981-16-4884-7 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Preface

This book contains a selection of papers accepted for presentation and discussion at the 2021 Multidisciplinary International Conference of Research Applied to Defense and Security (MICRADS’21). This conference had the support of Escuela Naval de Cadetes “Almirante Padilla,” Armada de Colombia, COTECMAR and AISTI (Iberian Association for Information Systems and Technologies). It took place online in Cartagena, Colombia, August 18–20, 2021. The 2021 Multidisciplinary International Conference of Research Applied to Defense and Security (MICRADS’21) is an international forum for researchers and practitioners to present and discuss the most recent innovations, trends, results, experiences, and concerns in the several perspectives of defense and security. The Program Committee of MICRADS’21 was composed of a multidisciplinary group of more than 200 experts from 39 countries around the world and those who are intimately concerned with Research Applied to Defense and Security. They have had the responsibility for evaluating, in a “double-blind review” process, the papers received for each of the main themes proposed for the conference: (A) systems, communication and defense; (B) strategy and political–administrative vision in defense; and (C) engineering and technologies applied to defense. MICRADS’21 received 117 contributions from 12 countries around the world. The papers accepted for presentation and discussion at the conference are published by Springer (this book) and by AISTI and will be submitted for indexing by ISI, EI-Compendex, SCOPUS, and/or Google Scholar, among others. We acknowledge all of those who contributed to the staging of MICRADS’21 (authors, committees, workshop organizers, and sponsors). We deeply appreciate their involvement and support that was crucial for the success of MICRADS’21. Cartagena, Colombia August 2021

Álvaro Rocha

v

Contents

Part I

Cybersecurity and Cyberdefense

1

An Analysis of Cyber Espionage Process . . . . . . . . . . . . . . . . . . . . . . . . Richard Rivera, Leandro Pazmiño, Fernando Becerra, and Jhonattan Barriga

2

Portuguese Concerns and Impact on Behaviour About Cybersecurity: A Comparison with the European Average . . . . . . . . João Vidal Carvalho and Avelino Victor

3

Impact of Social Engineering Attacks: A Literature Review . . . . . . . Walter Fuertes, Diana Arévalo, Joyce Denisse Castro, Mario Ron, Carlos Andrés Estrada, Roberto Andrade, Felix Fernández Peña, and Eduardo Benavides

4

Maritime Cyberdefense Actors Taxonomy for Command and Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Diego Edison Cabuya Padilla and Carlos Castaneda-Marroquin

5

Enabling Sustainable Management Through Kalman Filtering in glossaLAB: A Case Study on Cyber-Subsidiarity . . . . . . José María Díaz-Nafría, Manuela Cañizares-Espada, Isaac Seoane-Pujol, José Antonio Montaño-Gómez, and Teresa Guarda

6

Digital Transformation Impact in Security and Privacy . . . . . . . . . . . Andrea Díaz, Laura Guerra, and Eleazar Díaz

7

ISOLA: An Innovative Approach to Cyber Threat Detection in Cruise Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pedro Merino Laso, Loic Salmon, Maya Bozhilova, Ivan Ivanov, Nikolai Stoianov, Grigor Velev, Christophe Claramunt, and Yantsislav Yanakiev

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Contents

Analysis of the Cybersecurity in Wireless Sensor Networks (WSN): A Review Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Italo Fernando Parreño and Diego Fernando Avila

Part II 9

83

Computer Networks, Mobility and Pervasive Systems

Green Energy for Nodes of Hybrid Fiber-Coaxial Networks in the Transmission and Distribution of Signals to the End Customer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 Diego Cordero, Daniel Icaza, Zlata Borsic, and Aracely Del Pilar Tamayo

Part III Analysis and Signal Processing 10 Comparative Analysis of High Frequencies for the Broken Bar Fault Diagnosis Using MCSA and Park’s Vector Demodulation . . . . 119 William Oñate, Yessenia Gallardo, Ramón Pérez, and Gustavo Caiza Part IV Wearable Technology and Assistance Devices 11 Nexus of Electrospun Nanofibers and Additive Processing—Overview of Wearable Tactical Gears for CBRNE Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Ashok Vaseashta, Yuri Dektyar, Volodymyr Ivanov, Maris Klavins, Didem Demir, and Nimet Bolgen Part V

Simulation and Computer Vision in Military Applications

12 Towards Real-Time Drone Detection Using Deep Neural Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Cristhiam Pulido and Alexander Ceron 13 Detection of Opencast Mining Sites from Multispectral Satellite Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 Jorge Mario Londoño-Peláez 14 Impact of the Use of Simulators on Training and Specialization in the Navy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 Oscar Barrionuevo, Teresa Guarda, and José Avelino Victor 15 Comparison Between Two Novel Approaches in Automatic Breast Cancer Detection and Diagnosis and Its Contribution in Military Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 Jackeline Pereira-Carrillo, Diego Suntaxi-Dominguez, Oscar Guarnizo-Cabezas, Gandhi Villalba-Meneses, Andrés Tirado-Espín, and Diego Almeida-Galárraga

Contents

Part VI

ix

Weapons and Combat Systems

16 Model-Driven Engineering as the Interface for Tactical Operation Order of Mixed Robot/Human Platoons . . . . . . . . . . . . . . . 205 Nicolas Belloir, Jérémy Buisson, and Lionel Touseau Part VII

Chemical, Biological and Nuclear Defense

17 Decontamination of Seawater in a Harbor: Case Study of Potential Bioterrorism Attack . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 Ashok Vaseashta, Viktor Stabnikov, Maris Klavins, and Volodymyr Ivanov 18 Trace Detection of C-4 on Aluminum Using Mid-Infrared Reflection–Absorption Quantum Cascade Laser Spectroscopy . . . . . 227 Vladimir Villanueva-López, Annette M. Colón-Mercado, Karla M. Vázquez-Vélez, John R. Castro-Suarez, Leonardo C. Pacheco-Londoño Rivera, and Samuel P. Hernández-Rivera 19 Nanomaterials, Energy Devices and Defense: Metal Oxides and Supercapacitors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 Izabella Helena Werneck Soares Rezende, Felipe Silva Semaan, Luiz Eduardo Pizarro Borges, and Robson Pacheco Pereira 20 Cellulose Acetate/ABS Blends as Insulating Phases for 3D Printing of Carbon-Based Composite Sensors . . . . . . . . . . . . . . . . . . . . 249 Pedro Henrique Oliveira Amorim, Fernando Quirino Oliveira, Henrique Cardoso dos Santos, Robson Pacheco Pereira, Rafael Machado Dornellas, and Felipe Silva Semaan Part VIII Health Informatics in Military Applications 21 Stress Biomarkers Detection Using Non-invasive Methods for Textiles Integrated Sensors Development . . . . . . . . . . . . . . . . . . . . . 261 Cristina M. Cordas, M. João Nunes, Gabriel N. Valério, Alejandro Samhan-Arias, Ludwig Krippahl, José J. G. Moura, Gilda Santos, João P. Sousa, and Carlos Rouco 22 Detecting Autism Spectrum Disorder Using Data Mining . . . . . . . . . 271 Ana C. Guisasola, Diana Ferreira, Cristiana Neto, António Abelha, and José Machado 23 Classification of Dementia in Adults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 Cristiana Neto, Diana Ferreira, João Nunes, Luís Braga, Luís Martins, Luís Cunha, and José Machado

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24 VR-test ViKi: VR Test with Visual and Kinesthetic Stimulation for Assessment Color Vision Deficiencies in Adults . . . . 295 Sonia Cárdenas-Delgado, Mauricio Loachamín-Valencia, and Bryan Rodríguez-Reyes 25 Cardio Monitoring and Geolocation Control System for Guards of the Armed Forces with LoRa Technology . . . . . . . . . . . 307 Víctor Mora, Enrique Guzmán, David Ruete, Jairo R. Coronado-Hernández, and Gustavo Gatica Part IX Defense Engineering 26 A Methodological Proposal for Managing Operational Risk by Integrating Agility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Eduardo Recabarren-Domínguez, Felipe A. López, Fermín Ferriol, and Gustavo Gatica Part X

Leadership and e-Leadership

27 Chosen Aspects of Cultural Awareness Training in the Military. Case Study of Polish Troops’ Training in the years 2003–2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Marta Nowakowska, Kornel Ka´ntoch, João Reis, and Aneta Kazanecka Part XI

Planning, Economy and Logistics Applied to Defense

28 Green Mobility in the Portuguese Security Force: A Case Study of the Gendarmerie Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 Divo Gonçalves and Luís Malheiro 29 The Demographics of Defense and Security in Japan . . . . . . . . . . . . . 359 Jorge M. Bravo Part XII

Strategy, Geopolitics and Oceanopolitics

30 The Issues of Changing Geopolitical Challenges—The Case of Poland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373 Jerzy Ba´nski 31 EU’s Maritime Situational Awareness (MSA): Advancements and Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383 João Almeida Silveira 32 The Multifaceted Approach of China to Latin America and the Caribbean: A Commentary on the Defense Dimension . . . . 397 Andres Aguilera-Castillo, Juan M. Gil-Barragan, and Carlos Hernán Fajardo-Toro

Contents

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33 The Alignment of the Top Structure of the Portuguese Armed Forces. Focus on HR Strategy and Policies . . . . . . . . . . . . . . . . . . . . . . . 409 Helga Santa Comba Lopes and Jorge Filipe da Silva Gomes 34 Logistical Reflections on Developing a Forward Operating Base: Improving Logistics Sustainability in Durable Deployment of Air Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421 Manuel Antonio Fernández-Villacañas Marín and Ignacio Fernández-Villacañas Marcos Part XIII Information and Communication Technology in Education 35 Development of a 3D User Interface for Programming a Robotic Arm Using Virtual Reality . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435 Marcela Saavedra, Morelva Saeteros, Adriana Riofrio, and Gustavo Caiza 36 Augmented Reality for Learning Sign Language Using Kinect Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447 Karen Baldeon, William Oñate, and Gustavo Caiza 37 Virtual Education: University Students’ Experiences in the Time of Covid-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459 Margoth Luliana Berrio-Quispe, Dina Emeteria Chavez-Bellido, and Romel Ramón González-Díaz 38 StarsCTF: A Capture the Flag Experiment to Hack Player Types and Flow Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467 Divina Vitorino, Ig Ibert Bittencourt, and Geiser Chalco 39 Transfer of Knowledge and Technology to Ecuador’s Business Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479 Diana Morales-Urrutia, Lorena Rivera-Badillo, Tania Morales-Molina, and Christopher López-Samaniego 40 Technology-Based Companies: The Case of South American Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489 Tania Morales-Molina, Gabriel Núñez-Torres, Voroshilov Hernández-Espín, and Hugo Yánez-Rueda 41 University Educational Environment in the Information Exchange Agents Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501 Olga Shipunova, Elena Pozdeeva, Vladimir Evseev, Inna Romanenko, and Elena Gashkova

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42 The Role of Information Technologies in a Criminal Investigation for the Portuguese Security Forces: A Case Study of the Guarda Nacional Republicana . . . . . . . . . . . . . . . . . . . . . . 513 Amílcar Pereira, António Lobo de Carvalho, and Luís Malheiro 43 Knowledge Production in Universities: An Analysis Based on Human Capital Theory, a Case of Accredited HEIs in Colombia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529 Gustavo Moreno-López, Lillyana María Giraldo Marín, Ledy Gómez-Bayona, and Jesica Maria Rojas Mora Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541

About the Editors

Álvaro Rocha holds the title of Honorary Professor and holds a D.Sc. in Information Science, Ph.D. in Information Systems and Technologies, M.Sc. in Information Management, and B.C.S in Computer Science. He is a professor of Information Systems at the University of Lisbon—ISEG and a researcher at the ADVANCE (the ISEG Centre for Advanced Research in Management. He is also a president of the Iberian Association for Information Systems and Technologies (AISTI), a chair of the IEEE Portugal Section Systems, Man, and Cybernetics Society Chapter, and an editor-in-chief of both Journal of Information Systems Engineering and Management (JISEM) and Iberian Journal of Information Systems and Technologies (RISTI). Moreover, he has served as a vice-chair of experts for the European Commission’s Horizon 2020 program and as an expert at the COST—intergovernmental framework for European Cooperation in Science and Technology, at the Government of Italy’s Ministry of Universities and Research, at the Government of Latvia’s Ministry of Finance, at the Government of Mexico’s National Council of Science and Technology, and at the Government of Polish’s National Science Centre. Carlos Hernán Fajardo-Toro holds Ph.D. in Computer Science and M.Sc. in Supply Chain Management from the University of Vigo. He holds bachelor’s degree in Business Administration at Icesi University—Colombia. He was a professor at the University of Vigo, and currently, he is a professor at Konrad Lorenz University and leader of the research group of engineering at UNITEC in Bogotá Colombia. He is also a member of IEEE Computational Intelligence Society and the Iberian Association for Information Systems and Technologies (AISTI). He has developed consulting work for the process of redesign of processes and digitization in different entities, collaborating with the lifting and proposal of the information system of the intelligence division of the Colombian police—DIPOL. He is also in projects for the development of expert systems with the Colombian National Navy.

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About the Editors

José María Riola Rodríguez holds Ph.D. in Naval Architect from the Polytechnical University of Madrid (UPM), is a retired Captain of the Royal Navy of Spain, and holds a Degree in Psychology from the UNED University. He was a specialist for Managers in the European R+D+i program at the Spanish Office for Science and Technology (SOST) and a national representative at the European Defense Agency (EDA) and Science and Technological Organization (STO). He was a professor at the Higher Technical School of Naval Architects (ETSIN) of the Polytechnical University of Madrid during more than 20 years, and he is currently a professor and research group leader at the Admiral Padilla Naval School (ENAP). Among his works can be highlighted a seakeeping engineer at El Pardo Hydrodynamics Model Basin (CEHIPAR), director at the Watch and Technological Foresight System (SOST) of the Ministry of Defense, designer of the F-110 Frigates, and expert evaluator at the European Commission Sixth Research Framework and Horizon 2020 programs.

Part I

Cybersecurity and Cyberdefense

Chapter 1

An Analysis of Cyber Espionage Process Richard Rivera, Leandro Pazmiño, Fernando Becerra, and Jhonattan Barriga

Abstract The recent increasing cases released worldwide on espionage require a knowledge systematization study in this area. This paper presents a general scheme of cyber espionage process based on a literature review of remarkable cases which generated news about this topic and includes the malware report analysis made by security vendors. To understand the aspects involved and the approaches employed, we defined a general model to cover all phases used by cyber espionage. Our model considers two main aspects: first, the technical aspect driven by the rapid advance of information and communication technologies (ICT), as well as the software engineering level used by cybercriminals to create sophisticated malware; second, the human aspect influenced by the power struggle between nations and politicians, also considering the lack of technological knowledge or training in organizations. As a result, it allows the attackers using social engineering as the most effective mean for systems intruding.

1.1 Introduction Computer security has become an area of international, academic, technological, social, and economic importance for all nations. Malware development has become more sophisticated, and today, it is used as a tool to deploy cyber espionage [1]. R. Rivera (B) · L. Pazmiño · F. Becerra Escuela de Formación de Tecnólogos, Escuela Politécnica Nacional, Quito, Ecuador e-mail: [email protected] L. Pazmiño e-mail: [email protected] F. Becerra e-mail: [email protected] J. Barriga Facultad de Ingeniería de Sistemas, Escuela Politécnica Nacional, Quito, Ecuador e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_1

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Therefore, this topic should be an academic research field for computer science. In [2], it is mentioned that in 2020 there was an increase in cybersecurity attacks due to the appearance of the COVID-19. The increment targeted social engineering and malware; these types of attacks increased more than 86%. Attackers are taking advantage of this fear to get profits. Thus, we note the urgent need to carry out a systematized study of the existing knowledge of cyber espionage [3]. In a frequently cited statement from May 2013, General Keith Alexander, US National Security Agency Director, at that time described cyber espionage as “the greatest transfer of wealth in history” [4]. Traditional espionage dates back a long time, even now it continues to be studied as part of history. It has caused events of worldwide controversy. Currently, traditional espionage and cyber espionage support each other in large espionage operations. In recent years, due to the great development of information systems, malware development has grown as well with new and more complex encryption and obfuscation techniques. They have established the cyberspace as a large field where individuals, organizations, and nations could gain advantages illicitly accessing to confidential information using espionage techniques. However, this is not the only opportunity it offers to potential aggressors since it can also be used as a vehicle for any kind of illegitimate activities [5]. It could cause several damages including information leakage, privacy and financial losses, systems functionality deterioration, facilities destruction, legal and even war confrontations, among others. These cyber espionage illegal activities require a way to be marketed. As a result, the actors involved in those cybercrimes prefer using communications to keep their anonymity. It can be done using Tor to browse through specific and specialized pages on the deep Web where this type of illegal activities can be marketed. The methodology used within this work is a review of recent literature. We know that the most notable cyber espionage research is mainly performed by security service providers, and therefore, our research paper presents three main contributions. First, an analysis of the approaches used in cyber espionage. Second, an analysis of the role that malware plays in espionage. And third, an approximation of the general process used by most of the cyber espionage cases.

1.2 Cyber Espionage Cybercriminals are always looking for new techniques and methods to carry out their illicit activities, and therefore, each day there are increasingly better approaches to cyber espionage. Although more advanced techniques are being developed, two clear aspects remain: the human and the technical. The human aspect is motivated to initiate espionage by power, politics, economy, and manipulating people’s knowledge applying social engineering to achieve their objectives. On the other hand, the technical aspect is used by espionage to develop sophisticated and complex malware. To study these approaches, we have taken these aspects to perform a detailed analysis of the role played by them in cyber espionage, also including a

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new approach from the service perspective, which is gaining notoriety, and it is entitled as espionage-as-a-service (EaaS) [6]. Social Engineering The weakest link of the information security chain is the human being undoubtedly. So far, there are no known controls to protect users from this type of attack. In fact, these attacks are so effective that they do not require technical expertise to obtain valuable information. In [7], it is mentioned that social engineering is a social and psychological process when an individual extracts information of a target organization. Even a small portion of information gathered represents a door to compromise the confidentiality, availability, and integrity of the victim organization’s information. It is emphasized at [8] that the main target of this type of attack is people, so the attackers use persuasion and influence to manipulate their victims. Additionally, this attack is classified into the following: • Physical approaches. The attacker performs tasks to search physical information, such as searching the trash for “dumpster diving”. Robbery and extortion are other types of attacks that fit into this classification. • Social approaches. It is based on creating a relationship with the victim and using persuasion to obtain as much information as possible. • Social engineering reverses. In these attacks, the victim asks for help to the attacker. To do so, the attacker sabotage victims’ systems and then contact them to offer solving the problem, and finally, the attacker does so, but asks to the victim for sensitive information (for instance access credentials). • Technical approaches. The objective is to search for personal information of the victim over the Internet using tools like Maltego or gathering information from social networks [9]. • Socio-technical approaches. These attacks are the most powerful, since attackers use bait (abandoned USB devices, Web sites, or e-mails) to take advantage of people’s curiosity and obtain valuable confidential information. A social engineering attack is mainly composed of four phases: (i) research, (ii) building a trustful relation, (iii) exploiting the trust obtained, and (iv) using information [7]. These phases are recurrent until fulfilling the objective of using the collected information. Espionage-as-a-service The development of technologies, infrastructures, and services oriented to the cloud have created a market of technological services in constant growth. At first, the basic model of services in the cloud was only presented in three modalities: platform-as-a-service (PaaS), infrastructure-as-a-service (IaaS), and software-as-a-service (SaaS). Based on this, the XaaS model has been established as “Everything-as-a-service”. In other words, everything, or anything as-a-service, all the information and communication technology services were traditionally offered on site. Now, these services are delivered over the Internet for instance: monitor-asa-service with its acronym (MaaS), communications (CaaS), and security (SecaaS). In addition, attacks could also be offered as-a-service, and it is the case of espionageas-a-service with its acronym (EaaS). This model was proposed in [10], based on

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the raising cases of espionage in recent years related to the aerospace and defense industries. It proposes the following five phases: • Phase 1. Objective, the actors who offer the EaaS service may be the cybercriminals who will carry out the attack by themselves. In some cases, the actors may have a buyer for the information gathered, in others, they already collected the information and look for a buyer. • Phase 2. Recognition, the actor of the EAAS model employs various recognition techniques to identify attack vectors. The actor will be looking for a specific technology or product that the customer wants to acquire and is willing to pay for the service provided. • Phase 3. Infiltration, there are many ways to infiltrate a high-value network, even if it is well-defended like using a phishing attack against an easy target such as compromising a vendor and attacking the target with trusted credentials. In these attacks, the attacker can impersonate an employee if it is necessary using some of the techniques mentioned above in social engineering. • Phase 4. Extraction, once the information has been obtained, it is essential to leave the network without being detected. Professional cybercriminals will want to continue keeping access to victims’ networks for many years, so they will take patience and time to find and test the best methods for exploiting security holes. • Phase 5. Sale, stolen technology buyers will consider this expense as the cost of knowledge transfer because they could obtain third-party technologies at a lower cost. As well as many services of the XaaS model, a trial version of the products is offered. First, actors can offer a sample of the data stolen to initiate future relationships with potential customers.

1.2.1 The Role of Malware in Cyber Espionage Malware is malicious software intentionally designed to gain access or cause damage to computers or even networks. These malicious programs [11] can perform a variety of functions. They include stealing, encrypting, or deleting sensitive data, altering, or hijacking core computing functions and monitoring users’ computer activity without their permission. Malware uses deceitful vectors to execute or install itself on victim’s machines such as unauthorized download. It is distributed using vulnerability exploitation and performs a silent installation on the victim machine [12]. Malware is usually developed by cybercriminals [13]. In large-scale cyber espionage where nations or actors with good resources take place, it is worth to introduce the case of the United States and Israeli Stuxnet worm [14]. It was designed to attack and destroy Siemens’ supervisory control and data acquisition systems (SCADA). The system was used by Iran in the enrichment of uranium [4], and it is an example of cyber espionage with a specific target and destructive purpose. This worm is considered one of the most advanced malwares ever made for espionage. Other malwares were developed for more sophisticated

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espionage, and these malwares are Duqu, Flame, and Gauss which are the successors of Stuxnet [15]. To analyze a relevant case, in 2014 Symantec [16] security experts spent around eight months investigating one of the most sophisticated developments of computer spy malware ever seen to date. It was known as Regin, and it provides powerful tools to its creators to spy on governments, infrastructure operators, companies, researchers, and individuals. Attacks on Telcos appeared to be designed to gain access to calls routed through their infrastructure. Regin is a complex tool, and it has a modular design to allow the addition and removal of different malware functionalities. Loading and modularity features have been seen before, but Regin showed a high level of engineering and software development. For example, the tool has dozens of modules including functions such as remote access, screenshots, passwords theft, network traffic monitoring, and recovery of deleted files. The development of this malware must have taken months or even years, implying a significant investment of resources. It has been created by nations or cyber-crime organizations with a high level of sophistication and well suited for persistent surveillance operations [17]. An analysis performed to Regin by Symantec [16] stated that this malware did not operate on a specific target nor focus on any specific industry sector. Its infections were performed in a variety of organizations, including telecommunications companies, private and small business, government entities, and research institutes. In 2019, the President of the United States of America reached a nuclear agreement with Iran, meanwhile many U.S. companies and government agencies received attacks from both Iranian and Chinese hackers. These attacks were analyzed, detected, and mitigated by its Security Agency and by the company Fire-Eye [18]. Those attacks were aimed at obtaining confidential military information and commercial agreements. The frequent attacks carried out in cyber espionage are advanced persistent threat (APT) malware type such as [19, 20], which have the potential of a persistent attack by remaining hidden and maintaining backdoors in systems to maintain espionage if possible. Other malwares used are typical trojans with functionalities of key loggers, backdoors, and spyware. Depending on the attacker’s purpose and knowledge, they can use more advanced techniques as in the case of Reign.

1.3 General Process of Cyber Espionage In [1], Wangen presents six phases of a malware espionage attack. Cyber espionage process is executed in most cases to fulfill the goals of the attackers, where the typical attack vector and main tool used for espionage is malware, but also social engineering techniques may be the starting point of a cyber espionage attack [29]. Hence, our work extends the phases considered by Wangen, to present a general process for cyber espionage attacks. Most of the related work about cyber espionage is performed by security vendors [16–18], where they explain technically espionage cases and

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techniques applied by espionage groups. Considering previous research works about cyber espionage [1, 10, 15, 16, 21–30], we have analyzed 20 relevant cases of cyber espionage to identify and create a general process, and as a result, we established the following nine phases: reconnaissance, preparation, attack, infiltration, information gathering, maintenance, information leakage, information sale, and escape. Table 1.1 summarizes relevant cyber espionage cases. For each case or cyber espionage group, first it presents the year of publication of the case report. Then, it describes whether the cyber espionage case comprises each of the nine phases previously mentioned. Most of the cases comprise all these phases, except information sale phase, due to some reports of these cases do not mention the purpose of information leakage. But due to the nature of these types of attacks, it is considerable to argue that the sale of information may be one of the main targets of cyber espionage. The most recently reported cases do not present information about the attribution of the attack or the purpose of the information theft, probably because they are very recent cases, and the investigation is still ongoing. Finally, it shows the main attack vector, which in most cases is malware of various types, such as backdoor, trojan, remote access trojan (RAT), multi-featured malware, and spyware. There are other cases that indicate social engineering techniques such as spear phishing, e-mail attachments, spam campaigns, among others. Figure 1.1 shows an approach that encompasses the most common phases of the process used to carry out cyber espionage, and they are described below. Reconnaissance In the first phase of this process, the attacker conducts a thorough investigation of the target to gather useful information for later use in espionage. This information may include: emails, IP addresses, employee names, and any information that can help to deploy the attack. Due to the nature of this information, social engineering and more sophisticated techniques can be used to detect the technical vulnerabilities of the target. This phase requires effort and individuals with computer security skills, even though some activities to perform reconnaissance are automated. Preparation Depending on the objective, it can have two attack vectors based on different techniques. First, social engineering, its success relies on the preparation of the attack which requires a considerable amount of resources, time, knowledge of human psychology, language, culture, among others. Second, computer exploitation, the success of it depends on the sophistication of the malware used and the technical knowledge of the attackers to exploit possible vulnerabilities previously detected over the targeted computer systems. Attack Once the attacker has analyzed vulnerabilities of target, selected the attack vector and the techniques with the highest success factor, the attack is carried out. Next, the attacker will attempt to obtain access credentials to the target’s systems. Whether through malware, backdoor, or APT, the attacker could wait for some time to continue with the next phase or start with this one immediately, the latter can occur when the attacker believes he can be discovered. Once the attack has succeeded, internal reconnaissance is performed to escalate privileges. Most commonly, the intruder will try to get users and passwords that allow access to more resources by

Year

2006

2009

2010

2010

2011

2011

2012

2012

2012

2013

2013

2014

Cyber espionage cases

Mandiant’s APT1 [22]

GhostNet [23]

Stuxnet [15]

Flame [15]

Bundes Trojaner [31]

Icefog [27]

Mahdi [1]

Shamoon [30]

Gauss [15]

Red October [29]

Hacking team [24]

Careto [26]

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Preparation

Reconnaissance

Phases

Table 1.1 Phases in previous espionage cases

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Information gathering

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Information sale

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Escape

(continued)

Malware, social engineering

Malware (multi-feature)

Malware, social engineering

Malware (RAT)

Malware, social engineering

Malware, social engineering

Malware, social engineering

Malware (trojan)

Malware (RAT)

Malware (multi-feature)

Malware (RAT), phishing

Several malware families

Main attack vector

1 An Analysis of Cyber Espionage Process 9

2014

2014

2017

2017

2018

2018

2019

Fancy bear-APT28 [18, 32]

Oceanlotus-APT32 [33]

Sowbug [34]

Slingshot [35]

Chafer-APT39 [36]

Double dragon-APT41 [37]

2014

Dragonfly-energetic bear [28]

Regin [16]

Year

Cyber espionage cases

Table 1.1 (continued)

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Escape

Malware

Malware (backdoor)

Router vulnerability

Malware (backdoor, trojan)

Malware, social engineering

Malware (spy)

Malware (spy)

Social engineering

Main attack vector

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11

Fig. 1.1 Cyber espionage process

cracking common password hashes or performing brute force attacks. During the infiltration, the intruder tries to collect information from the systems, similar to foot printing but performed locally, to learn about the victim’s environment. There are even several tools typically used in ethical hacking that can facilitate this task (e.g., nmap, dnsenum, and dimitry). Infiltration This phase is crucial because an error could lead to the detection of the intruder. As the final part of this step, once the attackers have the necessary permissions, they could install key loggers or other specific malware that suits the attacker’s needs, such as installing new backdoors on multiple systems, creating a VPN connection using legitimate credentials, authenticating on Web portals. All this in order to silently maintain its presence within the systems. Information gathering Once the attacker knows the environment he is spying on, he must know what type of information he is looking for, such as images, text documents, e-mail files, and databases. It is important to know the language of the victim to facilitate the identification of files and directories of the systems. A specific type of malware to help in this task is advanced key loggers. They have functionalities that allow capturing the activities executed by the user, such as VoIP conversations, screen captures, typing any character, among others. Maintenance If the espionage will be conducted over a long period, the attackers must adapt to the changing environment. If one or more implemented backdoors are detected or compromised, attackers will identify and analyze the cause to prevent this from occurring with other backdoors distributed in the systems. Once they implement the appropriate measures such as creating new attacks to maintain their permanence in the attacked systems, they will check if they can perform more attacks or adapt their current infiltration to continue with the gathering information. Therefore, this is a continuous phase, meanwhile the espionage lasts. Information leakage This phase occurs simultaneously with the previous one, or it takes place after collecting all the information needed. The attacker usually compresses the information using formats such as RAR or 7z, protects them with a password, or applies encryption algorithms. To extract information, the attacker could transmit using proxy networks, such as the Tor network (also known as deep

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web), to hide his identity. In other cases, information is transmitted using the backdoors implemented in previous phases or even uploading information on servers that are compromised for later download. Information sale As discussed in the previous section, espionage is also offered as espionage-as-a-service. In this case, customers of the stolen information or technologies often try to manage their own R&D costs through this type of technology transfer, since the acquisition cost will be lower than their own R&D. Consequently, attackers use the stolen information as a bargaining chip with the interested party, to encourage future purchases and thus take advantage of the espionage processes they have in place. Escape This phase can occur for several reasons. Normally, once the attacker finishes gathering the information he was looking for, so he proceeds to leave the systems, perhaps leaving some backdoors open for future espionage. On the other hand, if the attacker is detected and has to abandon the mission, then he will try to erase any possible trace that could compromise his identity before leaving the systems.

1.4 Discussion With the new technological resources being developed continuously, it has been possible to find that cyber espionage has two aspects as its basis: the human and the technical [4]. Several techniques of cyber espionage emphasize the exploitation of the human aspect as the case of social engineering. This aspect is also influenced due to the constant struggle between organizations to control a specific market, and lately also, politicians and governments want to use espionage to find out ideas from their opponents, their campaign plans, among others [38]. An assessment performed by the U.S. intelligence service has concluded that their country is being targeted by a massive cyber espionage campaign, which represents a threat for the economic competitiveness of the nation. This assessment has identified China as the country that is aggressively trying to compromise computer systems from companies and institutions of the USA to maliciously obtain their data and use it for their own benefit.

1.5 Conclusions All countries, companies, and individuals are exposed to a computer attack and even cyber espionage. It is imperative to understand its operation. The model considers in a general way some possible scenarios where this activity is performed, deeply analyzing the influence of human aspect and its relation to social engineering as well as technical aspects involved by analyzing the role of malware. Understanding the

1 An Analysis of Cyber Espionage Process

13

process presented in this work, will be useful for organizations and individuals to implement necessary security measures, to avoid compromising the confidentiality of their information, as well as to notice about the importance of training on information security awareness, since as this research shows, the common way to access intrusions for espionage is through social engineering techniques. The most relevant studies in recent years on cyber espionage have been developed by companies that sell security products or services. This is an issue that must be analyzed by the academic and scientific community because espionage has shown an accelerated growth boosted by technological advances and software engineering improvements used in a bad way to develop complex malware. In this paper, we have analyzed cases of cyber espionage in the period from 2006 to 2019. As future work, it is proposed to perform an analysis on the impact of COVID-19 in the deployment of new cyber espionage attacks.

References 1. Wangen, G.: The role of malware in reported cyber espionage: a review of the impact and mechanism. Inf. 6(2), 183–211 (2015) 2. Lallie, H.S., Shepherd, L.A., Nurse, J.R., Erola, A., Epiphaniou, G., Maple, C., Bellekens, X.: Cyber security in the age of covid-19: a timeline and analysis of cyber-crime and cyberat-tacks during the pandemic. Comput. Secur. 105, 102248 (2020) 3. Ding, Y., Zhou, X., Liu, J., Lin, F., An, J.: Security in cyberspace: issues, challenges and suggestion. In: International Conference on Cyberspace Technology, pp. 428–430 (2013) 4. Duvenage, P., Solms, S.: The case for cyber counterintelligence. In: 2013 International Conference on Adaptive Science and Technology (ICAST), pp. 1–8 (2013) 5. Maroto, J.P.: El ciberespionaje y la ciberseguridad. In: La violencia del siglo XXI. Nuevas dimensiones de la guerra, pp. 45–76. Instituto Español de Estudios Estratégicos (2009) 6. Walubengo, J., Mutemi, M.: Treatment of kenya’s internet intermediaries under the computer misuse and cybercrimes act. Afr. J. Inf. Commun. 21, 1–19 (2018) 7. Thornburgh, T.: Social engineering. In: Proceedings of the 1st Annual Conference on Information Security Curriculum Development—InfoSecCD, p. 133 (2004) 8. Krombholz, K., Hobel, H., Huber, M., Weippl, E.: Social engineering attacks on the knowledge worker. In: Proceedings of the 6th International Conference on Security of Information and Networks, SIN, pp. 28–35. ACM, USA (2013) 9. Niekerk, B., Maharaj, M.: Social media and information conflict. Int. J. Commun. 7, 23 (2013) 10. Taia. global: Espionage-as-a-service: The tries framework report—Taia global, Inc. (2015) 11. Sebastian, M., Rivera, R., Kotzias, P., Caballero, J.: Av class: a tool for massive malware labeling. In: Research in Attacks, Intrusions, and Defenses, pp. 230–253 (2016) 12. Guevara, R.R.: Tools for the detection and analysis of potentially unwanted programs. Ph.D. thesis, ETSI Informatica (2018) 13. Kotzias, P., Matic, S., Rivera, R., Caballero, J.: Certified PUP: abuse in authenticode code signing. In: ACM Conference on Computer and Communication Security (2015) 14. Langner, R.: Stuxnet: dissecting a cyberwarfare weapon. IEEE Secur. Priv. 9(3), 49–51 (2011) 15. Bencsath, B.: Duqu, flame, gauss: followers of stuxnet. In: RSA Conference Europe (2012) 16. Response, S.S.: Regin: top-tier espionage tool enables stealthy surveillance (2014) 17. Symantec: Istr20 symantec internet security threat report trends for 2015 18. FIREEYE: Apt28: a window into Russia’s cyber espionage operations? (2015)

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19. Bonfante, G., Marion, J., Sabatier, F., Thierry, A.: Analysis and diversion of duqu’s driver. In: 2013 8th International Conference on Malicious and Unwanted Software: The Americas (MALWARE), pp. 109–115 (2013) 20. Sood, A.K., Enbody, R.J.: Targeted cyberattacks: a superset of advanced persistent threats. IEEE Secur. Privacy 11(1), 54–61 (2013) 21. Caso, J.: The rules of engagement for cyber-warfare and the Tallinn manual: a case study. In: 2014 IEEE 4th Annual International Conference on Cyber Technology in Automation, Control, and Intelligent Systems (CYBER), pp. 252–257 (2014) 22. Center, M.I.: Apt1: exposing one of China’s cyber espionage units. Mandian.com (2013) 23. Deibert, R.J., Rohozinski, R., Manchanda, A., Villeneuve, N., Walton, G.: Tracking ghost-net: investigating a cyber espionage network (2009) 24. Hacking Team: Hacking Team: Remote Control System. https://web.archive.org/web/201803 24235809. http://hackingteam.it (2013) 25. Mandiant, A.: Exposing one of China’s cyber espionage units Feb. 2013 26. Min, B., Varadharajan, V.: Feature-distributed malware attack: risk and defense. In: Europe—an Symposium on Research in Computer Security, pp. 457–474. Springer (2014) 27. Nath, H.V., Mehtre, B.M.: Static malware analysis using machine learning methods. In: International Conference on Security in Computer Networks and Distributed Systems, pp. 440–450. Springer (2014) 28. Response, S.I.: Dragonfly: cyber espionage attacks against energy suppliers (2014) 29. Wilkinson, C., Eriksen, C., Penman, T.: Into the firing line: civilian ingress during the 2013 “red October” bushfires. Aust. Nat. Hazards 80(1), 521–538 (2016) 30. Zhioua, S.: The middle east under malware attack dissecting cyber weapons. In: 2013 IEEE 33rd International Conference on Distributed Computing Systems Workshops, pp. 11–16. IEEE (2013) 31. Kubitschko, S.: Hackers’ media practices: demonstrating and articulating expertise as interlocking arrangements. Convergence 21(3), 388–402 (2015) 32. FIREEYE: Apt28: at the center of the storm (2017) 33. FIREEYE: Cyber espionage is alive and well: apt32 and the threat to global corporations (2017) 34. Broadcom: Sowbug: cyber espionage group targets South American and Southeast Asian governments (2017) 35. SECURELIST: The slingshot apt faq (2018) 36. FIREEYE: Apt39: an Iranian cyber espionage group focused on personal information (2019) 37. FIREEYE: Double dragon apt41, a dual espionage and cyber crime operation (2019) 38. Li, F., Lai, A., Ddl, D.: Evidence of advanced persistent threat: a case study of malware for political espionage. In: 6th International Conference on Malicious and Unwanted Software (MALWARE), pp. 102–109 (2011)

Chapter 2

Portuguese Concerns and Impact on Behaviour About Cybersecurity: A Comparison with the European Average João Vidal Carvalho and Avelino Victor Abstract The advancement of the Internet has great potential for the well-being of citizens and business growth, but this new paradigm also entails cybersecurity challenges that can have high economic impacts. The growth of Internet use is also leading to a general increase in cybercrime concerns as well as the number of users’ victims of this permanent threat. This reality is also very present in Portugal as well as in other European countries. In this context, it is important to know some indicators associated with cybersecurity, to take the best measures/actions in a reasoned way, and to combat this phenomenon. This article presents the results of a study carried out in 2019 by the European Commission, whose analysis helps to understand the Portuguese positioning in the concerns and attitudes about cybercrime, to the average of the European Community citizens. Analysing this study, it was possible to perceive that the Portuguese’s concerns about cybercrime are in line with the average of the European citizens, although the percentage of Portuguese that takes attitudes and actions to combat cyber-threats is a little bit above the average recorded by citizens of European countries.

2.1 Introduction The increasing use of a growing variety of devices that can access the Internet has contributed to the overall growth of Internet use. The online universe has grown dramatically in recent years. This phenomenon enhances the quality of life of an individual through the ability to access from any place and at any time the essential

J. V. Carvalho (B) Politécnico Do Porto, ISCAP, CEOS.PP, S. Mamede de Infesta, Portugal e-mail: [email protected] A. Victor Instituto Universitário da Maia, Instituto Politécnico da Maia, Maia, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_2

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information in services such as electronic administration, electronic health, education, leisure, and shopping. However, the consequent opening of databases and information systems of public administration and other business entities inevitably leads to the possibility of such openness being exploited by malicious organized individuals or groups [1]. The advancement of information systems and technologies (IST) and digital economy has great potential for the well-being of citizens and business growth, but this new paradigm also entails cybersecurity challenges that can have high economic impacts. Simultaneously with the growth of Internet users in recent years, there has been an exponential increase in the use of social networks. Of all users who access the Internet, around 80% of them use some social network. In this context, there is an intensification in citizens’ concerns in most of the different types of threats associated with cybersecurity [2], and consequently, concerns have increased on the part of the leaders of the member states of the European Union. Cybersecurity has been on the agenda of top leaders of States and organization managers for some time. The changes resulting from a pandemic situation of a great increase in remote work created new opportunities for hackers and catapulted cybersecurity to the top of the agendas of state leaders. On the one hand, the weaknesses of the cyber universe have increased, because people who work remotely are not prepared to take care of the security of their computer and the new work environment. This combined with a set of significant and rapid changes that companies had to make in their IST environment to accommodate employees who started to work remotely. This pandemic has enabled cyber-threats to increase like never before, taking advantage of these changes to enter companies’ computers, systems, and IST environments [3]. These factors have led to an increase in the number and visibility of cyber-attacks and have made cybersecurity an even more important topic for citizens and leaders. The European Union is leading the effort to regulate defence against cyber-threats in both legal and strategic areas. Moreover, governments invest a lot of money to train technicians to defend systems against cyber-attacks [4] or to empower them in the case of an eventual cyberwar [5]. Through this effort, the European Commission sought to create legislation to criminalize such crimes, increase cybersecurity capacity, and promote the exchange of information between countries [1, 6]. As part of the European Community, Portugal is highly involved in this European strategy. In this sense, also in Portugal, there is a growing concern about cybersecurity, both at the state and at the citizen level. Nevertheless, it is important to understand how the Portuguese citizens face this new paradigm and specially to understand how far they are compared to other Europeans. This comparison is made at the level of concerns about cybersecurity as well as the behaviour they have to deal with this phenomenon. The analysis of this comparison will allow Portugal to position itself against the other European countries in this sensitive and important area for today’s citizens and businesses. In sum, the study presented here analyses the Portuguese concerns and impact on behaviour about cybersecurity. In this article, we will initially present the description of a study about cybersecurity carried out in Europe in 2019. In the next section, the citizens’ concerns about

2 Portuguese Concerns and Impact on Behaviour …

17

cybersecurity will be compared between the Portuguese and the European average. Subsequently, the behaviour and attitudes of the Portuguese will be compared with other European citizens regarding measures to mitigate these cyber-threats. Finally, we will present the discussion about the results of the study, to identify measures that have mitigated this phenomenon.

2.2 Cybersecurity Study in Europe The Special Eurobarometer series on cybersecurity is the most important resource for learning about cybercrime in Europe [7]. The importance of this resource stems from the treatment and analysis of representative data of different types of cybercrimes collected in the last seven years of the 28 member states of the European Community. The most recent report covers a wide range of threats and aims to understand European citizens’ experiences and perceptions of cybersecurity issues. That is the survey adopted in this report analyses the nature and frequency of Internet use by citizens; their awareness and experience of cybercrime; and the level of concern they feel about this type of crime. In this paper, we analyse only the perceptions of Internet users to cybersecurity, whether they have experienced or been a victim of cybercrime, and the level of concern they feel about it. This survey adopted in this report was carried out between the 8th and the 22nd October 2019, by TNS opinion and social,1 carried out the wave 87.4 of the Eurobarometer survey, on request of the European Commission. The wave 87.4 covers the population of the respective nationalities of the European Union Member States, resident in each of the 28 member states and aged 15 years and over. In total, 27,607 respondents (1007 from Portugal) from different social and demographic groups were interviewed face-to-face at home in their mother tongue on behalf of the Directorate-General for Home Affairs. The methodology used is that of Eurobarometer surveys as carried out by the Directorate-General for Communication (“Strategic Communication” Unit).2 The findings from this survey update previous surveys that were carried out in 2013 [8], 2015 [9], 2017 [7], and 2018 [10]. The 2019 survey [11] repeats most of the questions asked in 2015 to provide insight into the evolution of knowledge, behaviour, and attitudes towards cybersecurity in the European Union. The study presented in this paper focuses on respondents’ concerns about various aspects of online security. It also discusses changes respondents have made to their behaviour as a result of concerns about security and privacy.

1

TNS opinion & social is a consortium created between TNS political and social, TNS UK and TNS opinion. 2 http://ec.europa.eu/public_opinion/index_en.htm.

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2.2.1 Europeans’ Concerns About Cybersecurity Respondents who use the Internet were asked if they had any concerns about the security of their Internet transactions. It should be noted that these descriptions were presented to the respondents in the same terms. To assess the levels of concern of respondents, the following question was asked: What concerns do you have, if any, about using the Internet for things like online banking or buying things online?

This question could be answered based on multiple possibilities: Table 2.1 presents the different possibilities adopted by respondents. More than four in ten (46%) Internet-using respondents (European average) are concerned about someone misusing their personal data, while 41% are concerned about the security of online payments [11]. These are the only concerns mentioned by at least one quarter. On the other hand, the Portuguese are very concerned about someone misusing their personal data (54%) and less with online payments (only a third). The EU average shows that just over one in five are concerned they cannot inspect goods or ask a real person for advice or are afraid they might not receive the goods or services they buy online (both 22%) [11]. The values of these two concerns for the Portuguese are slightly lower. About a third of respondents either do not know or are not concerned with these cybersecurity issues. In this last study of 2019, we can see that the percentage of respondents worried about any type of threat is always higher than those that do not have concerns. Respondents have become more concerned (compared to the last years) about “misuse of personal data” and “security of online payments” that present percentages close to 50%. On the other hand, respondents that do not have concerns have declined over the past few years, now standing at just 15% of the European average. Comparing the levels of concern of the Portuguese (Table 2.1), we can see that they are in line with the average of the Europeans. However, there is one concern that worried more the Portuguese, namely “misuse of personal data” (8 pp above the EU average). In contrast, Portuguese concern about not being able to inspect the goods or ask a real person for advice is 8 pp below the EU average. It should be noted that Table 2.1 Concerns of Portuguese PT and Europeans EU average in cybercrimes PT (%)

EU (%)

You are concerned about someone misusing your personal data

54

46

You are concerned about the security of online payments

32

41

You are concerned about not being able to inspect the goods or ask a real person for advice

14

22

You are afraid they might not receive the goods or services they buy online 20

22

Other/

6

10

None/

21

15

5

6

Do not know

2 Portuguese Concerns and Impact on Behaviour …

19

one in five Portuguese says that he is not concerned with the threats (6 pp above the average for European citizens).

2.2.2 Impact on Behaviour Respondents who use the Internet were asked whether they had changed their online behaviour as a result of concerns about security and privacy. Almost all respondents have changed the way they use the Internet as a result of security concerns [11]. To analyse the impact on the behaviour of respondents, the following question was asked: Has concern about security issues made you change the way you use the Internet in any of the following ways?

This question could be answered based on multiple possibilities. Table 2.2 presents the different possibilities adopted by respondents. Although only a minority of Internet users have taken each individual action, 93% of respondents overall have taken at least one, and just 4% spontaneously say they have not taken any of these actions because they are not concerned about online security [11]. Table 2.2 Changes in Internet usage in response to concerns about cybersecurity PT (%) EU (%) You do not open emails from people you do not know

43

42

You have installed anti-virus software

35

42

You only visit Websites you know and trust

34

32

You only use your own computer

26

32

You are less likely to enter personal information on Websites

33

30

You use different passwords for different sites

20

29

You use more complex passwords than in the past

15

26

You do not connect to the Internet through unsecured hot spots

15

23

You regularly change your passwords

14

21

You have changed your security settings (e.g. on your browser, online social 10 network, and search engine)

13

You use biometric features (e.g. facial recognition and fingerprint) You are less likely to buy goods or services online You have cancelled an online purchase because of suspicions about the seller or website You are less likely to bank online You use a password manager

4

13

12

10

2

9

11

8

3

7

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J. V. Carvalho and A. Victor

Comparing the behaviour of the Portuguese with the average of the European respondents (Table 2.2), we can see that in some cases the percentage of attitudes in response to cybersecurity threats are very similar, namely “not open emails from people you do not know”, “only visit Websites you know and trust”, “avoid enter personal information on Websites”, “have changed your security settings”, “avoid buy goods or services online”, and “avoid use bank online”. However, there are other attitudes whose percentages of cases are more divergent between the Portuguese and the European average. Indeed, “have installed anti-virus software”, “not connect to the Internet through unsecured hot spots”, “use different passwords for different sites”, “regularly change your passwords”, and “cancelled an online purchase because of suspicions about the seller or website” present a percentage between 7 and 9% difference and especially “use more complex passwords than in the past” which presents an 11% difference. In all these cases, the percentage of Portuguese is below the average for European citizens. In Portugal, only a minority of respondents (less than 4%) have referred that use biometric features or cancel an online purchase because of suspicions about the seller or Website or use a password manager. In contrast, the Portuguese said that they have installed anti-virus software (35%) or only visit websites that they know and trust (34%) or avoid entering personal information on websites (33%) or especially, not open emails from people you don’t know (43%).

2.2.3 Impact on the Security of Online Accounts Continuing in the context of the attitudes adopted by the respondents who use the Internet, the inquiry asked whether they had changed their passwords to access accounts for a selected list of online services. To analyse the impact on behaviour of respondents, the following question was asked: For which of the following online services, if any, have you changed the password you use to access your account(s) during the last 12 months?

This question could be answered based on multiple possibilities. Table 2.3 presents the different possibilities adopted by respondents in order of importance. The large majority of Internet-using European respondents have changed their password for at least one online service in the past 12 months. Email account passwords were the most commonly changed (37%), followed by online banking (30%) and online social network passwords (25%) [11]. More than one in ten say they changed their password on a shopping Website (16%), while 9% mention public service Websites, and 7% changed their password for online games. One in ten say they have changed a password on another service. It should be noted that about a third of European respondents have not changed any passwords to access accounts and services online during the last 12 months, while 11% say they do not know [11]. Over the longer term, the percentage who have changed their online banking password has increased five points since 2014 (from 25 to 30%). The percentage

2 Portuguese Concerns and Impact on Behaviour … Table 2.3 Changing the password used to access accounts during the past 12 months in response to cybersecurity concerns

21 PT (%)

EU (%)

Email

25

37

Online banking

15

30

Online social networks

16

25

Shopping Websites

6

16

Public service Websites

6

9

Online games

3

7

Other

7

10

None

48

31

Do not know

21

11

who have changed their email password has started to increase again since 2018 (+3 pp) after steadily declining since 2014 (from 45 to 37%), while the percentage who have changed their online social network password remains four points lower than in 2014 (from 29 to 25%). The percentages of European respondents who changed their passwords in shopping Websites (16%), public service Websites (9%), and online games (7%) have remained stable since 2014. Table 2.3 presents the percentage of Portuguese and European citizens that have changed passwords to access accounts and services online during the last 12 months. The password change most mentioned by a quarter of the Portuguese is that of email account. It is observed that in most of the types of cases the Portuguese are well below the average of Europeans. In addition, the percentage of Portuguese who do not change the passwords for accessing their accounts is very close to 50%, well above the European average (17%). Despite this considerable value, the percentage has dropped 11 pp since the last study was carried out in 2018 [10].

2.2.4 Attitudes to Cybersecurity Still, in the context of the attitudes adopted by the respondents who use the Internet, the inquiry asked how respondents perceive cybersecurity. To analyse the respondents’ perception of cybersecurity, the following question was asked: Could you please tell me to what extent you agree or disagree with each of the following statements?

This question could be answered based on multiple possibilities. Table 2.4 presents multiple statements to which respondents agree or disagree. Based on the average European citizen, more than three-quarters of respondents say that they avoid disclosing personal information online (78%) or that they believe there is an increased risk of being a victim of cybercrime (76%). Nearly seven in ten (68%) are concerned that online personal information is not being kept secure by

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Table 2.4 Statements about respondents’ perception of cybersecurity PT (%) EU (%) You avoid disclosing personal information online

73

78

You believe the risk of becoming a victim of cybercrime is increasing

66

76

You are concerned that your online personal information is not kept secure by 66 Websites

68

You are concerned that your online personal information is not kept secure by 64 public authorities

61

You are able to protect yourself sufficiently against cybercrime

52

45

Websites. Just over six in ten (61%) respondents are concerned that public authorities do not keep their personal information secure. Just over half (52%) say that they are able to protect themselves against cybercrime. Compared to the previous wave, respondents are now less likely to agree they can protect themselves against cybercrime (−9 pp) [11]. Comparing with previous studies, it appears that the majority are aware of problems associated with cybercrime but confidence about being able to protect themselves is declining. In this context, the concerns of the Portuguese are in line with the concerns of the average European citizen. The Portuguese are also primarily concerned with avoid disclosing personal information online (73%). On the other hand, like the average of European citizens, the lowest percentage (45%) is presented by respondents who are able to protect themselves sufficiently against cybercrime. This last statement was the one that presented the greatest decrease (8 pp in the case of the Portuguese and 9 pp in the case of European citizens). It is important to emphasize that all these attitudes of the Portuguese have a percentage below the European average, except “concerned that your online personal information is not kept secure by public authorities” which is slightly higher (+3 pp) compared to the EU average.

2.3 Discussion It is estimated that more than one million people worldwide become victims of cybercrime every day [12]. The possibilities for abuse are large ranging from unauthorized access to system data and resources to identity theft of users to actions that significantly or completely degrade the functionality of information systems. Besides, sophisticated worms and viruses spread so fast in the network that the collection of them without special devices and highly qualified staff is almost impossible [13]. Such threats not only affect users and information systems that are the target of the attack but to a greater or lesser extent undermine the confidence of users and business entities, which ultimately leads to a slowdown in technological development.

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Comparing the experience of the Portuguese with the average of the European respondents, we can see that the European citizens, on average, are more concerned about the threats associated with cybercrime. However, in most of the indicators analysed, there is a similarity in the attitudes and procedures applied to mitigate this threat [11]. In short, it can be seen that misuse of personal data and the security of online payments remain the most common concerns about Internet transactions, almost all respondents have changed the way they use the Internet as a result of security concerns, Internet users are most likely to have changed email or online banking passwords in the last 12 months, and the majority of European citizens are aware of problems associated with cybercrime, but confident about being able to protect themselves is declining [11]. Based on the data analysed by this study, there is a growing need to combat this phenomenon. Knowing that there is a growing concern about cybercrimes and an increase in cases where people are victims justifies intervention through public policies to act to combat these threats. In this sense, new and more restrictive legislation on cybersecurity should be implemented, which in the medium term may contribute to the improvement of these results. In addition to new legislation, the European Commission through the European Cybercrime Centre (EC3)3 should increase mechanisms to stimulate measures to help protect European citizens and businesses against these growing cyber-threats. This Centre leads European entities to combat cybercrime and focus on illegal online activities by organized crime groups, particularly those that generate large criminal profits, such as online fraud involving credit cards and bank credentials [12]. Also Portugal through the CNCS,4 that is the operational coordinator and the Portuguese national authority specialized in cybersecurity working in this field with State entities [14], it should operationalise measures to make the Portuguese aware of this phenomenon, which is so threatening for the protection of citizens’ personal information. Another way of improving the results of this study is related to the level of knowledge and information of the citizens themselves. Users can do more to protect themselves, provided they have a proactive attitude stemming from an informed awareness of the devastating threats associated with the use of the Internet.

2.4 Conclusion Despite the permanent development of information technologies and new forms of potential abuse, Internet users expect that every information system is able to reject attacks that could jeopardize system data. Additionally, with the exponential increase in the use of social networks, the Internet users, on their initiative, publish a large number of their personal information in cyberspace, without thinking that this information could be used against them. This behaviour creates a world of 3 4

https://www.europol.europa.eu/about-europol/european-cybercrime-centre-ec3. CNCS—Centro Nacional de Cibersegurança—National Cybersecurity Centre.

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opportunities for those who want to take advantage of the information of others. This reality leads to a marked lack of trust in systems and an ongoing concern with security issues. These concerns are well present in the results of the survey analysed here. The Portuguese and the European citizens in general have the same degree of concern about cybersecurity and the threats associated with cybercrime. It is noted that these concerns have not diminished over time and therefore actions are justified to reverse this situation. Actions should be taken in a coordinated manner to combat large-scale organized cybercrime and impose data protection standards on providers of online services. Besides that, the findings of this survey also highlight the importance of greater public education on types of cybercrime, their consequences, and ways in which their impact can be avoided or mitigated. In the near future, it will be important to carry out a new survey with the same format, which allows knowing the evolution of these cybercrime indicators over time, as well as, to check if the combat measures implemented are taking effect or require reinforcement or adjustment.

References 1. Carvalho, J.V., Carvalho, S., Rocha, Á.: European strategy and legislation for cybersecurity: implications for Portugal. Cluster Comput. 23, 1–10 (2020) 2. Carvalho, J.V., et al.: Portuguese concerns and experience of specific cybercrimes: a benchmarking with European citizens. Micrads’19—Multi. Int. Conf. Res Appl. Defense Secur. Rio de Janeiro, Brazil (2019) 3. Ahmad, T.: Corona virus (COVID-19) pandemic and work from home: challenges of cybercrimes and cybersecurity. Available at SSRN 3568830 (2020) 4. Arcuri, M., Brogi, M., Gandolfi, G.: How does cyber crime affect firms? The effect of information security breaches on stock returns. In: Proceedings of the First Italian Conference on Cybersecurity (ITASEC17), Venice, Italy (2017) 5. Padilla, V.S., Freire F.F.: A contingency plan framework for cyber-attacks. J. Inf. Syst. Eng. Manage. 4(2) (2019) 6. Barros, G.: A Cibersegurança em Portugal. Gabinete de Estratégia e Estudos—Estudos Económicos 56 (2018) 7. Comission, E.: Europeans attitudes towards cyber security. Special Eurobarometer 464a (2017) 8. Comission, E.: Cyber security. Special Eurobarometer 404 (2013) 9. Comission, E.: Cyber security. Special Eurobarometer 423 (2015) 10. European, C.: Internet security (EB90.2, November 2018). Special Eurobarometer EB480 (2018) 11. Comission, E., Europeans’ attitudes towards cyber security. Cyber security. Special Eurobarometer 499 (2019) 12. Comission, E.: Cyber security. Special Eurobarometer 390 (2012) 13. Jaramillo, L.E.: Malware threats analysis and mitigation techniques for compromised systems. J. Inf. Syst. Eng. Manage. 4(1) (2019) 14. CNCS. Centro Nacional de Cibersegurança. 2018 [13/12/2018]. Available from: https://www. cncs.gov.pt/en/about-us/

Chapter 3

Impact of Social Engineering Attacks: A Literature Review Walter Fuertes, Diana Arévalo, Joyce Denisse Castro, Mario Ron, Carlos Andrés Estrada, Roberto Andrade, Felix Fernández Peña, and Eduardo Benavides Abstract Social engineering is the practice, which allows attackers to obtain sensitive or confidential information froma user of a system or organization, exploiting specific characteristics of the human being. This is considered to be still one of the most threatening attacks within the digital world. The current study aims to explore social engineering attacks with significant impact. We conducted a systematic literature review from 2011 to 2020, applying the Barbara Kitchenham Methodological Guide. The main findings are concentrated in companies, financial institutions, and even vehicle vulnerabilities, which has caused economic losses and a decrease in the image and reputation loss damage of individuals and companies. Most of the causes are related to human behavior, such as innocence, unconsciousness, and lack of trainW. Fuertes (B) · D. Arévalo · J. D. Castro · M. Ron · C. A. Estrada · E. Benavides Department of Computer Science, Universidad de las Fuerzas Armadas ESPE, Sangolquí, Ecuador e-mail: [email protected] D. Arévalo e-mail: [email protected] J. D. Castro e-mail: [email protected] M. Ron e-mail: [email protected] C. A. Estrada e-mail: [email protected] E. Benavides e-mail: [email protected] R. Andrade Faculty of Systems Engineering, Escuela Politécnica Nacional, Quito, Ecuador e-mail: [email protected] F. F. Peña Faculty of Engineering in Electronic and Industrial Systems, Universidad Técnica de Ambato, Ambato, Ecuador e-mail: [email protected] ESAI, Universidad Espíritu Santo, Guayaquil, Ecuador © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_3

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ing or capacity. The primary victims are newly contracted workers, people with a certain lack of knowledge, celebrities, politicians, and middle and senior managers. Furthermore, social networks and e-mail are the primary sources from which attacks occur. Finally, we identified that Phishing and Ransomware are the most significant attacks on companies and individuals.

3.1 Introduction Social engineering (SE) is one of the most popular, dangerous, and threatening attacks within the digital environment. It has become more prevalent due to humans’ vulnerability since it is difficult to protect the target [37] automatically. These attacks consist of manipulating people who have less knowledge of them [17]. It is demanding to keep devices safe from these attacks since it is becoming a more significant challenge for technology providers and consumers [13]. Organizations and governments are interested in securing sensitive information. Technology on its own is not safe enough against the attacks mentioned above [30]. SE attacks can cause severe damage to their victims, whether it is social, reputational, or economic damage, [36]. The complexity of the attacks, exploiting the human component, is high, and frequently, the human layer makes cyberattacks possible [23, 44]. Among the most common SE attacks are fraud, intrusion, extortion, espionage, and identity theft, which organizations have to face and be alert to. As a consequence, these attacks have a considerable impact. However, it is unknown what efforts have been recently developed focused on measuring such attacks and their corresponding impact on many people. The current research aims to analyze the literature that allows us to realize the real impact of SE attacks from 2011 to 2020. Therefore, this study conducted a systematic literature review (SLR) based on Kitchenham’s guidelines proposed in [25] and implemented in [37]. The results indicate relevant information on the impacts generated, the associated causes, and the primary victims. We also report the main mitigation techniques for SE attacks. Specifically, most of the causes are related to human behavior, which generates economic losses and reputation damage. Finally, social networks and e-mail are the primary sources from which attacks originated. The remainder of the article is organized as follows: Sect. 3.2 describes the steps developed in the literature review. In Sect. 3.3, we present the results obtained when performing the SLR on SE. Section 3.4 outlines the importance of the findings and explains the new insight that emerged as a result. Finally, we detail conclusions and future research in Sect. 3.5.

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3.2 Methods 3.2.1 Research Questions RQ1. Which are the types of SE attacks with a significant impact? RQ2. Which are the causes of SE attacks? RQ3. Which are the best targets to attack? RQ4. Which are the new techniques and tools to mitigate SE attacks?

3.2.2 The Inclusion and Exclusion Criteria We excluded articles that are not written in English and do not fall within 2011 to 2020. This temporal cut was chosen due to the complexity of encountering studies determining SE attacks’ impact. Hereby, we applied the following inclusion criteria: • Articles which content reveals the impact of SE attacks in any context. • Articles whose publication journal or conferences are in a Q3 quartile or higher. • Articles that include mathematical calculations with quantitative results. We also excluded qualitative studies, which may have relevant work due but are not useful regarding our research project’s nature and quantitative scope.

3.2.3 Search Process The search process was an exploration mainly on the scientific databases, of which the main ones were IEEE, SCOPUS, SPRINGER, ACM, and ELSEVIER. We considered articles from journals and proceedings since 2015 in the first phase of the search and from 2011 within the second search. We applied this search string as primary: ((social engineering attacks AND (impact AND consequences) OR (Types of social engineering attacks AND significant impact) OR (social engineering causes OR targets) AND (social engineering attacks OR (Tools AND techniques AND algorithms)) AND (mitigation of social engineering attacks)). We discovered 115 articles with this string and uploaded them to the Rayyan tool, a free web application for systematic reviews. Then we applied the inclusion and exclusion criteria to preselect 40 of them. Subsequently, we read the title, abstract, development process, and conclusions. With this review, we selected some 18 primary studies.

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3.2.4 Analysis of Primary Studies There are 18 studies, of which the most influential papers were published after 2015. In terms of source publications, we encountered nine chosen papers published in conference proceedings. In contrast, the studies left were published in journals like IEEE Access [40], Computers and Security [14], European Journal of Information Systems [5], ACM Transactions on Privacy and Security [16], Future Internet MDPI [35], International Journal of Advanced Computer Research [11], Information Resources Management Journal [28], and Journal of Computing Sciences in Colleges [41].

3.3 Results Concerning RQ1, studies demonstrate that Phishing and Ransomware are the type of SE attacks with the highest impact in the world [1, 7, 26, 27, 29, 33, 39, 43] (see Fig. 3.1 and Table 3.1). Through fraudulent e-mails or fake websites [34], the phisher attackers are taking advantage of human omissions, manage to deceive users with messages with offers and sometimes threats. In this way, they steal the credentials to impersonate the identity [17]. SE attacks highly impact the worldwide economy and reputation loss damage. Its targets are individuals and even the most complex and secure organizations [2, 3]. Recently, the FBI stated that losses due to Ransomware attacks were about $1 billion in 2016, which indicates the immense financial damage upon companies [41]. About RQ2, the primary cause of SE attacks is due to human user’s natural ingenuousness, vulnerability, and behavior. Additionally, it is neglected factor [31], which

Fig. 3.1 Types of social engineering attacks with a significant impact

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Table 3.1 Phishing versus Ransomware statistics Phishing Ransomware 97% of users do not recognize Phishing e-mails It has grown 350% since 2018 as a popular form of attack 95% of attacks are for companies Ransomware detection is on the rise at 543% Employees have trouble recognizing Phishing 81% of experts say there will be more e-mails Ransomware attacks 3% of users report Phishing attacks E-mail Ransomware increased by 109% 30% open e-mails and 12% open the malicious 21% of Ransomware involved social actions link 81% of Phishing attacks on mobile devices 51% of businesses have been affected by have been without mail Ransomware 85% of companies have attacked at least once Ransomware variants grew by 46% in 2019 97.25% have Ransomware Ransomware attacks increased 41% to 205,000 78% of people have mentioned that they know 65% of Ransomware infections are sent via the links but open it Phishing Webmail services account for 34.7% of A Ransomware attack will occur every 11 s by Phishing attacks 2021 96% of attacks are aimed for gathering 85% of Ransomware attacks in 2019 was information 133,000 71% of sextortion victims are under the age of In 2019, 68,000 new Ransomware Trojans 18 were detected 81% of all attacks are for spoofing 50% of professionals do not believe that their company is prepared for an attack 22% of all data breaches in 2020 involve 90% of professionals claim to have clients who Phishing attacks suffered Ransomware attacks

has generated that organizations spend millions of US dollars in order to implement security technologies and apply security standards. However, they tend to focus on technical (i.e., hardware and software) defenses [18]. Though, one of the most effective ways to mitigate SE attacks is to emphasize educating and training those who are most susceptible [28, 32, 41] (see Fig. 3.2). Concerning RQ3, attackers consider humans as the primary target instead of devices or systems, which enables them to be hard to identify [11, 41]. The studies reveal that humans are the weakest link in the security chain [6, 8, 24, 26, 42]. According to the Human Factor Report study of 2018 [15], it is determined that human vulnerabilities are much more dangerous in modern organizations than the same limitations or weaknesses in software security. Additionally, social networks, email, and website platforms have become attractive to attackers because their attacks can pass unnoticed in traditional intrusion detection systems (see Fig. 3.3). Concerning RQ4, some techniques mitigate SE attacks, like a mitigation and prevention model for SE (MPMPA), which is competent to detect and mitigate diverse Phishing attacks scenarios [21]. Other studies demonstrate that another detection

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Fig. 3.2 Causes of social engineering attacks

Fig. 3.3 Primary targets of social engineering attacks

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Fig. 3.4 Most prominent techniques and tools to mitigate SE attacks

method allows being up to the human being, depending on their education and training [7]. We realized that SE does not need any advanced technical tools [7], as everyone can easily use them, being even economically affordable [35]. Other mitigating techniques for SE attacks aimed at the reduction of the attacks’ impact on the individuals or the companies [41]. There exist some methods to reduce such attacks’ impact, from three aspects, being the detection of SE attacks, education, and training, as well as awareness toward the prevention of these attacks [39] (see Fig. 3.4).

3.4 Discussion Several studies deal with the impact of SE attacks and the different situations in which they occur. A comprehensive technical presentation is provided below and offers the author’s original insight into this study’s subject. As mentioned by Wang et al. [40], SE has posed a severe threat to the security of cyberspace infrastructure, users, data, and operations. Previous research has suggested that social networking sites are the most common source of attacks based on SE [4]. Although organizations recognize such occurrences’ severe risks, there is little understanding and control of such threats. This may be due in part to the complexity of human behaviors in lacking recognizing attackers on social networking sites [3]. SE attacks have increased by intensity and number, causing emotional and financial damage to individuals and businesses [35]. These attacks often start by gathering information and building relationships with potential victims, which tend to occur outside of an information system [20]. Attackers use deceptive tactics to create compelling behavioral and esthetic hooks, which leads a target to reveal confidential information or interact with a payload maliciously useful. Individuals are increasingly posting information about themselves online, particularly on social media [14]. Furthermore, Gong and Liu explained new

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attacks on privacy to infer attributes (e.g., locations, occupations, and interests) of online social network users [16]. Jaafor and Birregah [20] describe a multilayer graph-based model for SE vulnerability assessment. Irani et al. [19] mention that in a reverse SE attack, the attacker does not initiate contact with the victim; instead, the victim is tricked into contacting the attacker. Conteh and Schmick attempt to explain the importance and role of SE in network intrusions and cyber theft. They conclude that while technology has a role in reducing the impact of SE attacks, the vulnerability rests in human behavior, human impulses, and psychological predispositions [11]. It is essential to understand SE’s psychological aspect better to educate its users in identifying such attacks. Changing the way a person thinks and, in turn, behaves concerning SE is critical to identify and defend against this attack [41]. Ovelgönne et al. in their detailed study of 1.6 million machines within eight months, realized the relationship between user behavior and cyberattacks against their personal computers. Surprisingly, their results indicate that software developers are more at risk of engaging in risky cyber behavior than other categories [32]. Beckers and Pape describe that SE is a technique that: (i) does not require any advanced technical tool, (ii) can be used by anyone, (iii) is cheap [7]. Although the number of SE attacks and the damage they cause increases each year, the security awareness of these attacks and their consideration during obtaining requirements remains negligible [7]. Luo et al. point out that SE is a technique used by malicious attackers in order to gain access to desired information by exploiting flaws in human logic known as cognitive biases [28]. The personal interaction combined with many tools used creates new SE attack vectors [26]. Hereby, Phishing is the most common type of SE attack [39]. The most common methods and techniques used for Phishing are e-mails, chats, or websites [43]. One of the most significant impacts is the vehicle’s vulnerabilities [12]. Researchers explain that the introduction of ICT systems in vehicles allows them to be more prone to cybersecurity attacks that can affect vehicle’s capacity, consequently, drivers and passengers safety. Likewise, another affected field is banking. Hammour et al. detail that the SE attack has recently become a real threat affecting organizations, while some 53.9% of such attacks target the banking sector. Successful attacks violate privacy by breaching confidential data and can cause substantial financial losses for organizations and individuals, along with damage to the reputation of companies [18]. Cyberattacks are focused on different targets such as critical infrastructures, organizational systems, or home devices [22]. The development of specialized security companies focuses on protecting infrastructure. However, attackers noticed opportunities in the human factor [40]. SE or cognitive hacking attacks seek to take advantage of people’s emotional factors, and awareness has been established as a strategy against Phishing attacks [2]. People often know about cybersecurity risks when interacting in the digital world. Nevertheless, they may realize wrong decisions and accept malicious e-mails or infected pages. Such wrong decisions are being associated with how humans process information in a systematic and heuristic way. People may believe what is correct concerning cognitive dissonance, but external factors such as third-party opinions or trends may lead them to decide oppositely.

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Additionally, spontaneous future thoughts could have been based on pre-made memories or experiences [10]. However, the cybersecurity domain problem is that these past experiences or memories may be fake (false memories) induced for attackers using fake news [9]. On the other hand, attackers have improved their persuasion techniques significantly and seek to take advantage of emotional factors that may alter judgment in decision-making processes [38].

3.5 Conclusions This study presents a literature review of SE attacks, their impact, causes, victims, and the most used mitigation methods. Based on the studies reviewed, we conclude that research in this field requires responsibility and technological awareness. Within the main findings concerning the impacts of SE attacks, we realized that they are focused on organizations, financial entities, and vehicles’ issues, mostly related to human omissions. Social networks and e-mails are the primary sources from which attacks occur, including Phishing and Ransomware as the most common. Among the most used techniques, we encountered artificial intelligence, machine learning, social engineering mining, and, to a lesser size, techniques which allow technicians to analyze human behavior. As future work, we plan to implement a Web Platform that analyzes humans’ behavior based on SE attacks using data mining. Acknowledgements We want to thank the resources granted for developing the research project entitled Detection and Mitigation of Social Engineering attacks applying Cognitive Security. The authors would also like to thank the RED CEDIA’s financial support in the development of this study within the GT-Cybersecurity.

References 1. 2020 phishing statistics you need to know to protect your organization (2020), https://www. keepnetlabs.com/phishing-statistics-you-need-to-know-to-protect-your-organization/ 2. Algarni, A., Xu, Y., Chan, T., Tian, Y.-C.: Social engineering in social networking sites: affectbased model. In: 8th International Conference for Internet Technology and Secured Transactions (ICITST-2013), pp. 508–515 (2013). https://doi.org/10.1109/ICITST.2013.6750253 3. Algarni, A., Xu, Y., Chan, T.: Susceptibility to social engineering in social networking sites: the case of facebook. Presented at the (2015) 4. Algarni, A., Xu, Y., Chan, T.: In: Measuring Source Credibility of Social Engineering Attackers on Facebook, pp. 3686–3695. IEEE (2016) 5. Algarni, A., Xu, Y., Chan, T.: An empirical study on the susceptibility to social engineering in social networking sites: the case of facebook. Eur. J. Inf. Syst. 26(6), 661–687 (2017) 6. Alotaibi, M.J., Furnell, S., Clarke, N.: A framework for reporting and dealing with end-user security policy compliance. Inf. Comput. Secur. (2019) 7. Beckers, K., Pape, S.: A Serious Game for Eliciting Social Engineering Security Requirements, pp. 16–25. IEEE (2016)

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8. Benson, V., McAlaney, J., Frumkin, L.A.: Emerging threats for the human element and countermeasures in current cyber security landscape. In: Cyber Law, Privacy, and Security: Concepts, Methodologies, Tools, and Applications, pp. 1264–1269. IGI Global (2019) 9. Brown, S.D., Reavey, P.: False memories and real epistemic problems. Cult. Psychol. 23(2), 171–185 (2017). https://doi.org/10.1177/1354067X17695764 10. Cole, S., Kvavilashvili, L.: Spontaneous and deliberate future thinking: a dual process account. Psychol. Res. (2019). https://doi.org/10.1007/s00426-019-01262-7 11. Conteh, N.Y., Schmick, P.J.: Cybersecurity: risks, vulnerabilities and countermeasures to prevent social engineering attacks. Int. J. Adv. Comput. Res. 6(23), 31 (2016) 12. Costantino, G., La Marra, A., Martinelli, F., Matteucci, I.: Candy: A Social Engineering Attack to Leak Information From Infotainment System, pp. 1–5. IEEE (2018) 13. Drew, J.M., Cross, C.: Fraud and its prey: conceptualising social engineering tactics and its impact on financial literacy outcomes. Presented at the Springer 2016 14. Edwards, M., Larson, R., Green, B., Rashid, A., Baron, A.: Panning for gold: Automatically analysing online social engineering attack surfaces. Comput. Secur. 69, 18–34 (2017) 15. Ghafir, I., Saleem, J., Hammoudeh, M., Faour, H., Prenosil, V., Jaf, S., Jabbar, S., Baker, T.: Security threats to critical infrastructure: the human factor. J. Supercomput. 74(10), 4986–5002 (2018) 16. Gong, N.Z., Liu, B.: Attribute inference attacks in online social networks. ACM Trans. Privacy Secur. (TOPS) 21(1), 1–30 (2018) 17. Gupta, S., Singhal, A., Kapoor, A.: A Literature Survey on Social Engineering Attacks: Phishing Attack, pp. 537–540. IEEE (2016) 18. Hammour, R.A., Gharaibeh, Y.A., Qasaimeh, M., Al-Qassas, R.S.: The status of information security systems in banking sector from social engineering perspective. Presented at the (2019) 19. Irani, D., Balduzzi, M., Balzarotti, D., Kirda, E., Pu, C.: Reverse social engineering attacks in online social networks. Presented at the Springer 2011 20. Jaafor, O., Birregah, B.: Multi-layered Graph-Based Model for Social Engineering Vulnerability Assessment, pp. 1480–1488. IEEE (2015) 21. Jamil, A., Asif, K., Ghulam, Z., Nazir, M.K., Alam, S.M., Ashraf, R.: Mpmpa: A Mitigation and Prevention Model for Social Engineering Based Phishing Attacks on Facebook, pp. 5040–5048. IEEE (2018) 22. Joshi, C., Aliaga, J.R., Insua, D.R.: Insider threat modeling: an adversarial risk analysis approach. IEEE Trans. Inf. For. Secur. 16, 1131–1142 (2021). https://doi.org/10.1109/TIFS. 2020.3029898 23. Kaushalya, S., Randeniya, R., Liyanage, A.: An Overview of Social Engineering in the Context of Information Security, pp. 1–6. IEEE (2018) 24. Khan, N.F., Ikram, N.: Development of students’ security and privacy habits scale. Presented at the Springer 2019 25. Kitchenham, B., Charters, S.: Guidelines for performing systematic literature reviews in software engineering (2007) 26. Krombholz, K., Hobel, H., Huber, M., Weippl, E.: Social engineering attacks on the knowledge worker. Presented at the (2013) 27. Lancaster, K.: You may want to revise your cybersecurity plan after you see these 2020 ransomware statistics! (2020), https://www.idagent.com/blog/10-2020-ransomware-statisticsthat-you-need-to-see/ 28. Luo, X., Brody, R., Seazzu, A., Burd, S.: Social engineering: the neglected human factor for information security management. Inf. Resour. Manage. J. (IRMJ) 24(3), 1–8 (2011) 29. Meharchandani, D.: Staggering phishing statistics in 2020 (2020), https://www.kratikal.com/ blog/staggering-phishing-statistics-in-2020/ 30. Mouton, F., Leenen, L., Venter, H.S.: Social engineering attack examples, templates and scenarios. Comput. Secur. 59, 186–209 (2016) 31. Nelson, J., Lin, X., Chen, C., Iglesias, J., Li, J.: In: Social Engineering for Security Attacks, pp. 1–4. Data Science (2016)

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32. Ovelgönne, M., Dumitra¸s, T., Prakash, B.A., Subrahmanian, V., Wang, B.: Understanding the relationship between human behavior and susceptibility to cyber attacks: a data-driven approach. ACM Trans. Intell. Syst. Technol. (TIST) 8(4), 1–25 (2017) 33. Purplesec: 2020 ransomware statistics, data, & trends (dec 2020), https://purplesec.us/ resources/cyber-security-statistics/ransomware/ 34. Rodríguez, G.E., Benavides, D.E., Torres, J., Flores, P., Fuertes, W.: Cookie scout: An analytic model for prevention of cross-site scripting (xss) using a cookie classifier. Presented at the Springer 2018 35. Salahdine, F., Kaabouch, N.: Social engineering attacks: a survey. Future Internet 11(4), 89 (2019) 36. Saleem, J., Hammoudeh, M.: Defense methods against social engineering attacks. In: Computer and Network Security Essentials, pp. 603–618. Springer (2018) 37. Sawa, Y., Bhakta, R., Harris, I.G., Hadnagy, C.: Detection of Social Engineering Attacks Through Natural Language Processing of Conversations, pp. 262–265. IEEE (2016) 38. Sethi, R.J.: Spotting fake news: a social argumentation framework for scrutinizing alternative facts. Presented at the (2017). https://doi.org/10.1109/ICWS.2017.108 39. Sumner, A., Yuan, X.: Mitigating phishing attacks: an overview. Presented at the (2019) 40. Wang, Z., Sun, L., Zhu, H.: Defining social engineering in cybersecurity. IEEE Access 8, 85094–85115 (2020) 41. Wilson, B.: Introducing cyber security by designing mock social engineering attacks. J. Comput. Sci. Coll. 34(1), 235–241 (2018) 42. Yeboah-Boateng, E.O., Amanor, P.M.: Phishing, smishing & vishing: an assessment of threats against mobile devices. J. Emerg. Trends Comput. Inf. Sci. 5(4), 297–307 (2014) 43. Younis, Y.A., Musbah, M.: A framework to protect against phishing attacks. Presented at the (2020) 44. Zambrano, P., Torres, J., Tello-Oquendo, L., Jácome, R., Benalcázar, M.E., Andrade, R., Fuertes, W.: Technical mapping of the grooming anatomy using machine learning paradigms: an information security approach. IEEE Access 7, 142129–142146 (2019). https://doi.org/10. 1109/ACCESS.2019.2942805

Chapter 4

Maritime Cyberdefense Actors Taxonomy for Command and Control Diego Edison Cabuya Padilla

and Carlos Castaneda-Marroquin

Abstract Given the strategic importance of cyberdefense at the international level, this study identifies and characterizes the strategic elements for the exercise of Maritime Cyberdefense that allow establishing the bases for the strategy design for command and control in the field of defense of national cyberspace, focus on three main aspects of maritime cyberdefense: actors, capabilities, and strategic attitude from national security. The study defines the actors involved in the exercise of maritime cyberdefense and the set of associated strategic attributes, which are the capabilities and the strategic position, which were defined and characterized as necessary actors’ elements. This taxonomy is the basis for subsequent studies and the generation of optimal strategies and information on the expected and observed behavior of the actors, necessary for the implementation of frameworks and models that allow improving the decision-making process at the strategic level of cyberdefense.

4.1 Introduction Cyberdefense is one of great interest to the national security and is defined as the use of military capabilities to mitigate cyber-threats, intrusions, cyber-attacks or the effects of cyber-operations that affect society, national sovereignty, independence, territorial integrity, constitutional order and national interests [1, p. 88, 2, pp. 563, 566]. Studies such as Baezner et al. [3] and Sabillon et al. [4] address the international context of cybersecurity, highlighting that NATO member countries, such as the USA, Germany, France, Estonia and Spain, are leaders in the implementation of cyberdefense management measures as an integral part of their national security D. E. C. Padilla (B) · C. Castaneda-Marroquin Escuela Naval de Cadetes “Almirante Padilla”, Barrio Bosque, Isla de Manzanillo, Cartagena de Indias, Colombia e-mail: [email protected] C. Castaneda-Marroquin e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_4

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strategy, which, in general, began in 2011 with the implementation of their cybersecurity strategies, reaching sufficient maturity levels to face the different threats and challenges of cyberspace, with an international cooperative approach at a public and private level, advanced cyberdefense capabilities, scientific research, education, cyber-situational awareness and adoption of conceptual frameworks such as ISC’s Common Body of Knowledge, ISO 27000, NIST SP 800 Cybersecurity Framework [3, pp. 7–11, 4, pp. 68–78]. However, there are few related works and internationally accepted taxonomies associated with cyberdefense that allow generating strategies for command and control in the field of national cyberspace defense, specifically in the maritime field. At a general level, the Taxonomy of Cyber-attacks on Computer Networks [5] is a recent approximation which contains the different types of cyber-attacks, how they are carried out, ways of preventing it for future use and the effects that cybercrimes have, and the multi-layer taxonomy for attacks on the industrial Internet of things [6] which is another proposal that helps researchers and practitioners to identify similarities and differences between cyber-attacks on the IIoT. Both taxonomies address a tactical-level approach. In the Cyberdefense area, the Foundation Taxonomy of Cyberdefense Capability Model [7] which “uses three classifiers to characterize the strategic cyberdefense mechanisms, which are classified by active, passive and collaborative defense”, additionally, “the key actors, assets and associated preparation procedure are identified”. Taxonomy of Cyber-Warfare Operations [8] organize the most important key players, agencies, actors or groups in the cyberspace that conduct cyber-operations or similar, focus on responsibilities and roles of the Greek agencies that are responsible for the protection of the Greek cyberspace and the critical infrastructure of Greece, and is a good reference for the approach of this study which focuses on the case of Colombia. In the maritime field, the Maritime Risks Taxonomy [9] presents a multi-modal Maritime risk classification and provides a great analysis of transportation risks, their impacts and a risk typology on multi-modal maritime supply chains management. The Taxonomy Framework for Maritime Cybersecurity [10] organize the main maritime aspects which supports the creation of adversarial cyber-models, risk mitigation, and resiliency plans through a demonstration using the Automatic Identification System. The related works referenced reflect the need to identifies and characterizes the strategic elements for the exercise of Maritime Cyberdefense, through the definition of three main aspects of maritime cyberdefense: actors, capabilities, and strategic positions from national security. The study defines the actors involved in the exercise of maritime cyberdefense and the set of associated strategic attributes, which are the capabilities and the strategic position, which were defined and characterized as necessary actors’ elements.

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4.2 Methodology The research problem focused on the absence of taxonomies that allow characterizing the strategic elements for the exercise of Maritime Cyberdefense, elements necessary for the exercise of command and control, as well as for the development of models and simulations aimed at making decisions. In this sense, the research objective was to develop a maritime cyberdefense actors’ taxonomy for command and control, expecting as a result the identification of the necessary attributes for their characterization and interactions analysis in a particular situation. The methodological process was oriented mainly on a documentary analysis, first, identifying the key actors of maritime cyberdefense through the analysis of the elements of maritime power and official documents from countries at the international level on cybersecurity and cyberdefense strategies. Second, defining the set of cyberdefense capabilities that characterize the actors through the analysis of information collected from the defense sector, surveys with experts in Colombia, and contextualization of strategies, norms and needs for the case of Colombia. Third, defining the Cyberdefense Strategic Positions, which are those that determine the possible options of a strategic attitude of an actor in a situation in which the use of cyberdefense capabilities is required. Finally, the complete taxonomy is presented as results, highlighting its relationships and purpose.

4.3 Maritime Cyberdefense Key Actors The key actors were classified into four large groups: cyber-threat, maritime, security and cooperation, and these are subclassified in activities as shown in Fig. 4.1. Cyber-threat actors are those who “take advantage of vulnerabilities, low cybersecurity awareness, or technological developments to gain unauthorized access to information systems in order to access or otherwise affect victims’ data, devices, systems, and networks” [11]. Subclassification is based on NIST classification 800– 82 [12], the recommendations of Cybersecurity & Infrastructure Security Agency— CISA [13] and Canadian Centre for Cybersecurity [11], information sources in which the actors are classified from the origin of the cybernetic threat regardless of their geographical location and taking into account their differences in terms of capabilities, sophistication, resources, training and support for their activities. Maritime actors are those involved in the development of activities related to the maritime interests of a country, different from those related to naval power, these grouped into the main maritime management activities which have cyber-assets of national interest. These actors were subclassified according to the National Maritime Interests from Colombian Navy perspective [14], National Strategy for Maritime Security of USA [15], the study of Cybersecurity Vulnerabilities in Colombia’s Maritime Critical Infrastructure (MCI) [16] and the IMO Guidelines on Maritime Cyber-Risk Management [17].

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D. E. C. Padilla and C. Castaneda-Marroquin • Nation-States • Foreign intelligence services • Cybercriminals • Industrial Spies • Hacktivists • Terrorist groups • Insider Threats • Thrill-Seekers

• Maritime authorities • Port Terminals • Ships and their cargo • Maritime industry • Maritime information and communications service providers • Maritime transportation system operators • Maritime management service providers

Cyber Threat

Maritime

• Military forces • Colombian Navy • Naval Cyber Unit • Cyber Joint Command • National Police • Cyber Police Center • National CERT / CSIRT

• National Government Institutions • International agencies, organizations or institutions • Academy • Private sector • Others non-formal (organizations, experts, etc)

Security

Coordination & Cooperation

Fig. 4.1 Maritime cyberdefense key actors

Security actors are the national institutions for defense and control of cyberspace in which maritime actors carry out their activities, also part of the naval power of a nation and the scheme to address cyberspace affairs at the national level. This classification is proposed taking into account the schemes to address cybersecurity and cyberdefense at the international level, and in Colombia as stipulated in the different economic and social policies [1, 18, 19], as well as in the strategic cyberdefense guidelines [20]. Complementary to the security actors are the coordination and cooperation actors, which are those organizations, institutions or agencies that support and improve the exercise of cyberdefense or that can cooperate to mitigate the effects of a cyber-attack.

4.4 Cyberdefense Capabilities To establish cyberdefense capabilities, two general classifications were defined, one for the operational scope and another for support and maintenance, each with its associated capabilities, as seen in Fig. 4.2, taking into account the proposals of [7, 20, 21]. Based on [22–24], cyberdefense operational capabilities are those skills, represented in people, technologies and processes, necessary to guarantee and maintain

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Fig. 4.2 Cyberdefense capabilities

the security and defense of cyber-assets, as well as being able to attack when required, and at security actors when the law allows it, and the situation requires it. Cyberdefense support and sustainability capabilities are the set of instruments and activities to guarantee the sustainability and growth of cyberdefense operational capabilities over time, as well as cooperation and support capabilities for the exercise of operational capabilities [20, 25, 26].

4.5 Cyberdefense Strategic Attitude The strategic attitude constitutes the predominant position or intention concerning the specific strategic objective [27, p. 38]. In this sense, the cyberdefense strategic attitude is the intention and position that a maritime cyberdefense actor has at a general level or in a specific situation, and that determines the relationships and interactions that can occur with other actors. Figure 4.3 summarizes the proposal of cyberdefense strategic attitudes, based on [20, 27–29]. Defensive attitude is a position where the actor saves or protect his cyber-assets against an attack, a hazard or damage, and is classified into four attitudes: • Passive: “the taking of measures for detecting and mitigating cyber-intrusions and the effects of cyber-operations that do not involve launching a preventive, pre-emptive, or counter-operation against the source” [2, p. 566]. • Active: “the taking of proactive defensive measures outside the defended cyberinfrastructure” [2, p. 563].

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Fig. 4.3 Cyberdefense strategic attitude

Passive Defense Active Defense Defensive Collaborative Defense CYBERDEFENSE STRATEGIC ATTITUDE

Forward Defense Exploitation Offensive Attack Support Coordination & Cooperation

• Collaborative: “the ability of a defender to rely on the support of organizations, international bodies or other nations to stop a cyber-attack. A collaborative defense can be achieved by operational cooperation of different actors against a common cyber-event” [7, p. 9]. • Forward: based on [28, 30, 31], the ability to anticipate an imminent cyber-attack and take proactive defensive measures against the potential attacker to stop these intentions and neutralize his offensives capabilities. Offensive attitude is the disposition to create negative effects over an asset or manipulate a cyber-asset without permission, and is classified into two attitudes: • Exploitation: “actions include intelligence activities, maneuver, information collection, and other enabling actions required to prepare for future cyberoperations” [32, pp. II–6]. • Attack: “actions create noticeable denial effects (i.e., degradation, disruption, or destruction) in cyberspace or manipulation that leads to denial effects in the physical domains “[32, pp. II–7]. Support attitude is when an actor just provides services, products, consultancies or similar, without taking part in operational actions. On the other hand, Coordination and cooperation actors support or participate in operational actions (defensive and offensive) using their capabilities.

4.6 Complementary Classifications Location and ownership are a way to determine in which part of cyberspace an actor is located from the point of view of national security, allowing to determine the place of activity of the cybernetic assets of this: red, blue or gray. In this sense, Fig. 4.4 summarizes this approach. The scope classification defines the actor’s performance range or the coverage of his main activities. Finally, Liability determines the level of perception of relationships that security actors have with other actors and the level of caution that the security actor must have in interactions, mainly of an operational level.

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Fig. 4.4 Cyberspace based on location and property, based in [32]

4.7 Results As a result, the taxonomy for the characterization of maritime cyberdefense actors for command and control is classified into main parts to understand how actors interact with each other and the general context of an actor’s attributes. First, the cyberkinetic reference model (Fig. 4.5) based on [7, p. 5], shows the main relationships between the actors in a given situation depending on the role assumed by each of them (Defender, Attacker, Target and Support). In this sense, the target is presented in the central part and on each side the actor association in terms of attack (Red Team) or defense (Blue Team). Defense in this scheme is presented in two levels, the first line of defense that is exercised by the Target with its defense capabilities. The second line of defense is managed by the security actors (Defender) and is activated when the defense

Fig. 4.5 Cyber-kinetic reference model

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EXAMPLE: ACTOR IDENTIFIER TYPE CAPABILITIES

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Cyber Command Security

SCOPE

National

LIABILITY

Defensive LOCATION ACTIVITY 5/5 Defensive Support and Offensive 4/5 Operational Sustainability Cyberintelligence 5/5 Cybersecurity 5/5

5/5 Blue Strategy and Cooperation Law Science Tech. and Innovation Education and Training

5/5 3/5 5/5 5/5

Fig. 4.6 Maritime cyberdefense actors’ taxonomy

capabilities of the target are exceeded or is compromised a national critical cyberasset. This second line can be seen supported by the Coordination and Cooperation actors, depending on the attacker’s attributes. Second, Maritime Cyberdefense Actors’ Taxonomy (Fig. 4.6) is the compilation of the different attributes presented in the previous sections, which represent the command and control elements necessary for making decisions and defining courses of action in maritime cyberdefense.

4.8 Conclusions The purpose of the taxonomy is to standardize the essential elements of command and control for making decisions and defining courses of action in maritime cyberdefense, so that collaborative and coordinated responses can be generated in all scope classifications, when a situation puts at risk any critical national cyber-asset. The development of the study presented some limitations in the access to official documents of strategies or management of cyberdefense at international level and there are few studies at an academic level that address the subject. Taxonomies derived or subordinate from the Maritime Cyberdefense Actors’ Taxonomy need to be generated, specifically in capabilities, with a model for assessing the maturity level of cyberdefense capabilities. Likewise, weighting

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systems must be generated for each of the identified classifications, to use the proposed taxonomy in modeling and simulation. This taxonomy is the basis for subsequent studies and the generation of optimal strategies and information on the expected and observed behavior of the actors, necessary for the implementation of frameworks and models that allow improving the decision-making process at the strategic level of cyberdefense command and control, that guarantee the normal performance of maritime activities in cyberspace and resilience in the event of their cyber-assets being compromised.

References 1. Departamento Nacional de Planeación, “Documento CONPES 3995—Política Nacional de Confianza y Seguridad Digital,” Bogotá, 2020. Accessed 11 Aug 2020 (Online). Available: https://colaboracion.dnp.gov.co/CDT/Conpes/Económicos/3995.pdf 2. Schmitt, M.N.: Tallinn Manual 2.0 on the International Law Applicable to Cyber Operations (2017) 3. Baezner, M., Cordey, S.: National Cybersecurity Strategies in Comparison-Challenges for Switzerland, Zürich, 2019. Accessed 17 Aug 2020 (Online). Available: www.css.ethz.ch 4. Sabillon, R., Cavaller, V., Cano, J.: National cyber security strategies: global trends in cyberspace. Int. J. Comput. Sci. Softw. Eng. 5(5) (2016). Accessed 17 Aug 2020 (Online). Available: www.IJCSSE.org 5. Sajid, A.: A taxonomy of cyber-attacks on computer networks, Bradford, UK, 2020. Accessed 07 Feb 2021 (Online). Available: https://hal.archives-ouvertes.fr/hal-02561057 6. Berger, S., Bürger, O., Röglinger, M.: Attacks on the Industrial Internet of Things—development of a multi-layer Taxonomy. Comput. Secur. 93, 101790 (2020). https://doi.org/10.1016/ j.cose.2020.101790 7. Kolini, F., Janczewski, L.: Cyber Defense Capability Model: A Foundation Taxonomy, 2015. Accessed 07 Feb 2021 (Online). Available: http://aisel.aisnet.org/confirm2015/32 8. Vlachos, V., Bountolos, C., Papanikolaou, A.: Taxonomy of Cyber-warfare Operations, Thessaly, 2017 9. Namakiaraghi, B.S., Gourc, E.D., Montarnal, D.A.: Maritime risks taxonomy: a structured literature review of maritime risks classification. In: MOSIM’20 - 13ème Conférence Int. Modélisation, Optim. Simul., p. 17, 2020. Accessed 07 Feb 2021 (Online). Available: https:// hal.archives-ouvertes.fr/hal-03048795 10. Kessler, G.C., Craiger, P., Haass, J.C.: A taxonomy framework for maritime cybersecurity: a demonstration using the automatic identification system. TransNav Int. J. Mar. Navig. Saf. Sea Transp. 12(3), 429–437 (2018). https://doi.org/10.12716/1001.12.03.01 11. Canadian Centre for Cyber Security, “Cyber Threat and Cyber Threat Actors.” https://cyber. gc.ca/en/guidance/cyber-threat-and-cyber-threat-actors. Accessed 09 Feb 2021 12. Stouffer, K., Falco, J., Scarfone, K.: NIST Special Publication 800–82: Guide to Industrial Control Systems (ICS) Security. NIST Spec. Publ. 800–82 rev 2, pp. 1–157 (2011). https://doi. org/10.6028/NIST.SP.800-82r2 13. Cybersecurity & Infrastructure Security Agency, Cyber Threat Source Descriptions. https:// us-cert.cisa.gov/ics/content/cyber-threat-source-descriptions. Accessed 09 Feb 2021 14. Dirección de Intereses Marítimos y Fluviales, Los Intereses Marítimos Nacionales desde la perspectiva de la Armada De Colombia,” Bogotá, 2020 15. Trump, D.J.: National Strategy for Maritime Security, United States. White House Office, 2020. Accessed 09 Feb 2021 (Online). Available: https://www.hsdl.org/?abstract&did=

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16. Gamboa, Y.B.G., Ramírez-Cabrales, F., Jiménez, J.A.M.: Cyber security vulnerabilities in Colombia’s maritime critical infrastructure (MCI). In: Smart Innovation, Systems and Technologies, May 2020, vol. 181, pp. 3–15. https://doi.org/10.1007/978-981-15-4875-8_1 17. International Maritime Organization: Guidelines on Maritime Cyber Risk Management, London, 2017 18. Departamento Nacional de Planeación: Documento CONPES 3701—Lineamientos de Política Para Ciberseguridad y Ciberdefensa, Bogotá, 2011 19. Departamento Nacional de Planeación: Documento CONPES 3854—Política Nacional de Seguridad Digital, 2017 20. Cabuya, D., Mahecha Ardila, E.: Lineamientos Estratégicos de Ciberdefensa para el Comando General de las Fuerzas Militares de Colombia – Reservado. Comando Conjunto Cibernético, Bogotá, 2019 21. Gaycken, S.: Cyber Defense—Policies, Operations and Capacity Building. Hum. Soc. Dyn. 147 (2019). https://doi.org/10.3233/NHSDP147 22. N. Institute of Standards: Framework for Improving Critical Infrastructure Cybersecurity, Version 1.1, 2014. https://doi.org/10.6028/NIST.CSWP.04162018 23. Gold, J.: The Five Eyes and Offensive Cyber Capabilities: Building a ‘Cyber Deterrence Initiative.’ Accessed 10 Feb 2021 (Online). Available: www.ccdcoe.org 24. Smeets, M.: Integrating offensive cyber capabilities: meaning, dilemmas, and assessment. Def. Stud. 18(4), 395–410 (2018). https://doi.org/10.1080/14702436.2018.1508349 25. Efthymiopoulos, M.P.: A cyber-security framework for development, defense and innovation at, 2019 26. Naagel, M., Väljataga, A.: Autonomous Cyber Capabilities under International Law Rain Liivoja. Accessed 10 Feb 2021 (Online). Available: www.ccdcoe.org 27. Uribe, S.: De la Estrategia y sus Niveles. In: Estrategia Marítima, Evolución y Prospectiva, Bogotá, pp. 29–40, 2016 28. Yarger, H.R.: Strategic Theory for the 21st Century: The Little Book on Big Strategy, no. February, 2006 29. Winterfeld, S.: Cyber Doctrine. Basics Cyber Warf., pp. 31–49, 2013. https://doi.org/10.1016/ b978-0-12-404737-2.00003-3 30. Keith Kramer, B.: NATO and Forward Defense: An Analysis of Expeditionary Capabilities and Out-of-Area Security, Monterey, California, 2005 31. Mears, A., Mariani, J.: The Temporal Dimension of Defending Forward, vol. 21, no. 1, pp. 1–9, 2020 32. US Joint Staff: Joint Publication 3–12 Cyberspace Operations, Washington, 2018. Accessed 10 Feb 2021 (Online). Available: http://www.jcs.mil/Portals/36/Documents/Doctrine/pubs/jp3_ 12.pdf?ver=2018-07-16-134954-150%0Awww.e-publishing.af.mil

Chapter 5

Enabling Sustainable Management Through Kalman Filtering in glossaLAB: A Case Study on Cyber-Subsidiarity José María Díaz-Nafría , Manuela Cañizares-Espada , Isaac Seoane-Pujol , José Antonio Montaño-Gómez, and Teresa Guarda Abstract The article describes the approach of applying the cyber-subsidiarity model, based on Stafford Beer’s Viable System Model, to the management of a project-oriented to the setting up of a sustainable platform for interdisciplinary knowledge co-creation. The application to this project is shown as a case study for the institution of sustainable organizations based on a subsidiary information management architecture which intends to serve as an innovative alternative to the information management driven by big-data technologies. According to this architecture, the information flow is significantly alleviated and substituted by synthetic information which percolates “meaningfully” across organizational levels.

5.1 Introduction: Lights and Shadows of Information Prosperity Without any question, our current age is appropriately described as the ‘information age.’ Every aspect of human life is rapidly being invaded and restructured by information technology (Terrence Deacon [1]).

J. M. Díaz-Nafría (B) · M. Cañizares-Espada · I. Seoane-Pujol · J. A. Montaño-Gómez Madrid Open University, Madrid, Spain e-mail: [email protected] M. Cañizares-Espada e-mail: [email protected] I. Seoane-Pujol e-mail: [email protected] J. M. Díaz-Nafría · M. Cañizares-Espada · T. Guarda BITrum-Research Group, León, Spain T. Guarda CIST— Centro de Investigación en Sistemas y Telecomunicaciones, Universidad Estatal Península de Santa Elena, La Libertad, Ecuador © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_5

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Indeed, the pillar of the current web of information technologies is the pervasive presence of a variety of things connected to and interacting with the Internet and with each other, sensing and collecting data, supported by a technological (re)evolution in many fields from nanotechnology to organizational techniques. This dense web virtually turns information into actions, creating new capabilities and extraordinary opportunities [2]. Thus, the key issue of our time is how to master information as to cause proper actions and knowledge in the benefit of individuals and social life. However, what is the real control we have about this ubiquitous connectedness? How much pervasive it is? Is it accessible for everybody in the same way? What are the percolation mechanisms that make the information effective across different levels? These and other open questions are a matter of high concern for our societies.1 They are linked to the eventual (dis-)empowerment of the people and to the opportunity to develop sustainability with respect to our natural and social environments. The mastering of information is actually twofold: on the one hand, we must better understand information in its multifarious aspects and context of application—as much as in the nineteenth century energy was understood-; on the other, coping with the enormous flow of information, overcoming the information overloads in the benefit of solving problems at different levels, from individuals to organizations. To both sides of the problem, the authors have devoted extensive work, on one side, developing an interdisciplinary approach aimed at building up a transdisciplinary understanding of information across systems of different nature [4–8], on the other, underpinning a model of information management for sustainability [9–14]. The current work is dedicated to applying the second model to the sustainability of the first endeavor. As regards the mastering of information management for sustainability and adopting a systemic perspective, information constitutes in itself propagation and steering of order, and the increase in the order of the system (be it biotic, anthropic or technical),2 which at the same time is associated to the capacity and resilience of the system. Therefore, the mastering of information is directly linked to the sustainability of systems. However, as we argued above, the alleged proliferation of information in our age is not always linked to the empowerment of the people and organizations, which often feel overwhelmed (see note 1). Indeed, the endeavors on big-data technology respond to the need of coping with the massive availability of data. They create meaning (thus order) from the bulk of data for specific purposes and organizations, which are often private.3 But the required investments prevent from generalizing its benefits. Being consistent with the systemic approach, the bulk of available data is only informative for whomever have access to adequate big-data technologies and information means, and certainly, these are only affordable for a few people and 1

According to the European Data Protection Supervisor: “Policy makers, technology developers, business developers and all of us must seriously consider if and how we want to influence the development of technology and its application [… and how we should protect] human dignity” [3]. 2 Here “meaning” is understood in a generalised agent-based approach for which meaning represents, in the first place, effective courses of actions for the autonomous agents in their interacting environments, and includes pre-reflexive and reflexive meaning [1, 15–18]. 3 This trending approach adjusts to DIKAR model and the IMBOK framework [19].

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organizations. If the information society is to be sustainable and democratic, it needs a different deal. This situation contrasts with the management of information in biotic systems, where the information amount is rather impressive (even compared with the volumes of the Internet) [9]. If the organism is healthy, there is no information overload whatsoever. Here, the information management is structured in such a way that it instantiates the subsidiarity principle, namely that issues are dealt with at the most immediate level that is consistent with their resolution [9, 10, 14]. Following this principle, a subsidiary information management architecture has been devised and applied to the project directly aimed to the aforementioned first side of the problem, the glossaLAB project [8]. According to this architecture (namely the sybersubsidiarity model) the information flow is significantly alleviated and substituted by synthetic information which percolates “meaningfully” across organizational levels. Such an architecture represents an innovative alternative to the information management driven by bigdata technologies, aligned with the concerns referred above (s. note 2) and based on well stablished cybernetic principles and experiences [9–14, 20].

5.2 An Alternative Architecture for the Digital World Based on Network Structural Properties As the authors have shown elsewhere, the free-scale network structure exhibited by the Internet routing network offers indeed a sound footing for the instantiation of the subsidiarity principle [10, 11]. However, when analyzed globally, the real structure of the internet, particularly when it is geared by big-data technologies in the current situation of strong inequality, represents an important breach in the subsidiarity principle (ibid.). Moreover, big-data technologies seem to intensify the already intolerable inequality, pushing the periphery outwards and consequently increasing cultural and social exclusion depriving human agency to address their own issues. To overcome this problem, the authors have proposed the application of the cyber-subsidiarity model for the organization of human cooperation backed up by subsidiary information management following the aforementioned Viable System Model from the individuals all the way up until the global level [14]. This model, based on the decentralized multi-layered organization of autonomous operational units, offer at a time a means to preserve autonomy, identity, environmental and social sustainability at different levels. From the network perspective, human agency is constantly interacting with peers and other natural and artificial agents to carry out its individual and collective lives. When a group is capable to succeed in the achievement of a given communal interest in a sustainable manner, the network of human agency becomes properly a system, in which the inside and outside can be distinguished and the identity is preserved in continuous adaptation to environmental changes. At the same time, it can be

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regarded as an autonomous agent in itself (s. note 2), capable to interact with others and eventually becoming part of a system of higher order. The process of instituting one of these systems can be regarded as a process of system emergence from the network of agents. As discussed in [10, 11], the structural properties of the network constitute a fundamental condition for the network to emerge as a system, but they do not suffice. The necessary and sufficient conditions to be fulfilled by the interacting agents in order to become a sustainable system will be discussed below. We will first review the general model and subsequently apply to the project we mentioned above aimed at the constitution of a system for the sustainable co-creation of interdisciplinary knowledge. Despite its particular application, the solution is presented as a general case of management for projects aimed at the creation of a sustainable system.

5.2.1 The Viable System Model as a Paradigm of Sustainability Studding the necessary and sufficient conditions for viability of living organisms, Stafford Beer devised his well-known Viable System Model, as a paradigm of sustainability and autonomy for organizations of any kind. This model is grounded in three basic principles [20, 21]: 1.

The principle of recursion, under which any Viable System (VS) is comprised of nested VS (at the lowest level of human organisations this viability, as shown in Fig. 5.1a, is satisfied by the fact that the human is a VS), symbolically: def def def VS = {S1}, M|S1 = VS; M = {S2, S3, S3∗, S4, S5} ;

2.

Ashby’s principle of requisite variety, stating that if a system is to be stable in a given environment, the number of states (variety) of its control means must be greater than or equal to the number of states of the system in such environment; The principle of subsidiarity, under which the variety is solved at the lowest possible (recursive) level; as a consequence, only the “residual variety” percolates to the upper organizational level (first to the system’s management bodies; then, to the higher recursive level).

3.

As discussed in [14]: “The viability of each nested system means that it is able to autonomously manage the variety of its operational context (namely solving the problems related to its own activity and subsistence) by means of a proper information management to coordinate cooperation, facilitate meaningful communication, and enable the development of meta-reflexivity. To ensure, the necessary and sufficient conditions of system’s sustainability VS must be composed of five subsystems that interact with each other, represented in Fig. 5.1b: S1.

Every VS embraces several primary activities of which different operative units take care. Upon the principle of recursion, each operative unit is an VS itself and performs at least one of the fundamental functions of the organization

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Fig. 5.1 Cyber-subsidiarity model: a vertical nesting, b horizontal organization

S2.

S3.

S4.

S5.

since they are brought together to satisfy the objectives of the system in the first place. represents the information channels and functions that allow the primary activities in S1 to communicate and cooperate with one another while facilitating S3 to supervise and coordinate activities in S1, reducing the variety that S3 needs to confront. It is responsible for the immediate programming and sharing of resources to be used by the operative units, conflict resolution, and stability. encompasses the structures and controls arranged to establish S1 rules, resources, rights, and responsibilities. It guarantees internal regulation, optimizes capacities, and resources and looks after synergy at the operational level. It has a panoramic view of the processes developed in S1 used to carried out strategic planning, while it offers an interface for S4/S5 to comply with and facilitate forward planning and preserve system’s identity. Within S3, an audit subsystem, System 3* (S3*) is devoted to assess sporadically overall performance. has the function of giving account of environmental changes in order to forecast forthcoming scenarios. At the same time, it takes care of how the organization has to adapt to preserve its viability in the long-term, developing forward planning. is responsible for political decisions in the organization as a whole, balancing the demands of different parties and guiding the organization as a whole. It preserves and keeps up-to-date system’s identity.”

These subsystems respond to a triple purpose in system’s adaptation: “systems 1–3 deal with the ‘Inside and Now’ of the operations of the organization; system

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4 deals with ‘Outside and Then’ as a strategic response to external, environmental and future demands; and system 5 deals with balancing the ‘Inside and Now’ and the ‘Outside and Then’ with political and axiological directives that maintain the identity of the organization as a sustainable entity” (ibid.). Along with the fundamental principles referred to above, other regulative principles, aimed at “the distribution of variety, action and information, provide sufficient directives for the design of sustainable organizations and sustainability assessment of already established organizations. As regards information management, most of the information is handled at the operational level. Here, the information input is filtered in order to focus on the activities and issues the unit is devoted to (to this end, group’s ontology plays an important role). Since this approach holds at any organizational level, only the information that is needed in order to handle the issues not solved at a given level will percolate to the upper level” (ibid.). An interesting mechanism, namely the algedonic alerting (derived from the Greek words αλγ oς /pain and ηδ oς /pleasure), illustrates this approach in the extreme cases of dangerous or excellent performance, i.e., the situations in which identity is more concerned. In these cases, specific signals percolate through the metasystem until S5 or through organizational levels (depending on the reach of the threat or reward) [21].

5.3 Cyber-subsidiarity Model Applied to Interdisciplinary Knowledge Co-creation: Leveraging Transdisciplinarity To see the application of the cyber-subsidiarity model reviewed above, glossaLAB project has the purpose of contributing to the urgent need of setting up knowledge integration frameworks, which—as warned by a number of international and national institutions—is required to face global challenges that overwhelm disciplinary knowledge capacity [8, 22–25]. “Under this scope, glossaLAB is devised to make contributions in three main aspects of such endeavor: (i) development of a sound theoretical framework for the unification of knowledge, (ii) establishment of broadly accepted methodologies and tools to facilitate the integration of knowledge, (iii) development of assessment criteria for the qualification of interdisciplinarity undertakings” [8]. To achieve the intended objectives, glossaLAB project acts “at three different levels: at the technical level, glossaLAB aims at developing a platform for knowledge integration based on the elucidation of concepts, metaphors, theories, and problems, including a semantically operative recompilation of valuable scattered encyclopedic contents devoted to two entangled transdisciplinary fields: the sciences of systems and information. At the theoretical level, the goal is reducing the redundancy of the conceptual system (defined in terms of ‘intensional performance’ of the contents recompiled), and the elucidation of new concepts. Finally, at the metatheoretical level, the project aims at assessing the knowledge integration achieved

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through the co-creation process based on (a) the diversity of the disciplines involved and (b) the integration properties of the conceptual network stablished through the elucidation process” (ibid.).4

5.3.1 glossaLAB Project As in other projects aimed at instituting sustainable systems, glossaLAB project stems from previous experiences that were capable to achieve results in a common interest, in this case, the setting up of transdisciplinary scientific frameworks; more concretely, the conceptual integration of knowledge in the general study of systems and information. Under this goal, glossaLAB has the objective of developing the Encyclopaedia of Systems Science & Cybernetics Online (ESSCO), building upon the corpus carried out under three previous projects the International Encyclopedia of Systems and Cybernetics [26], the Principia Cybernetica [27], and glossariumBITri [5–7]. One of the methodological grounding worth mentioning is the so called interdisciplinary-glossaries developed under BITrum project as elucidation tools devoted to the clarification of concepts, methods, theories, and problems in interdisciplinary settings [8]. These interdisciplinary glossaries are used within the project as proxies for the assessment of the related knowledge integration [7]. Applying a subsidiary integration of interdisciplinary-glossaries, glossaLAB is devised to host, underneath ESSCO, other focused ID-glossaries dedicated to specific research and innovation frameworks. The subsidiary integration “implies that those articles sufficient general as to become of general interest for the study of information and system can escalate to the level of ESSCO” [8]. With the “purpose of strengthening the capacity of systems science for the integration of knowledge,” the project not only analyzes and fortifies the network of concepts, but also the network of agents through “the development of communication and impact mechanisms linked to the glossaLAB platform for knowledge co-creation” (ibid.). Figure 5.2 provides a bird’s-eye view of the project, “highlighting the flow of content from the corpus to the glossaLAB platform and from here to other dissemination pathways” (ibid.). In order to achieve project objectives through the application of the cybersubsidiarity model reviewed above, the managerial structure of the project was articulated as shown in Fig. 5.3. As we can observe, the operative units are devoted to 4 sufficiently distinct endeavors as to operate autonomously: (i) the development of the edition and publication platform (technical development); (ii) the recompilation and curation of contents (theoretical and editorial work); (iii) the assessment of knowledge integration (meta-theoretical work), and (iv) the exploitation of results (aimed at increasing impacts as well as strengthening and widening the network of scientists). 4

The interested reader can find more detailed information in this publication [8].

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Fig. 5.2 Overview of glossaLAB project as regards ESSCO’s development and content flow

5.3.2 Information Management for Sustainability and Autonomy According to the organizational principles described in Sect. 5.2.1, the articulation of the VSM requires an information and communication system backing up the whole structure and fulfilling VSM’s principles and regulative requirements. Figure 5.4 shows the coordination and management panel of the e-working environment intended to back up the adaptive management and organization of distributed and interdisciplinary work. As it can be observed in the illustration, the coordination platform concentrates the most relevant information and communication tools to facilitate the organization of work. The example corresponds to the management panel of the project as a whole, but the structure, appearance, and distribution of contents are the same for the coordination of any of the operative unit mentioned above, though adding the appropriate level of details for the dealing of the issues at stake, Consistent with the principle of requisite variety. According to the distribution of contents in the panel, the user has access, in the first place, to the information describing the state of unit/project performance and important announcements regarding coordination tasks. Colored alerts regarding issues to address, or performance to be increased. Below these information panels,

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Fig. 5.3 Organizational structure for glossaLAB project

the user has access to communication, information, and coordination tools (pending tasks, activity or incidence reports, resources request, meetings, forum, agenda, etc.). The continuously gathered information (particularly from activity reports) supports the determination of figures and alerts of the information boards. At each level, the information shown in the management panels corresponds to the activity framework the teams are devoted to, which is related (according to the principle of requisite variety) to the variety not solved at the lower level. The performance indicators and alerts will be based on aggregate information from the lower level regarding overall performance. Figure 5.5 shows the functional structure of this environment with respect to the information recorded. The determination of system’s state, in terms of performance information, is not in direct relation to the last updated performance indicators, based on recorded observations, but rather on a Kalman filtering grounded on the sequence of previous values and a model of the operational system as we will see below.

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Fig. 5.4 Coordination and management panel as a hub of communication and information facilities for the integration of distributed cooperation

Fig. 5.5 e-Working environment for the adaptive coordination, monitoring, and management of glossaLAB project and its operative units

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5.3.3 Information Filtering Across Organization Levels At the lowest organizational level, performance indicators—to a substantial extent— will be straightforward derived from the information provided by the people involved. Keeping this information up-to-date is therefore a fundamental commitment from participants to make the whole organization viable. A critical aspect for the regulation of the integrated activity, regarding the distribution of variety among levels, concerns the aim of filtering the residual variety upwards. Since each level has to manage the (horizontal) sum of all residual variety of the lower levels (corresponding to the set of operative units managed), the performance indicators at the higher level must be composed by the aggregate of the lower levels so that they are maximally relevant for the decision-making [21]. Hence, at a given level n, the performance indicators, z, will be the aggregated result of indicators from the lower level (n − 1) automatically filtered, F{.}, applying the relevance rules fixed at managerial level, and additional indicators from own level activities: z n = {F{z n−1 }; z n }

(5.1)

Unveiling system’s performance beyond observation. Mid- and long-term management requires not only monitoring current outputs, which also depends on spurious outer variables, but particularly system’s state, x (for instance, crew performance can be very reliable, though harvesting can be temporary diminished due to short terms meteorological variations that can modify the daily harvest but not crew performance or the harvesting in longer terms). Another relevant aspect to ground decision-making is uncertainty. It is not only worth knowing how system is performing and in what situation it really is, but also how uncertain this knowledge is. To this end, performance indicators and other measurements constitute the phenomenological layer of the system itself, which is non-observable as a whole. We map the system through models (for state transition, for control-input, for the relation to observables) that can be linear or nonlinear, depending on the complexity and dynamics involved, and our knowledge about the system. With these models and previous observations, system’s state, forthcoming dynamics, and associated performance can be previewed and contrasted with the observations. According to the overall model, the current state is determined by the transition from previous state, the effect of control inputs, and processual noise: x k = Fk x k−1 + Bk uk + wk

(5.2)

where xk represents the system’s state in current iteration (k − 1 is the previous one), F the transition model, B the control-input model, u the control-vector, w the process noise (assumed to be Gaussian).

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At the phenomenological level the observable is determined by the state of the system and the observation noise: z k = Hk x k + v k

(5.3)

where zk represents the observable in current iteration, H the observation model, v the observation noise (which is assumed to be Gaussian). The correction carried out to improve estimates through generalized Kalman filtering enables tracking more precisely system’s performance and uncertainty, upon which decision-making can be more solidly grounded [28, 29]. Reducing global network information flow. Turning back to the network perspective, glossaLAB informational structure, in comparison with the effective networking under big-data operation, reduces significantly the information loop and the information flow itself, criticized in Sect. 5.1 and [10, 11]. However, this is not because the size of the information cannot be accounted as big-data, but because the information management is completely different. Similar as what the living organism do through a natural application of the subsidiary principle, we have closed the loop of information meaning extraction and use, reducing the information flow in the overall network. Indeed, in a situation of full deployment of the organizational structure devised as to embrace the whole editorial activity of the glossaLAB platform, the information harvested may acquire a considerable size. The authors have also applied the approach to the sustainable management in the Ecuadorian cooperative artisanfisheries, involving the potential articulation of a population of about 70.000 fishers and the acquisition of maritime sensorial data for the simulation of the fishery’s ecosystems which certainly have a size similar to other big-data projects [11]. Most of the information flow actually takes places at the level of the operative units. Above this level, the data is transformed into most meaningful information for the decision-making regarding the problems tackled through the filtering and data aggregation explained above. This turns the game we saw in Sect. 5.2 upside down, instead of making the information circulate through a node and data center controlling all the information management (encapsulating alien interests), the information is pushed from bellow and ends where the issues are solved or where the upward impulse decides to.

References 1. Logan, R.K.: What is information? DEMO Publishing, Toronto (2014) 2. Madakam, S., Ramaswamy, R., Tripathi, S.: Internet of Things (IoT): a literature review. J. Comput. Commun. 3, 164–173 (2015) 3. European Union: Executive summary of Opinion No 4/2015 of the European Data Protection Supervisor, ‘Towards a new digital ethics: Data, dignity and technology’, OJ C 392, 9–10 4. Díaz-Nafría, J.M.: What is information? A multidimensional concern. TripleC 8(1), 77–108 (2010). https://doi.org/10.31269/triplec.v8i1.76

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5. Díaz-Nafría, J.M., Salto, F., Pérez-Montoro, M. (coord.): glossariumBITri: Interdisciplinary Elucidation of Concepts, Metaphors, Theories and Problems concerning Information. UPSE-BITrum, Libertad, Ecuador/León, Spain (2016). E-book: https://goo.gl/QnJpQ4. Last accessed 1/8/2019. Online interactive version: http://glossarium.bitrum.unileon.es/glossary. Last accessed 1/8/2019 6. Díaz-Nafría, J.M., Guarda, T., Coronel, I.: A network theoretical approach to assess knowledge integration in information studies. Smart Innov., Syst. Technol. 94, 360–371 (2018). https:// doi.org/10.1007/978-3-319-78605-6_31 7. Díaz-Nafría, J.M., Burgin, M., Rodríguez-Bravo, B.: Evaluation of knowledge integration through knowledge structures and conceptual networks. In: Dodig-Crnkovic, G., Burgin, M. (eds.) Philosophy and Methodology of Information, pp. 457–489. World Scientific Publishing, Singapore (2019). https://doi.org/10.1142/9789813277526_0021 8. Díaz-Nafría, J.M., Guarda, T., Burgin, M., Hofkirchner, W., Zimmermann, R., Chroust, G., Belli, S.: glossaLAB: co-creating interdisciplinary knowledge. Commun. Comput. Info. Sci. 1051, 423–437 (2019). https://doi.org/10.1007/978-3-030-32475-9_31 9. Díaz-Nafría, J.M.: eSubsidiarity: an ethical approach for living in complexity. In: Hofkirchner, W., Burgin, M. (eds.) The Future Information Society: Social and Technological Problems, pp. 59–76. World Scientific Publishing, Singapore. https://doi.org/10.1142/9789813108974_ 0004 10. Díaz-Nafría, J.M.: Cyber-subsidiarity: toward a global sustainable information society. In: Carayannis, E.G., et al. (eds.) Handbook of Cyber-Development, Cyber-Democracy, and CyberDefense, pp. 1–30. Springer, Berlin (2017). https://doi.org/10.1007/978-3-319-06091-0_39-1 11. Díaz-Nafría, J.M., Guarda, T.: Is the structure of our digital world suited for a fair intercultural life? Culture-Communication-Cooperation 22, 243–276 (2018) 12. Díaz-Nafría, J.M., Guarda, T.: Participatory Sensing in Sustainable Mobility: biciLAB Model. Smart Innov., Syst. Technol. 94, 97–104 (2018). https://doi.org/10.1007/978-3-319-78605-6_8 13. Guarda, T., Díaz-Nafría, J.M., Augusto, M.F., Vitor, J.A.: Territorial intelligence in the impulse of economic development initiatives for artisanal fishing cooperatives. Smart Innov., Syst. Technol. 94, 105–115 (2018). https://doi.org/10.1007/978-3-319-78605-6_9 14. Hofkirchner, W., Díaz-Nafría, J.M., Crowley, P., Graf, W., Kramer, G., Kreowski, H.J., Wintersteiner, W.: ICTs connecting global citizens, global dialogue and global governance. A call for needful designs. Commun. Comput. Inf. Sci. 1051, 453–468 (2019). https://doi.org/10.1007/ 978-3-030-32475-9_33 15. Feistel, R.: Self-organisation of symbolic information. Eur. Phys. J. 226(2), 207–228 (2017) 16. Díaz-Nafría, J.M., Zimmermann, R.: Emergence and evolution of meaning. Triple C 11(1), 13–35 (2013). https://doi.org/10.31269/triplec.v11i1.334 17. Díaz-Nafría, J.M., Zimmermann, R.: The emergence and evolution of meaning. The GDI revisiting programme. Part 2: regressive perspective. Information 4(2), 240–261 (2013). https:// doi.org/10.3390/info4020240 18. Zimmermann, R., Díaz-Nafría, J.M.: The emergence and evolution of meaning. The GDI revisiting programme. Part 1: progressive perspective. Information 3(3), 472–503 (2012). https:// doi.org/10.3390/info3030472 19. Bytheway, A.: Investing in Information. The Information Management Body of Knowledge. Springer, Berlin (2015) 20. Schwaninger, M.: Organizing for sustainability: a cybernetic concept for sustainable renewal. Kybernetes 44(67), 935–954 (2015) 21. Beer, S.: Diagnosing the System for Organizations. Wiley, New York (1985) 22. Hainaut, L.: Interdisciplinarity in General Education. UNESCO, Paris (1986) 23. EURAB Interdisciplinarity in Research. Final Report. European Commission—European Research Advisory Board (EURAB). European Commission, Brussels (2004). https://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2004:0009:FIN:EN:PDF. Last accessed 10/9/2020 24. DEA-FBE: Thinking Across Disciplines—Interdisciplinarity in Research and Education. Danish Business Research Academy (DEA) & Danish Forum for Business Education

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Chapter 6

Digital Transformation Impact in Security and Privacy Andrea Díaz, Laura Guerra, and Eleazar Díaz

Abstract Emerging technologies are changing the way people live and how businesses work. There is an exponential growth of data that is leading to the rise of new developments that allow companies to get actionable insights and improve their business model. This is what digital transformation is about. It refers to the process of involving new technologies to create new business processes or change existing ones. Digital transformation can be very beneficial for a company as one of its primary goals is to enhance customer engagement. Nowadays, consumers are expecting personalized experiences from companies. Therefore, it is essential for companies to use technology to innovate their processes and analyze the vast amount of data that is generated daily so they can meet customers’ expectations. However, as more data is generated and new technologies are evolved, risks and threads are becoming a concern for both businesses and consumers. Security and privacy are key factors companies need to consider when implementing technologies that could potentially affect the consumer. In order to succeed and avoid big cost implications, measures that ensure the security of data are necessary. This paper addresses the benefits and drawbacks of digital transformation in business, primarily focusing on the risks that come with it, such as privacy and security. It also explains how new technology is able to solve these problem and new trends that would be interesting to do research on in future.

6.1 Introduction Digital transformation, understood as technological changes within business models, products and organizational structures [1], implies the permanent digitization of the activities of the organization and of society in general, based fundamentally on A. Díaz University of the Cumberlands, Williamsburg, KY 40769, USA L. Guerra (B) · E. Díaz Pontifical Catholic University of Ecuador Ibarra Headquarters, 100150 Ibarra, Ecuador e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_6

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electronic commerce and on the internet of things [2]. This leads to a large amount of diverse and dynamic data, which can be generated from different sources and captured in various ways, with wireless connections to mobile devices and applications [3]. In Becker’s opinion [4], companies should implement digitization strategies to collect and analyze data related to their commercial activities that ensure their survival in the market. Therefore, data has become a business asset that organizations in any industry are using to gain competitive advantage; and having the power to access and gain useful information from it, it is a key in today’s competitive world. Even though it has been around for years, it is now that businesses understand the potential of it, if captured completely and used it effectively [5]. To use data effectively, it is crucial to have clear business goals and be able to manage and analyze data, which can be challenging due to the massive amount of it available. That is why, it is necessary for organizations to invest in emerging technologies so that they can use all the data to improve their decision-making process, increase customer engagement, operations efficiency, etc. This will help businesses to get ahead of competitors. New technologies such as the internet of things (IoT), machine learning, artificial intelligence, cloud computing, etc., are changing the way we live and do business. They are capable of handling huge amounts of data in real time, identify patterns, and make predictions. The way a company uses technology is part of what is called digital transformation. However, this term does involve not only technology updates but also revenue increases. The improvement of a business model based on digital transformation will potentially benefit the company in the long run [6]. However, there are some risks and threads that organizations need to consider when adopting new developments. For example, security, privacy, and availability are a big concern Industry 4.0, and it is a key factor in the success of the digital transformation [7].

6.2 Digital Transformation in Security and Privacy. Problem Statement The way digitalization is affecting many different issues in peoples’ lives, such as jobs, inequality, health, and privacy, are a big concern for all industry leaders. Li et al. [8] report that data privacy and security are key factors to be successful in handling data, avoiding risks of violations in the means of transport and in the exposure of the data themselves. Another important aspect is that organizations have increased the use of the cloud to store, process, and share information with the stakeholders, which also increases the risks of vulnerability or loss of data [9]. There are also ethical questions regarding the way technology and data are used by organizations to increase revenue, and that has affected trust toward all businesses [10, 11]. Additionally, the world is transitioning from physical to digital technology, and forecasts by Statista [12] indicate that the number of interconnected devices will increase from 22 to 50 billion in a period of 2018–2030. This means that the amount

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of data is also expected to grow. Attacks are more likely to happen as the more the data with an organization. Therefore, there is an urgent need for them to implement data security measures that can protect databases, files, and all sensitive information [13]. The emerging privacy laws are also impacting businesses and are asking them to meet different requirements regarding security and privacy. For example, the General Data Protection Regulation (GDPR) was passed by the European Union (EU), and it forces businesses to implement data protection principles so that EU citizens can have more control over their personal data. It also requires business to collect data under strict conditions. Otherwise, they could get a fine that could range from ten to twenty million euros. There are also new laws emerging in the US that address the use of personal data, and some contain the key principles of the DGPR. Since the cost of illegally dealing with data is pretty high, companies should definitely strengthen data security measures. This research aims to analyze the benefits and risks of digital transformation and what the organization should be to maintain the security and privacy of its digital data.

6.3 Research Analysis Studies show that in order to prevent illegal access to confidential information and protect personal data, and it is necessary to focus not only on technical issues but also on non-technical issues [14]. Since new technologies started to emerge, information security has always been a fundamental role due to the potential damage hackers could provoke, such as breaching security and harming users. Therefore, continuous efforts to decrease the likelihood of this to happen have been made. Threats like Ransomware, which is a form of malicious software that is able to encrypt files and any device’s data, is an example of how big the damage could be and should spread awareness between businesses to learn the best way of dealing with it [15]. Hackmageddon conducted a study that shows motivations behind the attacks in total attacks of two hundred fifty-one in January 2020. Cybercrime was leading the chart with 80.8%, followed by cyber espionage with 8.6%, and cyber warfare and Hacktivism 4.6 and 4%, respectively. The study also shows all the different techniques that attackers used to perform those criminal acts. There were three main techniques used by attackers. 35.1% of attacks fell into the malware category, while 15.2% were account hijackings, and 12.6% were targeted attacks. The remaining techniques included vulnerability, malicious script injection, malicious spam, website defacement, business email compromise, distributed denial-of-service, misconfiguration, DNS hijacking, 51% attack, malvertising, password-spaying, search engine poisoning, domain spoofing, and malicious npm package. Finally, the research indicates that attacks against public administration, defense, and social security institutions were the most common on that month, followed by a single individual and then healthcare industry [16].

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It is important for companies to look at the statistics, study what techniques are more frequently used and which industries are more likely to suffer attacks so they can lower the chances of experience a data breach of some kind. Furthermore, companies need to understand that security is their responsibility. It includes the firewalls, laws, passwords guidelines, etc., and they need to take it seriously. The protection of peoples’ personal data is out of the user’s control, and these must be safeguarded [17]. They need to be transparent not only when gathering data, but also if a breach does happen. On the other hand, privacy depends on the user, and it is his choice whether he wants to share his personal information or not. A recent study suggests that almost 60% of Americans do not trust companies, and they don’t think they have their best interest when using the consumers’ personal data. Still, consumers are willing to give up their data as long as they get something in return, such as personalized experiences. To accomplish that data needs to be collected. It is a win–win, but it is key for companies to succeed to build trust in regards to privacy and security [18].

6.4 General Findings Organizations have different ways to manage privacy concerns and mitigate privacy risks when making a digital transformation. Kieran [19] describes four essential steps, which are privacy-focused that companies should follow in order to make the transformation as safe as possible: • Sometimes businesses would hire third-party vendors to help them overcome the digital transformation challenges. They must review the vendors’ Data Processing Agreements (DPA) to ensure their data policies align with the vendor’s privacy compliant and data policies. Otherwise, the company would be experiencing a big risk of violating their own privacy policies. • Businesses should monitor risk by performing impact assessments. Nowadays, there is constant change, and businesses can’t afford to make damaging decisions that will affect any kind of data activity. Therefore, implanting risk assessments would make businesses think more strategically and will help them make better decisions and deal with privacy risks. • Making privacy policies clear is important in order to be accessible to all customers. Apart from stakeholders and regulatory requirements, customers also need to understand and be able to have a clear interpretation of what the policy means for them. That way, they will trust the company. • At times of rapid change, it is preferable to designate a Data Protection Officer (DPO), so that data decisions are a centralized responsibility instead of spreading it out across departments. DPOs can be helpful to deal with privacy concerns in an organization and to regulatory bodies. Having a DPO is a quick, simple, and cost-effective way of dealing with risks, which is key when experiencing a digital transformation.

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Fig. 6.1 Organization and digital ecosystem

These points can be developed when the organization identifies the ecosystem where it is immersed (Fig. 6.1).

6.4.1 Strength Identification Relative to Disruption New technologies are coming together with new threads. However, businesses are aware of the importance of shared security responsibility. Hence, they are working along with cloud service providers to develop new detection technologies. It has always been challenging to identify threats because of the developments in machine learning, which powers social engineering and malware. However, new technologies are emerging that are capable of fights against these threats. These new technologies work as a tool that quickly identifies and develops a solution to these attacks in real time. Walker [20] explained some of the most relevant emerging technologies: • Security orchestration, automation, and response (SOAR): These are different solutions that focus on security automation, case management (threat and vulnerability), and incident analysis and response to streamline security operations. They are capable of identifying threats in real time without too much manual labor, and that way improve security by using intelligent automation functionality. • User and entity behavior analytics (UEBA): Even though these solutions share the same goal as SOAR, which is to detect threats in real time, they use behaviorbased analytics. They are capable of gathering insights from the users’ network, and their data generated every day so that malicious behaviors can be detected. The way it works is by collecting information and building a model or pattern, including the user’s actions, locations, behaviors, etc., and that way, establish a risk score. After establishing the threshold, all risk scores above this will alert security staff so they can take action. • Zero trust network solutions: These are very popular solutions. A study made by Zscaler found that almost 80% of IT security teams would like to acquire a zero trust model. These limit access to private networks by requiring identity identification so breaches can be minimized.

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There are other technologies such as the Endpoint Threat Detection and Response, fraud protection, bot detection, etc., that will continue evolving, adding more features that are key nowadays like real time analytics and response automation.

6.4.2 Weakness Identification Relative to Disruption According to Nguyen-Duy [21], almost 90% of CISOs agreed that during digital transformation, security issues are really important and will have a business impact that can vary from “somewhat” to “extremely large.” It is undeniable that security issues are increasing at the same pace as new technologies are emerging, and organizations are pursuing digital transformation. Adopting new technologies means dealing with attack surfaces and the risk of an experiencing a high number of entryways into a network, and environments with IoT and multi-clouds are the most vulnerable. That is why, organizations need to embrace security solutions and look for a way to have better control and visibility of the system, users, and other behaviors. A report made by Deloitte [22] stated how essential it is for an organization to identify all risk areas when going through a digital transformation. For example, inappropriate controls from vendors, inappropriate handling of sensitive data, the inability to investigate in case of a fraud or security breach, disruption in operations, technology failures, unauthorized access to the technology systems, and so on.

6.4.3 Why Is This an Opportunity? Newman [18] explained that companies that are constantly looking for ways to integrate transparent privacy policies across all departments are the ones that will benefit from the increase in brand loyalty. Newman said that it is not only about meeting the requirement of the General Data Protection Regulation, but also to exceed them. Companies that are trying to incorporate blockchain to improve security and overall operations and are actively offering information to their customers and always making clear that all data collected it’s for their benefit to improve their experience. Newman also predicts that privacy will become a key strategy for businesses to succeed in the next five to 10 years. When customers trust companies, they do business with them, and sales increase. Despite the risks and potential threats, digital transformation is still a process that all businesses should implement in order to accelerate their operations, improve customer experience, and increase revenue. All forecasts lead to the growth in technology and data, so it is vital for companies to understand the complexity of privacy risk management from now. By switching from traditional to technology companies, they will be able to leave conventional operating models behind and explore new ways of work. Also, companies that embrace these new technologies to ensure the

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security of data will be prepared for the future, and it will enable business growth [13].

6.4.4 Why Is It a Threat? Cisco Systems, Inc. [23] reported that in 2019 the probability of experiencing a data breach was over 29%, and the average cost associated with it was 3.92 M USD. Businesses are also looking to shift to the cloud, and that will challenge security and privacy even more. According to Cisco’s report, 80% of enterprises will shift their operations to the cloud by 2025. This should drive companies to adopt new technologies and tools that allow them to detect attacks and minimize security issues. Also, by 2025, people will be working anywhere using many different devices, and it will constitute almost 80% of all IP traffic. Concerns about potential data breaches and hacker attacks are constantly increasing among all industries, and as businesses embrace new technologies and live in a digital world, risks are higher, and attacks are more likely to happen.

6.4.5 How Does This Disruption Solve Privacy and Security Problems? Information technology can be seen not only as of the cause of privacy problems but also as a way to solve these problems. Different techniques, practices, and rules can be applied to minimize risks. For example, in any IT system that stores sensitive data, it is essential to apply correctly modern cryptographic techniques so secure connections can be provided for browsing (HTTPS) and networking (VPN) [24]. Additionally, cyber threat intelligence can provide help to the security team by informing them about suspicious activities and risk assessments. When business applies threat intelligence to risk scenarios are more likely to reduce risks and make more informed decisions. Almost 50% of companies in the technology sector are planning to invest in artificial intelligence as a security measure. There are constant researchers studying how to use technology and new developments to design new threat modeling. This could help companies to decide on which direction to go regarding IoT security [25].

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6.4.6 Further Areas of Research to Consider It is always interesting to research new developments, and there is a new technique that could help businesses to preserve privacy in their systems, and it is called “homomorphic encryption.” This relatively new technique is able to process encrypted data, meaning that users could send sensitive data and get results, and it is all going to be in encrypted form. The user is then able to decrypt and use the results, and the data processor is not going to have access to any of these personal data. Currently, this technique is presenting issues when applied to large amounts of data, so it is still not widely used among companies. However, there are techniques that use the same encryption scheme that is being developed, like Somewhat Homomorphic Encryption. There is a promising future for data privacy and security, and current technologies are used to develop tools that will help organizations to fight this issue [24].

6.5 Conclusions Organizations have been impacted by digital transformation in many ways. They now have a different approach to how to do business and use technology. However, the constant growth of data generated worldwide is affecting their networks, making them bigger than ever. That is why, the need for them to adjust their security measures and privacy policies is imminent. Reducing challenges and risks has become a priority, and if they are not well implemented, there could be bad consequences. The rapidly changing environment offers opportunities for companies to expand their capabilities and look for new initiatives. They shouldn’t focus on the challenges involved when going on a digital journey. Instead, they should overlook the benefits that could bring to their businesses and how well could impact them by increasing revenue, streamline processes, increase efficiency, enhance customer engagement, promote growth, etc. Security should always remain a priority, and hopefully, researches will be able to develop new tools that can help companies to stay ahead of threat acts.

References 1. Nadkarni, S., Prügl, R.: Digital transformation: a review, synthesis and opportunities for future research. Manage. Rev. Q. 1(1), 1–16 (2020). https://doi.org/10.1007/s11301-020-00185-7 2. Lim, S., Henriksson, A., Zdravkovic, J.: Data-driven requirements elicitation: a systematic literature review. SN Comput. Sci. 2(16), 1–35 (2021). https://doi.org/10.1007/s42979-02000416-4 3. Bag, S., Gupta, S., Kumar, S.: Industry 4.0 adoption and 10R advance manufacturing capabilities for sustainable development. Int. J. Prod. Econ. 231(1), 1–12 (2021). https://www.scienc edirect.com/science/article/abs/pii/S0925527320302103

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4. Becker, W., Schmid, O.: The right digital strategy for your business: an empirical analysis of the design and implementation of digital strategies in SMEs and LSEs. Bus. Res. 13(1), 985–1005 (2020). https://doi.org/10.1007/s40685-020-00124-y 5. Coquard, E.: How digital transformation can change your business in 2020. Medium. https:// medium.com/@the.scalers/how-digital-transformation-can-change-your-business-in-2020dec882d2cf36. Last accessed 2020, 03, 26 6. Morgan, B.: 7 examples of how digital transformation impacted business performance. Forbes. https://www.forbes.com/sites/blakemorgan/2019/07/21/7-examples-of-howdigital-transformation-impacted-business-performance/#d82f89251bbe. Last accessed 2020, 12, 05 7. Horak, T., Strelec, P., Huraj, L., Tanuska, P., Vaclavova, A., Kebisek, M.: The vulnerability of the production line using industrial IoT systems under ddos attack. Electronics (Switzerland) 10(4), 1–32 (2021). https://doi.org/10.3390/electronics10040381 8. Li, Y., Ouyang, K., Li, N., Rahmani, R., Yang, H., Pei, Y.: A blockchain-assisted intelligent transportation system promoting data services with privacy protection. Sensors (Switzerland) 20(9), 1–22 (2020). https://doi.org/10.3390/s20092483 9. Chanson, M., Bogner, A., Bilgeri, D., Fleisch, E., Wortmann, F.: Blockchain for the IoT: privacy-preserving protection of sensor data. J. Assoc. Inf. Syst. 20(9), 1271–1307 (2019). https://doi.org/10.17705/1jais.00567 10. Clark, K., Duckham, M., Guillemin, M., Hunter, A., McVernon, J., O’Keefe, C., Pitkin, C., Prawer, S., Sinnott, R., Warr, D., Waycott, J.: Advancing the ethical use of digital data in human research: challenges and strategies to promote ethical practice. Ethics Inf. Technol. 21(1), 59–73 (2019). https://doi.org/10.1007/s10676-018-9490-4 11. Ogbuke, N.J., Yusuf, Y.Y., Dharma, K., Mercangoz, B.A.: Big data supply chain analytics: ethical, privacy and security challenges posed to business, industries and society. Prod. Plan. Control 1(1), 1–15 (2020). https://doi.org/10.1080/09537287.2020.1810764 12. Statista: Number of connected devices worldwide 2030. Statista. https://www.statista.com/sta tistics/802690/worldwide-connected-devices-by-access-technology/. Last accessed 2020, 11, 05 13. Yarovenko, H., Bilan, Y., Lyeonov, S., Mentel, G.: Methodology for assessing the risk associated with information and knowledge loss management. J. Bus. Econ. Manag. 22(2), 369–387 (2021). https://doi.org/10.3846/jbem.2021.13925 14. Mcgruer, J.: Emerging privacy legislation in the international landscape: strategy and analysis for compliance strategy and analysis for compliance. Wash. J. Law Technol. Arts 15(2), 120– 159 (2020). https://digitalcommons.law.uw.edu/cgi/viewcontent.cgi?article=1303&context= wjlta 15. Ali, S., Husain, S., Sharma, M.: A study on emerging cyber technologies, threats, and prevention in information security. IOSR J. Comput. Eng. 19(2), 49–54 (2017). https://doi.org/10.9790/ 0661-1902044955 16. Passeri, P.: January 2020, Cyber attacks statistics. HACKMAGEDDON. https://www.hackma geddon.com/2020/03/03/january-2020-cyber-attacks-statistics/. Last accessed 2020, 07, 27 17. Larrucea, X., Moffie, M., Asaf, S., Santamaria, I.: Towards a GDPR compliant way to secure European cross border healthcare industry 4.0. Comput. Stand. Interfaces 69(1), 1–7 (2020). https://doi.org/10.1016/j.csi.2019.103408 18. Newman, D.: What is privacy in the age of digital transformation? Forbes. https://www.forbes. com/sites/danielnewman/2019/05/02/what-is-privacy-in-the-age-of-digital-transformation/# 1fda2aa3628e. Last accessed 2020, 12, 07 19. Kieran, C.: Have your privacy policies kept up with your digital transformation? Harvard Business Review. https://hbr.org/2020/06/have-your-privacy-policies-kept-up-with-your-digital-tra nsformation. Last accessed 2021, 01, 05 20. Walker, A.: 2020 technology trends for cybersecurity. Research Hub. https://research.g2.com/ insights/2020-trends/cybersecurity-technology-trends-2020. Last accessed 2020, 12, 10 21. Nguyen-Duy, J.: How digital transformation has impacted security and how to minimize risk. CSO Online. https://www.csoonline.com/article/3292927/how-digital-transformationhas-impacted-security-and-how-to-minimize-risk.html. Last accessed 2020, 12, 12

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Chapter 7

ISOLA: An Innovative Approach to Cyber Threat Detection in Cruise Shipping Pedro Merino Laso, Loic Salmon, Maya Bozhilova, Ivan Ivanov, Nikolai Stoianov, Grigor Velev, Christophe Claramunt, and Yantsislav Yanakiev Abstract Cruise ships nowadays can carry more than 5500 passengers and 2200 crew members for an average time of seven days per trip. The cruising industry makes up a large proportion of the tourism market, and demand is on the rise. Despite the large numbers of people on board, crime reporting on cruise ships is so far relatively low. While the ship itself faces security threats, activities on board and on shore provide many opportunities for targets and security flaws to be exploited. With the proliferation of activities and data sensors on board, there is an urgent need to develop data fusion algorithms in order to provide a global view of an information environment. The research presented in this paper develops an analysis of current cyber risks at sea, with a specific focus on cruising ships, currently under development P. M. Laso · L. Salmon · C. Claramunt (B) Naval Academy Research Institute, Brest, France e-mail: [email protected] P. M. Laso e-mail: [email protected]; [email protected] L. Salmon e-mail: [email protected] P. M. Laso French Maritime Academy (ENSM), Nantes, France M. Bozhilova · I. Ivanov · N. Stoianov · G. Velev · Y. Yanakiev Bulgarian Defence Institute, Sofia, Bulgaria e-mail: [email protected] I. Ivanov e-mail: [email protected] N. Stoianov e-mail: [email protected] G. Velev e-mail: [email protected] Y. Yanakiev e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_7

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with the scope of the H2020 ISOLA project. Several fusion algorithms are described and discussed, while further needs for more secure cyber environments are finally discussed.

7.1 Introduction Cruise ships today can carry more than 5500 passengers and 2200 crew members for an average time of seven days per trip. The cruising industry makes up a large proportion of the tourism market, and demand is on the rise. Large ocean liners and cruise ships are being built to accommodate new travel routes as well as high volumes of passengers. The cruise industry contributed to a record e47.86 billion to the European economy in 2017 which represents a significant increase as compared to the previous years. Cruise operators are challenged to develop competitive cruise packages for potential clients through developing new itineraries, high quality on board amenities, as well as shore-based excursions giving access to various cultural sites and activities in the countries where the ships dock. While the delivery of such large services present unquestionable advantages for clients on board, this opens the room for many security threats. Despite the large numbers of people on board, crime reporting on cruise ships is so far relatively low. While the ship itself faces security threats, activities on board and on shore provide many opportunities for targets and security flaws to be exploited by individuals or groups with motivation to do so. For instance, one of the main issues concerns organized groups that intentionally plan to attack vessels at sea, usually piracy or terrorism acts [9]. To address these risks, the Safety of Life at Sea (SOLAS) Convention has included in 2002 an amendment called International Ship and Port Facility Security (ISPS) Code. This code defines minimum security arrangements for ships, ports and government agencies. Therefore, cruise companies nowadays take security threats more seriously, with the objective of designing and implementing the most appropriate strategies and solutions to provide passengers the best security policies, and ensure the cruise and its activities are not endangered by any security threats. Furthermore, cyber security has become a major concern in shipping. International Maritime Organization (IMO) has recalled that International Safety Management (ISM) Code demands to achieve and maintain high standards of safety and environmental protection and today maritime companies’ needs to address cyber security risks [5]. IMO also encourages administrations to ensure that cyber risks are appropriately addressed in safety management systems [4] no later than the first annual verification of the company’s Document of Compliance after 1 January, 2021. The aim of this position paper is to introduce current threats and challenges specifically related to cyber risks at sea, and with a specific focus on cruising ships. We first survey current existing protocols and solutions closely associated to threats at sea, as well as the range of suspicious activities on board. The work is part of the European project ISOLA (Innovative and Integrated Security System on Board

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Covering the Life Cycle of a Passenger Ships Voyage) developed under the scope of the Horizon2020 program. The main objectives of ISOLA are to develop, integrate, test, deploy, demonstrate and validate a systematic and fully automated security approach by incorporating innovative technologies for sensing, monitoring, data fusion, alarming and reporting real time during illegal incidents at sea. Among many objectives, the project explores a collaborative architecture for monitoring and detecting security incidents and events, and early warning methods for the ship security crew to prevent security issues. The approach should take into account the large range of different types of sensors and smart devices deployed in several areas of the ship. In order to provide comprehensive alert systems to the crew, a crucial objective is to develop data fusion algorithms, reasoning and reporting capabilities.

7.2 Cyber Risks in Cruising Ships Cruising ships can be considered as small cities on water. They represent an important target to attackers with different goals such as theft or terrorism. This type of vessel can be a privileged target due to its very large size and information infrastructures on board, lack of cyber security experts on board, isolated networks not specially secured and the difficulty to interact with remote experts too. This section describes the main cyber risks and contingency plans that should be addressed.

7.2.1 Cyber Risks: From Threats to Vulnerabilities and Contingency Plans It has been long recognized that maritime cyber security encompasses an urgent need to raise awareness on cyber threats and vulnerabilities to support safe and secure shipping, which is operationally resilient to cyber risks. This implies to develop safe practices in ship operations and a safe working environment, assessment of all identified risks to ships, personnel and the environment, establishment of appropriate safeguards, and continuous improvement of safety management skills of personnel ashore and aboard ships. Maritime cyber risk can be defined as a measure of the extent to which a technology asset is threatened by a potential circumstance or event, which may result in shipping-related operational, safety or security failures, as a consequence of information or systems being corrupted, lost or compromised. The most important vulnerable systems of a given ship cover a large range of items from ship management and propulsion systems to administrative crew and passenger networks. Two types of threats generally arise: malicious actions (e.g., hacking or introduction of malware) and unintended consequences of actions (e.g., software maintenance

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or user permissions). In general, both actions expose vulnerabilities (e.g., outdated software or ineffective firewalls) or exploit a system vulnerability. Effective cyber risk management should consider both kinds of threat. Cyber safety incidents can arise as the result of for instance a cyber security incident that might affects the availability and integrity of a ship, for example corruption of chart data held in an Electronic Chart Display and Information System (ECDIS), a failure occurring during software maintenance and patching, loss of or manipulation of external sensor data, critical for the operation of a ship—this includes but is not limited to Global Navigation Satellite Systems (GNSS). When establishing an evaluation of cyber threats, a series of actions should be taken. A first step is the identification of threats and motives of organizations and individuals to exploit cyber vulnerabilities (e.g., obsolete operating systems and networks), inadequate security configurations and practices. A second step is to identify vulnerabilities. A third step is to assess risk exposure, while a fourth step is to develop protection and detection measures. In order to protect critical systems and data, multiple layers of protection measures, which take into account the role of personnel, procedures and should take into account technical (e.g., network and services, communications) and procedural measures (e.g., training and awareness, maintenance, people access). Contingency plans should be implemented. This measures should be also implemented in teleoperated security systems as drones [8]. This includes disconnecting an operating ship from shore network connection. Disconnecting is likely to prevent the attacker from being able to manipulate safety critical systems or take direct control of the system. Disconnecting could also takes place to avoid malware spreading between networks. Finally, a series of measures should be taken to and recover from cyber security incidents.

7.2.2 Cyber Risks at Sea While maritime monitoring capabilities have been largely extended over the past few years, AIS malicious actions are still possible and range from falsification of transmitted data to disappearance of AIS tracks [10]. The detection of deliberate piracy actions clearly requires the implementation of a vessel monitoring system whose objective will be to identify anomalies and abnormal behaviors potentially. In [3], the authors addressed and discussed computational issues associated to the integration of large maritime data flows in order to identify and visualize some phenomena of interest such as regular and abnormal behaviors. Within the scope of the Datacron project [14], and in order to real-time monitor maritime data, ontologies provide appropriate information representation mechanisms at the conceptual and representation levels to generate relevant data summaries that can be extracted from database implementations. However, there is also a need to develop and implement some specific real-time algorithms for tracking and categorize the large extent of vessel trajectories anomalies that can reveal some piracy threats or current unfriendly actions. Among the potential

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behaviors that can denote some anomalies and then potential piracy acts that happen at sea let us mention an abnormal change of position, usurpation of identity (or AISS proofing) [10]. Some boats can also no longer transmit their positions during a given time intentionally (or Going Dark) [7] and are difficult to detect considering [12] signal loss for AIS data. In order to address all these issues in a timely manner, not only a sound analysis of AIS data should be provided as most of the above approaches do, but also integration of additional sensor-based capabilities provided by Unmanned Aerial Vehicle (UAVs), semi-autonomous or more conventional systems (radars, human observations, etc.).

7.2.3 Cyber Risks on Board Ship’s cyber security systems are configured individually without a holistic approach so security engineers can mainly have a bird’s eye view on the ship’s security posture. Network resources (Wi-Fi, bandwidth) are not always separated between individual critical systems, passengers or personnel. Malicious actors can easily target remote assets on a ship to gain access to the main network and compromise the ship’s systems. The potential impacted systems are numerous. Some of them are locationbased maritime systems as GPS, ECDIS, AIS as mentioned in the previous section, to ship management and control systems such as industrial command and control modules, safety and security systems. Others are specific for cruising shipping and client specific services such as leisure (e.g., video, music, video games, internet …) and boarding systems. For instance, the ISOLA security platform under development is addressing a series of information systems such as cameras, drones, RFID as well as external observation systems (e.g., drones). Updating or redesigning a current ship system security for a standard update or even to counterbalance a given risk might be done on a specific mode, but this is error prone and leads to an increase on the attack surface of the ship’s systems. This implies to evaluate these system update operations and for instance to organize these information manipulation operations and techniques on centralized platform as explored by the ISOLA platform under development. These constraints to take into account have to integrate as much information as possible from IP addresses, network ports, domain names, user names, to services running on the ship’s infrastructure. Based on this preliminary set of information nodes and data flows, the next step should trigger a probe for weaknesses. These weaknesses include software/hardware flaws that can occur from system configurations, outdated software and firmware. They can be identified using open-source tools commonly used by security researchers. For instance, the ISOLA platform objective is to detect probing attacks and exploitation efforts from the previous step by dynamically detecting any vulnerabilities that can be exploited. The ISOLA platform will notify security administrators on the actions they need to take in order to prevent a system compromise.

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7.3 The ISOLA Architecture This section introduces the ISOLA architecture and a practical example of how incoming data can be fused for threat evaluation.

7.3.1 ISOLA Principles ISOLA integrates a number of heterogeneous modules with the objective to ensure high level of security among all passengers, crews and overall the vessel functions. The ISOLA framework is integrated in the general Ship Security Plan. Each sensor module (Fig. 7.1 red) is a specialized component whose objective is to detect some predetermined events Fig. 7.1. Incoming data is collected and processed with specialized modules. They operate data fusion mechanisms to improve detection mechanisms and improve situation awareness. They support visual analysis, passenger localization, crowd monitoring and sensor processing. Other modules can be activated, if needed as by the dispersion module. The emerging semantics of all detected events are harmonized thanks to an ontology. Security situational awareness is achieved thanks to different visualization systems made of specific interfaces and 3D visualizations. These systems take advantage of the knowledge generated by three modules: threat recognition, crisis classification and decision support.

Fig. 7.1 ISOLA’s system architecture

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The ISOLA framework provides additional services and information to passengers and crew thanks to a mobile phone application adapted to particular events. All data and events are stored to create intelligent reports on demand.

7.3.2 Toward Ships Data Fusion On the one hand, different heterogeneous data integration solutions have been so far developed for a sound monitoring of vessel trajectories. For instance, Hidden Markov models have been applied to radar-based data and AIS signals to detect suspicious activities [1], while others suggest to combine AUV videos with AIS data [15]. Despite the interest of these approaches the main limitation is that they mainly combine two specific sources of data and cannot cover for example the large range of sensors potentially available, this being specifically the case for large vessels such as cruising ships or very large merchant ships. On the other hand, different solutions have been developed for detection of threats on airports or on board of vessels, and can be used in the context of cruise shipping. For detection of intrusion of malicious people on board, techniques for people tracking and recognition can be applied [2, 11]. Other works concern also the detection of cyber threats on board, for instance in [13], the authors describe computational vulnerability scanning by using Nessus an industry-leading software. Different threats on board are to be taken into account. An example of major physical threat is the case of a malicious person who can try to enter the cruising ship. Another threat related to the cyber context lies in is a person on board that may attack network resources and/or to have access to either critical ship systems or passengers’ personnel devices. Such malicious actors can easily target remote assets on a ship to gain access to the main network and compromise the ship’s systems. At the maintenance level, updating or changing the current system security needs to be done on a device to device form in manual manner, which is error prone and leads to an increase on the attack surface of the ship’s systems. AI algorithms for dynamic detection of vulnerabilities will operate as the main security mechanism of ISOLA. ISOLA security dashboard that will inform security administrators of security issues on their systems and what actions they need to take to mitigate them. At the same time embedded passenger’s registration bracelet detectors might locate the presence of the shoplifter and notify the platform accordingly. Holistic security control to assess the security posture of all the ship’s infrastructure. Security analysts will be able to assess the security posture of all the systems that the ISOLA platform can have access. Prevent cascading attacks by isolating compromised components. The isolation of components will allow security administrators to resolve security issues by minimizing the impact of those issues have on the rest of the infrastructure. Under the scope of the ISOLA project, the system to be implemented should integrate a series of state-of-the-art technological achievements from multidisciplinary fields, namely sensors, Internet of Things as well as additional processing mechanisms such as semantic reasoning, high-level analytics, decision support systems,

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crisis management and situational awareness focusing on passenger’s ship security sector and beyond. The objective of the ISOLA monitoring system composed by legacy system of the boat (AIS/GPS and Radar) completed by a fleet of unmanned UxVs, IoT and cameras streams as part of interoperable modalities to detect, assess, evaluate and locate threat actions within existing ships. The data obtained from ISOLA sensor networks and those from the existing infrastructure of the ships themselves will be processed by the innovative threat detection algorithms and high-level multimodal fusion techniques. By utilizing bespoke visual analytics tools, the outcome will be presented to ship security officers and captains via the ISOLA’s interactive User Interface. Security officers, authorities, crew, first responders and maritime companies will be enabled to employ the ISOLA’s Early Warning and Decision Support System, which also incorporates functionalities for monitoring for external and internal threats in different places of the ship. The goal is to provide to the officers seamless and valid assessments of the crisis causing by internal or external threats. ISOLA will be deployed and validated in different ship types and different sea border areas (e.g., Mediterranean Sea, North Sea). This prolonged piloting and demonstration process will serve as means to test and refine the deployed approach, including the effectiveness of the innovative technologies, the robustness of the ISOLA platform and its modules, to ensure the interoperability of ISOLA across all demonstrations and finally, to standardize the processes for maritime security. The interest of the ISOLA approach is that it allows to fuse data from different sources, this providing a sound approach to detect abnormal situations. For instance, when a vessel changes its MMSI or switch off intentionally its signal, this could be detected by comparing AIS data with other data sources such as UAVs videos or radar. If some malicious actions occur on board, the system raises some alerts to crew members with the help of UAV videos as well a DVATS (Dynamic Vulnerability Assessment and Testing Service) whose aims to reveal the presence of vulnerabilities on the ship. However, there is still a large range of issues that should be further addressed and discussed, from the development of appropriate sensing architectures at large, to data fusion algorithms for cyber detection and threats classification at sea, as well as visualization interfaces still to be developed for both maritime authorities and crew members.

7.4 Discussion on Further Needs To achieve the project’s objectives, ISOLA will be developed a number of accurate and reliable components collecting data and process in order to produce knowledge. These tools vary from people localization and area authorization to visual analysis, crowd monitoring for security incidents, and chemical dispersion model. For example, the movements of passengers and crew will be tracked throughout the ship using the cruise ID. In that way, a tracking infrastructure at critical passageways on board will allow movements to be mapped and crowd densities to be calculated

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in different areas on the ship. Another component will deal with crowd monitoring from visual content. Within the context of this activity and toward an innovative threat detection toolbox, visual content from video streams will be processed in order to provide the system a higher level of conceptual information that refers to multiple individuals, meaning a crowd analysis framework. This analysis refers to limited cases that include multiple detected individuals and can raise an alert when a suspicious and violent event occurs. In addition to the previously discussed approaches for enhancing a maritime monitoring capabilities, still there is a range of cyber security capabilities gaps on board of passenger ships that should be addressed. The gaps and suggestion for solutions how to fill these gaps are based on the analysis of user requirements. The first capability gap is related to lack of dynamic updates of cyber security vulnerability assessment on board. As a solution, ISOLA plan to develop and test a cyber security vulnerability assessment tool. For example, in [13], the authors describe computational vulnerability scanning of the ship’s Electronic Chart Display and Information System (ECDIS). There is also a need to scan and assess these risks dynamically, and for all electronic and information systems on board. The second capability gap concerns security personnel incompetency in strictly following suggested deter actions in case of cyber security incident on board. One possible solution is the system for security alerting, which should provide in real time to the security personnel on board, suggestion about security incidents classification, reaction table, and deter actions escalation, depending on threat criteria and offender’s behavior. The third capability gap is related to inaccuracy in reporting with regards to all data needed according to formal follow-up report templates. There will be a need to develop and test a system that gives relevant suggestions in real time to the security personnel on board about reported data needed, according to the formal follow-up templates, as well as security incidents’ timetable and vessel’ status and geographic location. In fact, the second and third capability gaps should be addressed by the development of the ISOLA early warning and decision support system, which will be empowered with enhanced functionalities for visualization and crisis management.

7.5 Conclusion As noted at the 2019 SAFETY4SEA London Forum [6], cyber security in maritime is not only an IT issue. For ships specifically and ports, if the issue is a cyber breach, it will have physical consequences—a ship running aground, a collision, or even loss of life. It is not just a loss of data. In that context, it is important to develop and test new approaches by incorporating innovative technologies for sensing, monitoring, data fusion, alarming and reporting real time during illegal incidents. This will ensure high level of security among all passengers of the ship and augmentation of the Ship Security Plan.

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The ISOLA project aims to address the cyber security challenges in a comprehensive end-to-end security way. Starting from the risk and threat analysis in a multi-tier environment, through a network of sensors and C3 (Command, Control and Communications systems) that feeding algorithms with fused information, ISOLA platform will advise and support timely and effectively on board security during the normal routine and also in crisis situations. In fact, building resilience against cyber risks at sea and on board is a challenging and never-ending task. Acknowledgements The research leading to these results is part of the ISOLA project that has received funding from the European Union’s Horizon 2020 Research and Innovation Programme, under Grant Agreement No. 883302.

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14. Vouros, G.A., Andrienko, G.L., et al.: Big Data Analytics for Time-Critical Mobility Forecasting, From Raw Data to Trajectory-Oriented Mobility Analytics in the Aviation and Maritime Domains. Springer, Berlin (2020). https://doi.org/10.1007/978-3-030-45164-6 15. Zhou, F., Pan, S., Jiang, J.: Verification of AIS data by using video images taken by a UAV. J. Navig. 72(6), 1345–1358 (2019). https://doi.org/10.1017/S0373463319000262

Chapter 8

Analysis of the Cybersecurity in Wireless Sensor Networks (WSN): A Review Literature Italo Fernando Parreño and Diego Fernando Avila

Abstract Wireless Sensor Networks (WSN) are self-configured networks that do not require physical infrastructure and are mainly deployed in unmonitored environments. This study aimed to analyze cybersecurity, highlighting the classification of attacks generated in WSN and the encryption algorithms implemented to secure data. As a result of this work, a sample of 750 scientific publications was obtained. Due to an inclusion and exclusion process, 47 potential studies were included, covering 2013–2020 years, using important technological digital libraries. This work facilitates understanding the main characteristics concerning the attacks suffered by these networks and mitigation mechanisms used. This analysis allowed us to understand the security protocols’ main characteristics, about the attacks suffered by these networks, based on cryptographic algorithms, which provide the critical information to maintain a clear understanding of cybersecurity in WSN. As a final instance, this work could be considered a starting point for further research projects on cybersecurity in WSNs and the development and implementation of testbed labs apply in the educational setting.

8.1 Introduction In recent years, there has been an increased interest in wireless sensor networks (WSN). They are widely used in various applications such as border surveillance, underwater sensor networks, and natural phenomena monitoring [1]. A WSN can be defined as a network of small devices called sensor nodes [2], which collect environmental information processed and transmitted to the collecting node [3]. The I. F. Parreño (B) Pontificia Universidad Católica del Ecuador, Ambato, Ecuador e-mail: [email protected] D. F. Avila Pontificia Universidad Católica del Ecuador, Ambato Ecuador, Escuela Superior Politécnica de Chimborazo, Riobamba, Ecuador e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_8

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nodes or specks are devices that integrate a processor, a radio interface, an analog-todigital converter, sensors, memory, and a power supply [4]. These sensors are small in size and are deployed to perform the intended tasks efficiently in a geographic area [5]. The critical characteristics of WSN are power, memory, energy, and high scalability [6]. Their factors have potential use in real-time applications, military environments, hospitals, and natural phenomena monitoring. These data need to be available at any time, place, and accessible everywhere [7]. WSN are incredibly vulnerable and defenseless to external and internal attacks because the communications of the nodes are established by wireless links, which allow data to be intercepted and modified, exposing sensitive information to the use of unauthorized persons [8]. Security breaches and attacks on WSNs can lead to losses of critical information in government, military, industrial or health organizations [9]. As the National Cryptology Centre and the European Union Network and Information Security Agency (ENISA) point out in their reports on cyberthreats and trends, the number of attacks and their sophistication increases year by year (see Fig. 8.1). To reduce these different measures are implemented to protect WSNs, considering the cybersecurity triad, described below [10], which details the following components: Authenticity: it makes it possible for the receiver to verify the sender’s identity, thus preventing likely intruder nodes from injecting malicious data into the network. Confidentiality: ensures that authorized nodes only access message data. Integrity: guarantees that unauthorized nodes have not modified the message data. This work’s motivation is to develop a systematized cybersecurity study in WSN networks, which serves as the basis for implementing testbed labs using information about the attacks, protocols, and encryption algorithms. Fig. 8.1 Evolution of incidents managed by the CCN-CERT. Source National Cryptology Centre and the European Union Network and Information Security Agency

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8.2 Related Work Karakaya and Akleylek [11] conducted a study to assess security issues in WSN, focusing on authentication security policies based on data confidentiality, communication continuity, and protection from malicious users. They concluded that the Rivest, Shamir, and Adleman (RSA) algorithm has a standardized authentication structure, using Elliptic Curve Cryptography (ECC). RSA is recommended since it uses a key length of 2048 bits, and the future in cryptographic algorithms are those based on post-quantum calculations in the process of standardization. The work of [12] provides an overview of the protocols at WSN. The existing security protocols and the different types of attacks and their countermeasures are briefly described. At the end of the study, the work isolated the security issues at the layer level, key management, and routing framework. On the other hand, the article’s primary objective by Nuristam and Jawahar [13] was to familiarize the reader with the different security issues and challenges available at WSN [8]. Security issues, challenges, and protocols based on attributes (confidentiality, availability, updating, encryption methods, MAC authentication, key management, attack protection, and scalability) were discussed and described in table form for future comparison of some particular security protocols using simulation tools to mitigate attacks to a large extent. Another example of the initiative of Grover and Sharma [14] noted that the essential requirement of any application is to use a WSN, so implementing security measures in the sensor along with energy-saving. WSNs are vulnerable to many attacks that can affect their operation. Therefore, the three fundamental pillars of cybersecurity and threats in this communication environment were studied, analytically comparing the protocols through a summary table to choose the best security mechanism.

8.3 Methodology This Systematic Literature Review (SLR) followed the general guidelines described by Kitchenham [15], which allows for the identification, analysis, and interpretation of all possible evidence related to Cybersecurity in WSN. Three main phases have been used for this process: planning the review, conducting of the search, and analysis, detailed below.

8.3.1 Planning the Review A systematic mapping on areas of Cybersecurity at WSNs was carried out, applying the documentary and historical methodology to synthesize the most important

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Table 8.1 Inclusion and exclusion criteria Inclusion criteria

Exclusion criteria

Scientific publications related to WSN cybersecurity

Articles without research design such as workshops, surveys

Publications whose topics develop on the types of attacks on WSN

Books, posters

Publications analyzing security protocols, cryptographic algorithms in WSN networks

Thesis

characteristics of WSNs, which are addressed through the following research questions: RQ1: What types of attacks affect WSN? RQ2: What security protocols have been implemented at WSN? RQ3: What cryptographic algorithms have been used to ensure the integrity, authenticity, and confidentiality of data on WSN? The search was carried out among the main electronic databases such as SCOPUS, IEEE Explorer, Springer, ACM, and ScienceDirect, including Wireless Communications, Telecommunications, and Computer Networks. For this process, scientific publications generated from January 2013 to September 2020 were selected since this range represents the most significant contribution to the research questions. The search string used was the following: (“analysis”) and (“comparison”) and (“security”) and (“protocols”) and (“attacks”) and (“cryptographic algorithms”) and (“vulnerability”) and (“Wireless Sensor Network”). Based on the protocol defined by Anwar et al. [15], the following inclusion and exclusion criteria were applied to refine the selected articles (see Table 8.1).

8.3.2 Conduct of the Search In the first instance, the paper titles were checked for compliance with the search terms. Then, the summary and conclusions of the selected articles were analyzed, and as a final instance, a complete analysis of the scientific papers was made. Figure 8.2 shows the total of 750 scientific publications, 47 of which were selected to help solve the research questions proposed. Of the databases consulted, the most significant contribution was generated in the IEEE Explorer with 270 articles found, and after the filtering process, 19 publications were chosen. Figure 8.3 shows the scheme by the range of years specified, concluding that published articles’ highest incidence occurred in 2018 with 190 publications.

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Fig. 8.2 Selected publications from scientific databases

Fig. 8.3 Timeline of publications by years

8.3.3 Analysis RQ1: What types of attacks affect WSNs? WSN security attacks are an issue because their communication could be captured. Attackers can add their data bits to the channel, affecting the physical accessibility of sensor and actuator devices in the network [15]. Attacks on WSN networks are classified as follows (see Fig. 8.4).

8.3.3.1

Based on Routing

Routing attacks occur at the network/security layer of the protocol stack due to the multi-hop communication nature of most WSNs. Any node can act as a gateway, which, in turn, directly affects the routing information [16]. Routing attacks are explained below in Table 8.2.

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Fig. 8.4 Most common attacks on WSN

8.3.3.2

Based on the Characteristics

Internal and External Attacks External attacks cannot directly access inside WSN [19]. The attacking nodes that participate and execute this type of attack are not part of the network but, even so, seek to damage it [14]. Internal Attacks can capture a node established by concessions [19]. It is generated by network nodes rather than external nodes, causing more dangerous than external attacks because it has full access rights such as secret keys, running code, and network data [14], disrupting the network and communications. Assets and Liabilities In the passive attacks, the attacker compromises and intercepts a network node, which allows to inspect, listen, and read useful data that the sensor knows. A communication channel has already been established with the collecting node [23]. When the attacker controls a node, it tries to learn about the network’s topology and which nodes are necessary—for example, the sensor node or the collector node. The malicious node can launch new attacks that compromise the network’s confidentiality [23]. On the other hand, active attacks interfere with communications by making changes to the data that is stored in the WSN [23]. It changes the various configuration parameters of the network components so that the sensors are no longer available, and the functionality (availability) of the network is interrupted [23]. Mote-class and Laptop-class attacks A few nodes perform Mote-class attacks with similar capabilities as a regular node running on the network [19]. The attackers have at least one authorized node in the sensor network to steal the key or code, considering it such as an internal attack [14]. Laptop-class attacks have no special access to the network [19]. An attacker can

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Table 8.2 Attack analysis based on routing Attack

Features

Wormhole attack

Direct communication The attacker between at least two accumulates the malicious nodes [17] transmitted bits or packets, retransmits them through a low-latency, high-efficiency link [18] to somewhere in the network, and reproduces them as if they were originals [16]

They use four-way handshaking message mechanisms, as well as a private channel [7]

Hello flood attack

Many routing protocols in WSN use Hello messages to find neighboring nodes and create communication

Executed by malicious nodes through a robust transmission to physically reach the farthest nodes. It convinces the receiver that their packets are advertised as neighboring nodes [19]

The link’s bi-directionality must be verified, and the neighbors must authenticate each other [18]

Selective forwarding A malicious node in the network interferes with the communication process. There can be several malicious nodes in the network, depending on the attacker [7]

This node selectively forwards some of the received packets and quickly detect if it acts as a black hole [7]

Multipath routing can be used, reducing the probability of an attack, and the WSN is monitored using a surveillance system [7]

Sybil attack

Logically executed by the attackers against the routing protocols decreases the effectiveness of the schemes used in fault tolerance to maintain the topology [19] and interrupts the network’s integrity

The validation technique should be used to counteract the attack [20]

The node possesses multiple identities simultaneously and tricks normal nodes into thinking they have many neighbors [18]. It destroys the service by exploiting the network layers. In the routing layer, the attack helps to get through the considerable traffic using a malicious node [19]

Operation

Countermeasure

(continued)

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Table 8.2 (continued) Attack

Features

Operation

Sinkhole attack

It attracts all the traffic from a particular area to a committed node [21]. It tries to manipulate the neighboring nodes by creating a sink that distorts the transmitted data and eavesdrops on the selective forwarding data [19]

The attacker stands Cryptographic methods between the two nodes can be used [22] and advances between them [21] using a compromised node that provides a better route than the routing algorithm [19]. Therefore, the neighboring nodes send information to the sink node via the malicious node [18]

Countermeasure

access more effective and resourceful devices such as battery power, robust radio transmission, capable CPU, and sensitive antenna, known as third-party attacks [19].

8.3.3.3

Based on the Protocol Layer

Physical Layer Attacks that target this layer are generally divided into three types: jamming, eavesdropping, and tampering. In Table 8.3, main characteristics are studied. Data Link Layer In this layer, the attacks have as objective the provocation of exhaustion, collisions, and resource misallocation, detailed in Table 8.4. Network layer The network layer is affected by denial-of-service attacks and malicious nodes can handle the routing information to perform different types of attacks (see Table 8.5). Transport Layer The transport layer establishes end-to-end connection between nodes into WSN, improving reliability transmission. Table 8.6 presents the analysis of the attacks that occur in this layer. The analysis made of the attacks is shown in Table 8.7. Multiple layers About the attacks that occur in multiple layers, their characteristics are detailed in Table 8.8. A summary of the network layers’ attacks, together with countermeasures, is given in Table 8.9 also, a comparison of all attacks on the WSN networks (see Table 8.10).

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Table 8.3 Analysis of attacks in the physical layer Attack

Features

Operation

Countermeasure

Jamming attack

It exploits electromagnetic energy to interfere with or disrupt communications between legitimate nodes [8]

In the external threat model, the intruder is not part of the network, and the intruder transmits a high-powered interference signal continuously or randomly. In the internal threat model, any attacker who knows sensitive network data and implementation details can launch a targeted jamming attack [24]

A prominent measure to mitigate this attack is the use of spread spectrum communication, i.e., spread spectrum frequency hopping (FHSS) [5]

Eaves-dropping

It is a passive attack that can hardly be detected if a malicious node has no other activities [5]

This attack intercepts radio signals but does not destroy their integrity. A malicious node monitors the transmission of messages between authorized and legitimate users and blocks them [5]

The use of cryptographic techniques protects the sensor nodes [8]

Tampering

It offers a new node’s physical use, extracting sensitive information such as keys or other data from the node [25]

A compromised node is created, which the attacker controls by altering or replacing the node [26]

A defense to this attack involves the manipulation of the physical package of the node [7]

WSN are vulnerable to different types of attack, and the following is their classification: routing-based, feature-based, and protocol layer-based. The analysis carried out allowed the identification of the logical attacks that affect the software level. In the same way, there are attacks of the modification/manufacturing type and the DoS type. It is considered the most probably because the networks are inattentive and do not have constant control, making it easier for the attacker to control the nodes. RQ2: What security protocols have been implemented in WSN? In WSN, one way to keep information secure is to use security protocols, which should be implemented to guarantee minimum power consumption at the sensor node. Authentication is a security mechanism in WSN based on a cryptographic system using a symmetric approach. Tables 8.11 and 8.12 show an analysis of the protocols that have been proposed by researchers, considering the exchange of secret codes. Finally, Table 8.13 displays a comparison of the packets and transmission headers.

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Table 8.4 Analysis of attacks in the data link layer Attack

Features

Operation

Countermeasure

Collision attack

An attacker manages to distort the byte values of each packet

If two nodes try to transmit simultaneously, a collision occurs, distorting each packet’s byte values [18]. The packet will be discarded, and the adversary may strategically cause crashes such as ACK message [23]

Error correction codes are used to defend against this type of attack [7]

Denial-of-sleep

This attack targets the power supplies of the nodes [18]

It is done by involuntarily consuming resources and preventing the transceiver unit from going into sleep mode [18]. The sleep mode’s power consumption is much lower than the others, so the attack is focused on the MAC protocols [16]

The sensor nodes are protected using cryptographic techniques [8]

Table 8.5 Analysis of the attack on the network layer Attack

Features

Operation

Blackhole and sinkhole attack

It often occurs near a collecting node or group head [18]

The node attracts all the Cryptographic methods traffic to be channeled can be used [7] through it by advertising itself as the shortest route. Once the malicious device is between the communication nodes, it can do anything with the packets passing between them [26]

Countermeasure

The protocols’ main characteristics include the network layer, link layer, application layer, and transport layer. The encryption block modes: CBC, OCB, and CTR. MiniSec and ZigBee can be considered the most optimal protocols to implement due to their characteristics. RQ3: What cryptographic algorithms have been used to ensure the integrity, authenticity, and confidentiality of data on WSNs? Cryptography plays an essential role in securing data in a WSN, but these networks have resource limitations (memory size, processing speed, power consumption). Therefore, cryptographic algorithms must be implemented so that their consumption

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Table 8.6 Analysis of attacks on the transport layer Attack

Features

Operation

Countermeasure

Flooding attack

It is an attack that generates a denial of network services [25]

The attacker sends many useless packets to a legitimate node to prevent it from communicating naturally and degrading the network’s life [18]

Error correction codes are used to defend against this type of attack [7]

De-synchronization

Type of reliability attack, a transport protocol must ensure that lost packets are detected, and each lost packet can be retransmitted to its destination node [15]

The attacker forms packets with control flags or sequence numbers. Once a sensor receives a false packet, it will ask the sender to retransmit the lost packet [15]

The use of cryptographic protocols protects the sensor nodes [8]

Table 8.7 Analysis of attacks in the application layer Attack

Features

Attack on Reliability

An attack that inserts malicious nodes between communication parties generates false data or queries and increases energy consumption [18]

Malicious Code Attack

The attacker injects a worm into a node to degrade or gain complete control of the node, which can compromise normal network functions [18]

Table 8.8 Analysis of multi-layered attacks Attack

Features

Denial-of-service (DoS)

It is the state in which one or more nodes or even the entire network cannot fulfill its predetermined duty because it is interrupted or corrupted by an adversary. There are two ways of attempting a DoS attack through signal interference and energy depletion [26]

does not alter the sensor nodes’ correct functioning. These algorithms are detailed in Table 8.14. Cryptographic algorithms represent the complete solution to be implemented in the security field in these networks, but not all of them can be implemented due to resource limitations. For this reason, the characteristics of the different protocols were analyzed, and it was possible to consider that the AES algorithm is the most optimal to be implemented in these networks since it is robust and provides confidentiality and authenticity.

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Table 8.9 Analysis and countermeasures to attacks on protocol layers Attack

Damage

Type of Type of attack vulnerability

Countermeasure

Wormhole

Challenging to check route information

Logic

Attack modification/production

Validation techniques

Hello flood

Leave the nodes inaccessible

Logic

Attack modification/production

Authentication

Selective forwarding

Packet losses, not all packets are forwarded

Logic

Attack modification/production

Multipath Routing

Sybil

A Threat to the geographic routing protocol

Logic

Attack modification/production

Validation techniques

Sinkhole

Damage to network topology

Logic

Attack Monitoring, modification/manufacturing redundancy, and authentication

Blackhole

Damage to network topology

Logic

DoS attack

Cryptographic methods

Jamming

Depletes node resources, confusion, and packet collision

Logic

DoS attack

The use of frequency hopping spread spectrum (FHSS)

Eaves-dropping

Packet losses between legitimate nodes

Logic

Attack Use of modification/manufacturing cryptographic techniques

Tampering

Obtaining Logic sensitive information, keys, and node data

DoS attack

Hide the node or camouflage it

Collision

Energy depletion, packet discarding, interference

DoS attack

Use error correction code

Logic

(continued)

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Table 8.9 (continued) Attack

Damage

Type of Type of attack vulnerability

Countermeasure

Denial of sleep

Denies the node to switch to sleep mode

Logic

DoS attack

Cryptographic protocols

Flooding

Degrading the network with useless packets

Logic

DoS attack

Customer puzzles

Logic

Attack Authentication modification/manufacturing

De-synchronization Attack on reliability Attack on reliability

Increases Logic energy consumption

Attack A unique key modification/manufacturing pair and a cryptographic approach

Malicious code

Functions of Logic the network

Attack Authentication modification/manufacturing

DoS

Eliminates network capacity

DoS attack

Logic

Strong authentication and identification of traffic

Table 8.10 Comparison of attacks on WSN infrastructure Layers

Attacks

Countermeasures

Physical layer

Jamming

The use of frequency hopping spread spectrum (FHSS)

Eavesdropping

Use of cryptographic techniques

Datalink layer Network layer

Transport layer

Tampering

Hide the node or camouflage it

Collision

Use error correction code

Denial-of-sleep

Cryptographic protocols

Wormhole

Validation techniques

Sinkhole

Monitoring, redundancy, and authentication

Blackhole

Cryptographic methods

Sybil

Polling and authentication

Hello flooding

Check the two-way link, authentication

Flooding

Customer puzzles

De-synchronization

Authentication

Application layer

Attack on reliability

A unique key pair and a cryptographic approach

Malicious Code Attack

Authentication

Multiple layers

DoS

Strong authentication and identification of traffic

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Table 8.11 Analysis of Protocols used in WSN Protocol

Definition

Blocking of attacks [12]

Main features

SPINS

It is a toolkit that provides levels of safety without the use of any high-cost operation [27]

Message playback attack Falsification of data and information

It has two secure building blocks: SNEP and µTESLA, providing two-way authentication, confidentiality, integrity, and data updating [28]. Establishment and distribution keys are efficient against compromised nodes, as the captured node does not divulge any secrets about the entire network [29] Use of limited life, aggregation of data [30], and Good lifetime [31]

LEAP

Efficient provision of keys and maintenance procedures [28]

Falsification of data and information Attack on data in transit

It provides a key mechanism to establish authenticated communications Each node has 4 types of keys: Individual key, known by the sensor and the base station, peer key, shared with the nodes. Group key shared with several groups of neighboring nodes. Group key is public for all nodes in the network [32] (continued)

8.4 Discussion and Conclusions Wireless sensor networks are built with limited sensor nodes implemented in uncontrolled settings and exposed to many risks and vulnerabilities. The data obtained from this study allowed the identification of the headings contained within cybersecurity in WSN networks. The attacks more common, security protocols, and cryptographic algorithms were analyzed to answer the three research questions formulated. The main goal of the different attacks generated damage and malfunctioning on these networks. Thus, it is crucial to be able to identify them to design the necessary protection measures. In the study conducted by Sert et al. [16], the likely types of attacks were analyzed, while that Anward and colleagues [15] classified and compared the physical attacks, considering routing-based, feature-based, and protocol layer-based, allowing to know their characteristics, operation, and the measures to counter them.

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Table 8.11 (continued) Protocol

Definition

TinySec

Link-layer security Falsification of data and architecture is a lightweight information design that takes into account the singularities of WSNs [33]

Blocking of attacks [12]

Main features It does not use the counter for cryptographic operations [34] The cost of energy, bandwidth, and latency is less than 10% when using it [28] It considers two operations with the application layer data: authentication and secure semantic encryption. Authentication using a message authentication code (CBC-MAC), secure semantic encryption performed by an initialization vector, and cipher block chaining (CBC) [33]

LEDS

This protocol has two types Falsification of data and of nodes, root nodes and information routers [35]

It provides end-to-end application security, as well as protection against physical attacks [28]

ZigBee

It defines the higher layer protocols based on IEEE 802.15.4 standards [36]

Falsification of data and information

It defines the higher layer communication protocols based on the IEEE 802.15.4 standards and consists of three network devices: ZigBee Coordinator, ZigBee router, and ZigBee end device [36]

µTESLA

Broadcast authentication Falsification of data and protocol allows verification information of the data that reaches the collection nodes. It is the same data from the supposed sources from which it originated [27]

It provides an authenticated broadcast from a base station to all nodes in a wireless network [37] It introduces asymmetry through delayed symmetric key disclosure [36] When it receives the packet, a node stores it in the buffer until it gets the base station’s key. Then the node receives the key, and it uses this key to authenticate the packet [34] (continued)

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Table 8.11 (continued) Protocol

Definition

MiniSec

Secure network layer Falsification of data and protocol has a lower power information consumption than TinySec, but the security level is the same as ZigBee [36]

Blocking of attacks [12]

Main features It uses the clearing codebook (OCB) mode to provide encryption over the packages [34] It provides confidentiality [34], data authenticity, reproduction protection, and a weak update It works in two modes: the unicast mode called MiniSec-U and the broadcast mode called MiniSec-B [38]

Table 8.12 Main characteristics of the protocols Protocol

Operating layer

Encryption block mode

Secure headrests [39]

Security service

TinySec

Linking Layer

CBC

5

Authentication, message integrity, privacy, and replication backup

MiniSec

Network layer

OCB

3

Encryption

SNEP

Application Layer

OCB

–

Confidentiality, two-way authentication, and data update

µTESLA

Application Layer

CTR

8

Confidentiality, two-way authentication, and data update

LEAP

Transport Layer

CBC

–

Confidentiality and authentication

Table 8.13 Comparison of packets and transmission headers Protocol Header (bytes) [25] Encryption Update Adding a key block/rounds [40] LEDS

8

SPINS

4

–

Yes

Use of MAC

Symmetrical delay Yes

–

No

None

Yes

MiniSec 4 + 3

64/80/32

Yes

None

Yes

LEAP

Variable

–

No

Pre-Deployment

Yes

ZigBee

4, 8 o 16

128/128/10

Yes

Centre of trust

Yes

64/80/32

Yes

None

Yes

TinySec –

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Table 8.14 Analysis of cryptographic algorithms Cryptographic algorithm

Key size (bits)

Strengths

Weaknesses

Possible attacks

DES

Its total length is 64 bits, where 56 bits are from the key and the 8 bits for checking the parity [41]

Due to its low-key length, encryption and decryption are made with greater speed [42] It includes 16 rounds, and each one is called a cycle [41]

Symmetric block encryption algorithm and uses Freisnel’s encryption property [41]

3-DES

Length of the key 168 bits [41]

It uses three keys and three repetitions of the DES algorithm [41]

He has three Meet in the times as many middle [41] operations, which makes him slow It uses a data block with a length of 64 bits [41]

AES

A key length of 128, 192, and 256 bits [43]

It provides confidentiality and authenticity [44] Iterated encryption block [45] Encrypts data in 128-bit blocks [43]

It uses the same key for encryption and decryption [43]

Attack related to the management of the encryption key [41]

RSA

The size is 1024, 2048, 3072, and 4096 bits [46]

Improves security by using network key encryption [47]. It has two private and public keys [48]

Same key for encryption and signature [49]. It uses a standard module for different users [48]

Side-channel analysis attacks [41] Power failure attack [41]

Once the attacks have been analyzed, a protecting network method implements protocols, allowing for securing the information and guaranteeing that energy consumption is not high. Based on this low consumption characteristic, Nuristani [8] compared the secure protocols based on confidentiality, availability, and other attributes as detailed [12, 27, 28, 36]. Several features such as application layer, encryption block mode, secure headers, and security service of the following protocols were studied: SPIN, LEAP, TinySec, LEDS, ZigBee, µTESLA, and MiniSec. In order to secure the data in a WSN, cryptographic algorithms were studied to guarantee data integrity [41, 43]. Also, the authenticity process detailed by Hassan

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and Farhan [13, 47] and the information confidentiality [49] are necessary to mitigate risk and vulnerabilities. The papers analyzed concluded that comply with this attribute are DES, 3-DES, AES, Blowfish, and RSA, which were analyzed based on the size of the keys, their strengths, weaknesses, and possible attacks to which they are susceptible. By knowing all these characteristics, these networks’ developers will choose more optimally the algorithm that meets the security requirements and does not increase the node’s energy consumption. Consequently, this literature review identified the security protocols’ main characteristics about the attacks suffered by WSN, based on cryptographic algorithms, which provide the critical information to maintain a clear understanding of cybersecurity in WSN. As a final instance, this work could be considered a starting point for further researches on cybersecurity in WSNs and testbed labs’ implementation in the educational setting.

References 1. Ranjan, R.K., Karmore, S.P.: Survey on secured data aggregation in wireless sensor network. In: ICIIECS 2015 - 2015 IEEE Int. Conf. Innov. Information, Embed. Commun. Syst., pp. 0–3, 2015. https://doi.org/10.1109/ICIIECS.2015.7193269 2. Rawat, P., Singh, K.D., Chaouchi, H., Bonnin, J.M.: Wireless sensor networks: a survey on recent developments and potential synergies. J. Supercomput. 68(1), 1–48 (2014). https://doi. org/10.1007/s11227-013-1021-9 3. Padyal, R.H., Kadam, S.V.: Continuous neighbour discovery approach for improvement of routing performance in WSN. In: 2017 2nd Int. Conf. Converg. Technol. I2CT 2017, vol. 2017-January, pp. 675–679, 2017. https://doi.org/10.1109/I2CT.2017.8226215 4. Zhao, X., Ren, S., Quan, H., Gao, Q.: Routing protocol for heterogeneous wireless sensor networks based on a modified grey wolf optimizer. Sensors (Switzerland) 20(3), 1–18 (2020). https://doi.org/10.3390/s20030820 5. Sinha, P., Jha, V.K., Rai, A.K., Bhushan, B.: Security vulnerabilities, attacks and countermeasures in wireless sensor networks at various layers of OSI reference model: a survey. In: Proceedings of IEEE Int. Conf. Signal Process. Commun. ICSPC 2017, vol. 2018-January, no. July, pp. 288–293, 2018. https://doi.org/10.1109/CSPC.2017.8305855 6. Dhunna, G.S., Al-Anbagi, I.: A low power cybersecurity mechanism for WSNs in a smart grid environment. In: 2017 IEEE Electr. Power Energy Conf. EPEC 2017, vol. 2017-October, pp. 1–6, 2018. https://doi.org/10.1109/EPEC.2017.8286172 7. George, P., Vinod, P.: Fitur Email komposit untuk Spam Identi fi kation, no. July. Springer Singapore, 2018 8. Nuristani, A.K., Thakur, J.: Security issues and comparative analysis of security protocols in wireless sensor networks a review. Int. J. Comput. Sci. Eng. 6(10), 436–444 (2018). https:// doi.org/10.26438/ijcse/v6i10.436444 9. Qaboos, S., Khoudh, A., Qaboos, S., Khoudh, A.: Improving the resilience of wireless sensor networks against security threats: a survey and open research issues. Int. J. Technol. 9(4), 828–839 (2018) 10. Chelli, K.: Security Issues in Wireless Sensor Networks: Attacks and Countermeasures, vol. I, 2015 11. Kitchenham, B., et al.: Systematic literature reviews in software engineering—a tertiary study. Inf. Softw. Technol. 52(8), 792–805 (2010). https://doi.org/10.1016/j.infsof.2010.03.006 12. Technology, A.I., Ramesh, P.S., Priya, F.E.M., Student, P.G., Technology, C.: Review on security protocols in wireless. J. Theor. Appl. Inf. Technol. 38(1), 79–82 (2012)

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13. Nuristani, A.K., Thakur, J.: Security issues and comparative analysis of security ProtoI suggest reviewing the way to cite this study: A. K. Nuristam & Jawahar Thaku, Suggestion: Nuristam and Thaku (year).cols in wireless sensor networks—a review. Int. J. Comput. Sci. Eng. 6(10), 436–444 (2018). https://doi.org/10.26438/ijcse/v6i10.436444 14. Grover, J., Sharma, S.: Security issues in wireless sensor network-a review. In: 2016 5th Int. Conf. Reliab. Infocom Technol. Optim. ICRITO 2016 Trends Futur. Dir. , pp. 397–404, 2016. https://doi.org/10.1109/ICRITO.2016.7784988 15. Anwar, R.W., Bakhtiari, M., Zainal, A., Hanan Abdullah, A., Qureshi, K.N.: Security issues and attacks in wireless sensor network. World Appl. Sci. J. 30(10), 1224–1227 (2014). https:// doi.org/10.5829/idosi.wasj.2014.30.10.334 16. Sert, S.A., Onur, E., Yazici, A.: Security attacks and countermeasures in surveillance wireless sensor networks. In: 9th Int. Conf. Appl. Inf. Commun. Technol. AICT 2015—Proc., pp. 201– 205, 2015. https://doi.org/10.1109/ICAICT.2015.7338546 17. Das, S.K., Samanta, S., Dey, N., Kumar, R.: Design Frameworks for Wireless Networks, vol. 82. 2019 18. Xie, H., Yan, Z., Yao, Z., Atiquzzaman, M.: Data collection for security measurement in wireless sensor networks: a survey. IEEE Internet Things J. 6(2), 2205–2224 (2019). https://doi.org/10. 1109/JIOT.2018.2883403 19. Majumdar, A., Sarkar, D.: Various types of routing protocols in wireless sensor network with vulnerabilities: a review. In: 2015 Int. Conf. Work. Comput. Commun. IEMCON 2015, pp. 1–7, 2015. https://doi.org/10.1109/IEMCON.2015.7344446 20. Mbarek, B., Meddeb, A.: Energy efficient security protocols for wireless sensor networks: SPINS vs TinySec. In: 2016 Int. Symp. Networks, Comput. Commun. ISNCC 2016, 2016. https://doi.org/10.1109/ISNCC.2016.7746117 21. Darra, E., Skouloudi, C., Katsikas, S.K.: A simulation platform for evaluating DoS attacks in Wireless Sensor Networks. ACM Int. Conf. Proc. Ser. 01–03, 144–149 (2015). https://doi.org/ 10.1145/2801948.2801949 22. Boubiche, D.E., Athmani, S., Boubiche, S., Toral-Cruz, H.: Cybersecurity Issues in Wireless Sensor Networks: Current Challenges and Solutions, no. 0123456789. Springer US, 2020 23. Bitam, S., Zeadally, S., Mellouk, A.: Bio-inspired cybersecurity for wireless sensor networks. IEEE Commun. Mag. 54(6), 68–74 (2016). https://doi.org/10.1109/MCOM.2016.7497769 24. Patil, A., Gaikwad, R.: Comparative analysis of the prevention techniques of denial of service attacks in wireless sensor network. Procedia Comput. Sci. 48(C), 387–393 (2015). https://doi. org/10.1016/j.procs.2015.04.198 25. Sharma, S.: A Survey Article on Attacks and Security Goals in Wireless Sensor Networks 1, no. Icces, pp. 683–686, 2017 26. Alam, S., De, D.: Analysis of security threats in wireless sensor network. Int. J. Wirel. Mob. Networks 6(2), 35–46 (2014). https://doi.org/10.5121/ijwmn.2014.6204 27. Altisen, K., Devismes, S., Jamet, R., Lafourcade, P.: SR3: secure resilient reputation-based routing. In: Proceedings of IEEE Int. Conf. Distrib. Comput. Sens. Syst. DCoSS 2013, pp. 258– 265, 2013. https://doi.org/10.1109/DCOSS.2013.33 28. Sharma, C., Vaid, R.: Analysis of Existing Protocols in WSN Based on Key Parameters, vol. 46. Springer Singapore, 2019 29. Escolar, S.: W Ireless S Ensor Networks. In: 2017 IEEE Int. Conf. Power, Control. Signals Instrum. Eng., vol. 5, no. 6, pp. 2509–2512, 2013 30. Pai, R., Hegde, R.: Qualitative Analysis of Routing Protocols in, vol. 3025, pp. 3021–3025, 2016 31. Singla, S., Kaur, K.: Comparative analysis of homogeneous N heterogeneous protocols in WSN. Int. J. Sci. Res. 5(6), 1300–1305 (2016). https://doi.org/10.21275/v5i6.13061601 32. Karakaya, A., Akleylek, S.: A survey on security threats and authentication approaches in wireless sensor networks. In: 6th Int. Symp. Digit. Forensic Secur. ISDFS 2018—Proceeding, vol. 2018-January, pp. 1–4, 2018. https://doi.org/10.1109/ISDFS.2018.8355381 33. Guo, Y., Liu, X., Shao, X.: Formal proof of the security protocol in wireless sensor network based on the petri net. In: Proceedings of 9th Int. Conf. Comput. Intell. Secur. CIS 2013, pp. 668–672, 2013. https://doi.org/10.1109/CIS.2013.146

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34. Ayyappan, B., Kumar, P.M.: Security protocols in WSN: a survey. In: ICONSTEM 2017— Proc. 3rd IEEE Int. Conf. Sci. Technol. Eng. Manag., vol. 2018-January, pp. 301–304, 2017. https://doi.org/10.1109/ICONSTEM.2017.8261297 35. Walker, C., Al-Anbuky, A.: LED-WSN: light weight edge computed dynamic wireless sensor network routing protocol. In: 2017 27th Int. Telecommun. Networks Appl. Conf. ITNAC 2017, vol. 2017-January, pp. 1–8, 2017. https://doi.org/10.1109/ATNAC.2017.8215432 36. Bhalla, M., Pandey, N., Kumar, B.: Security protocols for wireless sensor networks. In: Proceedings of 2015 Int. Conf. Green Comput. Internet Things, ICGCIoT 2015, pp. 1005–1009, 2016. https://doi.org/10.1109/ICGCIoT.2015.7380610 37. Macedonio, D., Merro, M.: A semantic analysis of key management protocols for wireless sensor networks. Sci. Comput. Program. 81, 53–78 (2014). https://doi.org/10.1016/j.scico. 2013.01.005 38. Tobarra, L., Cazorla, D., Cuartero, F., Diaz, G.: Analysis of security protocol MiniSec for Wireless Sensor Networks. In: Proceedings of IV Congr. Iberoam. Segur. Inform. (CIBSI’07, no. May 2014, pp. 1–13, 2007 39. Satapathy, S.C., Biswal, B.N., Udgata, S.K., Mandal, J.K.: Proceedings of the 3rd international conference on frontiers of intelligent computing: theory and applications (FICTA) 2014: Volume 2. Adv. Intell. Syst. Comput. 328, 729–738 (2015). https://doi.org/10.1007/978-3-31912012-6 40. Moh’d, A., Aslam, N., Phillips, W., Robertson, W.: A dual-mode energy efficient encryption protocol for wireless sensor networks. Ad Hoc Netw. 11(8), 2588–2604 (2013). https://doi.org/ 10.1016/j.adhoc.2013.07.006 41. Fotohi, R.: Securing Wireless Sensor Networks Against Denial-of-Sleep Attacks Using RSA Cryptography Algorithm and Interlock Protocol, no. September, pp. 1–25, 2019. https://doi. org/10.1002/dac.4234 42. Qazi, R., Qureshi, K.N., Bashir, F., Islam, N.U., Iqbal, S., Arshad, A.: Security protocol using elliptic curve cryptography algorithm for wireless sensor networks. J. Ambient Intell. Humaniz. Comput. no. 0123456789 (2020). https://doi.org/10.1007/s12652-020-02020-z 43. Lara-Nino, C.A., Diaz-Perez, A., Morales-Sandoval, M.: Energy and area costs of lightweight cryptographic algorithms for authenticated encryption in WSN. Secur. Commun. Netw. 2018, 2018. https://doi.org/10.1155/2018/5087065 44. Ward, J.R., Younis, M.: A cross-layer defense scheme for countering traffic analysis attacks in Wireless Sensor Networks. In: Proceedings of IEEE Mil. Commun. Conf. MILCOM, vol. 2015-December, pp. 972–977, 2015. https://doi.org/10.1109/MILCOM.2015.7357571 45. Panda, M.: Data security in wireless sensor networks via AES algorithm. In: Proceedings of 2015 IEEE 9th Int. Conf. Intell. Syst. Control. ISCO 2015, 2015. https://doi.org/10.1109/ISCO. 2015.7282377 46. Singh, P., Chauhan, R.K.: A survey on comparisons of cryptographic algorithms using certain parameters in WSN. Int. J. Electr. Comput. Eng. 7(4), 2232–2240 (2017). https://doi.org/10. 11591/ijece.v7i4.pp2232-2240 47. Hassan, N.A., Farhan, A.K.: Security Improve in ZigBee protocol based on RSA public algorithm in WSN. Eng. Technol. J. 37(3B), 67–73 (2019) 48. Mehta, S., Umar, M.D., Mangla, K.: A review paper to detect an, vol. 2, no. 5, 2016 49. Leelavathi, G., Shaila, K., Venugopal, K.R.: RSA processor design with vedic multiplier for nodes in wireless sensor networks. In: Proceedings of 2017 Int. Conf. Wirel. Commun. Signal Process. Networking, WiSPNET 2017, vol. 2018-January, pp. 1254–1257, 2018. https://doi. org/10.1109/WiSPNET.2017.8299964

Part II

Computer Networks, Mobility and Pervasive Systems

Chapter 9

Green Energy for Nodes of Hybrid Fiber-Coaxial Networks in the Transmission and Distribution of Signals to the End Customer Diego Cordero, Daniel Icaza, Zlata Borsic, and Aracely Del Pilar Tamayo Abstract This manuscript presents a scheme of use of the energy supply by renewable systems, which has gained great importance. Particularly in this research, these inexhaustible sources that form hybrid systems combining wind and photovoltaic power applied to telecommunications networks are considered. It is important that the Hybrid Fiber-Coaxial (HFC) nodes and the equipment adjacent to the networks have sufficient and above all permanent energy to transmit and at the same time distribute the signals to the end customer in terms of data, voice and image. The use of renewable energy is interesting, with connectivity to the conventional distribution network, to dispose continuous quality service. The research presents the fundamental principles for the emphasis on the use of renewable energy and helps to identify opportunities in the relationship between renewable energy and telecommunications.

9.1 Introduction Telecommunications nowadays are essential factors in the lives of people and organizations. In some way, everyone is linked to a globalized network, with lower costs and improved service quality, factors that favor the end customers. The field of action of wired and wireless networks has no limits, and its penetration levels are increasing. D. Cordero (B) · D. Icaza Universidad Católica de Cuenca, Av. de Las Américas Y Tarqui, Cuenca, Ecuador e-mail: [email protected] D. Icaza e-mail: [email protected] Z. Borsic Universidad de Las Fuerzas Armadas ESPE. Av. General Rumiñahui, Sangolquí, Ecuador e-mail: [email protected] A. Del Pilar Tamayo Universidad de Las Américas UDLA. Av. de Los Granados Y Colimes, Quito, Ecuador e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_9

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Customers look for the best options when hiring connectivity services, with demands that involve: availability, quality of service and speed, among other benefits; if their requirements are not met, they simply change operators; however, a company cannot afford to lose customers, since this implies an increase in the operational costs of the company; the objective is to provide enough energy for the hybrid coaxial fiber (HFC) nodes of a network, which is a part of this that covers at least 75% of its transmission and distribution, and is closely linked to the end customer that receives the different services. The HFC network is still in operation despite the great advances in issues related to telecommunications; rather, companies appreciate it very much and preserve it with exhaustive maintenance of the existing network since the wiring is more secure than the wireless. With renewable energy, the electrical service is guaranteed, without dependence on the conventional public electricity network, through a system dedicated to this purpose. A hybrid system ensures supply, especially by not polluting the environment, without the storage of fuels and the infrastructure for their disposal, in comparison with wind power or photovoltaic solar energy. Wind and solar energy are complementary to each other, several researchers in the area recommend a mix of energy production, and diversification is considered with greater guarantee. The provision of power to communication systems through renewable energy production mechanisms is useful and has given good results in different regions and countries around the world according to Valerdi [1] and Zhou [2]. Regarding the power for repeater stations and data routing centers for trunked systems, cost-effective studies and research have been conducted according to Cordiner [3] and Ahmed [4]. These works support the methodologies for use of renewable energy in telecommunications, including strengths and weaknesses. However, the profitability obtained for remote locations is effective [5]; it is possible to take advantage of this opportunity to support rural sectors as an option to generate development [6]. References [7–9] address hybrid systems, where series resistance based on their configuration they allow to compensate the energy produced when one of their sources is down. Furthermore, this system allows to accumulate the excess energy produced in 24 V batteries. Regarding the specific energy supply for the HFC network, it is necessary to ensure the service to this sensitive component of the system, which is closely related to the level of the end customer, and generally it is an area that is strongly exposed to anomalies of different order. In this part of the network, it is essential to carry out sufficient preventive maintenance, and for this, telecommunications companies launch their work schedules to reduce customer complaints. If a communications device does not operate, user demands and penalties from the supervising authority can be generated. Consequently, it is necessary to take all the corrections to dispose backup equipment and backup power source for the public electrical system. See Fig. 9.1.

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Fig. 9.1 Trunked network and power supply system

9.2 Materials and Methods 9.2.1 Importance of Quality Service Television signals processing is carried out at the head end, in the part of transmission and distribution of the signal there is a high level of complexity since it does not depend clearly on the company, but on various aspects related to the infrastructure where it intervenes the lessee company of the posts, the permission to occupy the space regulated and controlled by the municipalities or local entity, implying that various communications companies use the spaces and share it. In this coexistence of telecommunications service providers, there is a problem when there is not an organization that always agrees on respect and consideration, but rather each one watches over his or her own and precisely there is where the technical and process problems arise that ultimately harm to end customers and that in these times each customer is part of the company’s heritage, without them it is impossible for companies to maintain themselves. In this sense, this new energy supply system is being declared and achieve a competitive advantage with companies that do not reorganize their processes and guarantee electrical service to the transmission and distribution part of the signal to the final consumers. See Fig. 9.2. For analog networks, signal processing involves conversion of the frequency and reception format of the signal. Thus, in the case of a terrestrial or satellite broadcasting center, channel format and frequency defined for the cable network is mixed through frequency multiplexing with signals received at the head end for its “feeding” in the system. The frequency plan is the group of frequencies consumed in the cable network where the TV channels are distributed by the network. All these features are known as the international standardization standard.

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Fig. 9.2 Telecommunication system with a renewable energy backup system

9.2.2 Network Integration with Service Quality in Mind Principal function for the head end is the treatment of internet signals, television and telephony [10, 11]. See Fig. 9.2. In analog networks, the signal processing is carried out through the conversion of the original frequency and the signal reception format; this occurs for example in a satellite or a terrestrial broadcasting station, at a frequency level and channel determined for the cable network, mixing by means of frequency multiplexing with the signals received at the head end for its “feeding” to the system. According to the international standard of normalization, the group of frequencies used by the cable network where the television channels are hosted is known as the frequency plan. It must be considered that in data transmission, the frequency of the transmission channel must not conflict with the television service, that is, they should not overlap each other. In TV, signal processing contemplates the conversion of frequency and format for the cable network that uses digital transmission, and digitization takes care of the processing. The channels digitized in MPEG2 are grouped into MPEG2 streams through digital multiplexers, which are modulated in 64 QAM, giving rise to the radio frequency channel in the network.

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9.2.3 Distributed Installation Cabinets Figure 9.3 shows an appropriate power supply source for telecommunications systems that are robust, have the corresponding safeties in the cabinets, widely used to locate them on posts or on pedestals. The variant on this occasion is that they will be equipped with a backup system through the production of renewable energy that will also be backed by 24 V batteries. Below are the benefits of these sources of supply. The most important benefits are: real uninterruptible UPS, intelligent screen, main operation parameters, alarms, additional information, setting and personalization criteria, investor times and events front panel of connections: AC output, Row of Batteries, Remote Temp Sensor RTS, LRI/SSR/N +1 options, front panel test points, battery voltage, output voltage, APM—self test system, automatic inverter and battery test, ultra-modern 3-stage charger, protect, output and redundancy N + 1, front panel modularity. The spectrum analyzer verifies the process of receiving the digital signal and then transmits it to the user with the appropriate protocols. Figure 9.4 shows the connection diagram of the configuration performing the corresponding tests and verifying the signal levels with the power supply of a hybrid system of renewable energy sources (wind-photovoltaic). The purpose of this research is to propose a hybrid system of renewable energy sources to cover the power needs of the current HFC network. Our study also included determining the number of incidents that occurred at the HFC source level through remote monitoring, which was gently provided to us by the officials of a prestigious company for these strictly academic activities and has no other purpose. Figure 9.5 shows the statistics of problems that occurred in three main cities in Ecuador, namely Quito, Guayaquil and Cuenca. After determining the nodes with the greatest problems, it is possible to identify the factors incident to power outages and thereby

Fig. 9.3 Power source for telecommunications networks

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Fig. 9.4 General scheme of signal tests referring to the furthest customer

carry out the locations of these hybrid power generation systems in authorized or leased spaces. All this management is done in order to reduce service cuts to the end customer. According to these indicators presented and collected over the course of a year with the support of specialized software for effective monitoring of HFC sources, there is no doubt that there is currently a problem in the supply of energy at the end customer level, and this alternative will be of great value to reduce the levels of dissatisfaction in a market, that is, increasingly demanding see Fig. 9.6.

9.2.4 Operating Scenarios There are four cases (presented below), in which a cabinet with its respective equipment is dedicated to operate in correspondence with the electrical system using renewable energy in the absence of the public electricity grid, a condition that we must overcome according to the proposed schemes 2 and 5 and guarantee the continuity of the electrical service. Our proposal is the system to be powered by the solar panel and the wind turbine. However, it is important to consider that the spaces where this equipment is located must be adequate according to the meteorological characteristics of each city. Generally, they can be co-located without problems since there is space available but it must be taken into account that there is sufficient wind and is free of shadows from buildings for the hybrid system to operate efficiently. On the other hand, it is also necessary to consider that in colonial hulls such as in the City of Cuenca, and it is not possible to carry out sites of this type because

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Fig. 9.5 Statistics of problems related to energy supplies to the HFC network in three cities in Ecuador

Fig. 9.6 The design of the electrical power generation system to supply enough power to the cabinets supplying the HFC network, labeled L1 [12–14]

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the ordinance does not currently allow it. There are limited areas that are considered traditional but in the largest territorial area if it is possible to install this hybrid system [15–20]. Wind turbines and photovoltaic panels provide power in the exact amount required by the cabinet If the total of wind and photovoltaic energy is greater than the energy demanded in the cabinet, the excess energy is stored in the battery. This happens when there is high-solar radiation during the day and also high-wind speeds. The relationship between the power supply and the load at the head end is described by Formula 9.1. PS1 + PS2 = PL1 + Pbattery

(9.1)

Wind turbines and photovoltaic panels provide power in the exact amount to the cabinet The total power of wind turbines and photovoltaic panels supplies energy. The battery is not compressed due to the balance that occurs between generation and consumption, as indicated in Formula 9.2. It can be presented exclusively in the transition phase between day and night. PS1 + PS2 = PL1

(9.2)

Pbattery = 0 Wind turbines and batteries photovoltaic panels supply power to the load In places where there is no wind, or throughout the day, weather at dawn, dusk, cloudy days, the total power provided by the two renewable energy sources is less than the power consumed by the total load of the HFC network. The battery bank in these cases provides the necessary and sufficient electrical energy to the HFC network as illustrated in Formula 9.3. PS1 + PS2 + Pbattery = PL1 + PL2

(9.3)

Batteries give energy to the load Wind turbines and the photovoltaic system stop providing energy; this can happen without wind and at night. Sufficient energy is discharged in the battery bank and directly to the load; as indicated in Formulas 9.4 and 9.5. PS1 + PS2 = 0

(9.4)

Pbattery = PL1

(9.5)

Designing a hybrid system between solar panels and wind turbines is aimed at obtaining greater efficiency in the energy supply. Generally, the two sources operate at the same time; and when they do not, it occurs for relatively short periods of time.

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9.2.5 Hybrid System Simulations Formulas are described below and then simulated in Matlab [21–23], according to the scenarios. Wind Turbine The output power is expressed as Formula 9.6 [24]. Px = 1/2 ∗ C p ∗ ρair ∗ A ∗ v 3 ∗ ηx

(9.6)

where Px is the wind power sweep produced by the blades per unit area, C p is the Betz power coefficient, ρair is the air density, A is the area swept by the blades, and v is the wind velocity [25, 26]. Photovoltaic (PV) System For the photovoltaic cell, the operation of the I–V curve is described by (9.7)–(9.9), [27, 28].  V +I R I  V + I R s I = I L (G 1 , T1 ) − Np Io e Vt −1 − Rp Vt = m Np k Io =

(T1 + 273) qe

Isc − 

e

Voc Vt



Voc Rp

(9.7) (9.8)

(9.9)

−1

where, N s : Number of solar cells in series. N p : Number of solar cells in parallel. K is the Boltzmann constant. qe : Charge of the electron. m: Diode ideality factor. T 1 : Working temperature of the solar panel in °C. Rs : Series resistor. Rp : Resistance in parallel. I L : Photo generated current = I sc . Io is the inverse saturation current of the diode. V oc : Open circuit voltage [24, 27]. The efficiency of conversion of the PV power to electric energy output in DC is expressed as Formula 9.10. Where ηc2 is the efficiency of conversion to DC and referred to VPV and IPV . PPV = ηc2 IPV .VPV

(9.10)

9.3 Results and Discussions Equations (9.1)–(9.10) are solved considering that the total power cannot be set simultaneously for the reason explained in the analysis of the operating scenarios;

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to validate the data of the mathematical model, the simulation is executed with MATLAB. It is the intention of the project to guarantee the continuity of the service in the HFC network; it is validated that the signals, their magnitudes and frequencies are identical between the public electricity grid and renewable energy system. The measurements were taken with the spectrum analyzer; the operation of the head end equipment is not affected by changing the power supply. Waveforms remain unchanged.

9.4 Conclusions The generation of electric energy from renewable energy sources is a valid alternative and in the near future will have a wide level of use, especially in telecommunications, where growth will be significant. There is a significant advantage to the HFC network for users, the operation of generators based on fossil fuels would be avoided, and a situation that is currently in common and growing use in many locations in Ecuador. The research reinforces and guarantees the new sources of renewable energy, since at the same time they protect the environment, reduce the cost and provide substantial improvements. The proposal is friendly to the environment, and it is not polluting and responds to a mandatory and strict regulatory framework. This contrasts with the practices that are currently carried out in developing countries such as Ecuador, where there are rates of corruption due to the purchase and use of fossil fuels that satisfy the interests of certain individuals. The study ensures that the HFC signals on the grid were not modified by the transition between the power supply from the public grid and the autonomous renewable energy system. This works well according to the strategic location of panels and turbines. Given the nature of our regions and countries, it is known that renewable energy sources do not yet have the confidence and certainty in their use; the opportunity for an increase in use and dissemination soon is not discounted. Telecommunications will grow exponentially, especially in rural areas and locations that are far from massive population centers, as is the case in cities. Therefore, the proposal is attractive.

References 1. Valerdi, D., Zhu, Q., Exadaktylos, K., Xia, S., Arranz, M., Liu, R., Xu, D.: Intelligent energy managed service for green base stations. In: GLOBECOM Workshops (GC Wkshps), 2010 IEEE. pp. 1453–1457 (2010) 2. Zhou, J., Li, M., Liu, L., She, X., Chen, L.: Energy source aware target cell selection and coverage optimization for power saving in cellular networks. In: Proceedings of the 2010 IEEE/ACM Int’l Conference on Green Computing and Communications and Int’l Conference on Cyber, Physical and Social Computing. IEEE Computer Society, pp. 1–8 (2010)

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3. Cordiner, S., Mulone, V., Giordani, A., Savino, M., Tomarchio, G., Malkow, T.: Fuel cell based hybrid renewable energy systems for off-grid telecom stations: data analysis from on field demonstration tests. Appl. Energy 192, 508–518 (2017) 4. Faran, A., Naeem, M., Iqbal, M.: ICT and renewable energy: a way forward to the next generation telecom base stations. Telecommun. Syst. 64(1), 43–56 (2017) 5. Zhang, X., Baeyens, J., Degreve, J., Caceres, G.: Concentrated solar power plants: review and design methodology. Renew. Sustain. Energy Review 22 2013 6. Kawada, Y., Yano, K., Mizuno, Y., Tsuchiya, T., Fujisaki, Y.: Data access control for energyrelated services in smart public infrastructures. Comput. Ind. 88, 35–43 (2017) 7. Ghenai, C., Salameh, T., Merabet, A.: Technico-economic analysis of off grid solar PV/fuel cell energy system for residential community in desert region. Int. J. Hydrogen Energy 45(20), 11460–11470 (2020) 8. Kalogirou, S.: Use of TRNSYS for modelling and simulation of a hybrid pv–thermal solar system for Cyprus. Renew. Energy 23(2), 247–260 (2001) 9. Dai, H., Masui, T., Matsuoka, Y., Fujimori, S.: Assessment of China’s climate commitment and non-fossil energy plan towards 2020 using hybrid AIM/CGE model. Energy Policy 39(5), 2875–2887 (2011) 10. Chiti, F., Fantacci, R., Marabissi, D., Tani, A.: Performance evaluation of an efficient and reliable multicast power line communication system. IEEE J. Sel. Areas Commun. 34(7), 1953–1964 (2016) 11. Tsiropoulos, G.I., Dobre, O.A., Ahmed, M.H., Baddour, K.E.: Radio resource allocation techniques for efficient spectrum access in cognitive radio networks. IEEE Commun. Surv. Tutorials 18(1), 824–847 (2016) 12. Dihrab, S., Sopian, K.: Electricity generation of hybrid PV/wind systems in Iraq. Renew. Energy 35(6), 1303–1307 (2010) 13. Colak, I., Sagiroglu, S., Fulli, G., Yesilbudak, M., Covrig, C. F.: A survey on the critical issues in smart grid technologies. Renew. Sustain. Energy Rev. (2014) Submitted for publication 14. Viola, F., Romano, P., Miceli, R., Cascia, D.L., Longo, M., Sauba, G.: Economical evaluation of ecological benefits of the demand side management, ICRERA 2014, Milwaukee, pp. 19–22 (2014) 15. Icaza, D., Sami, S.: Modeling, simulation and stability analysis using MATLAB of a hybrid system solar panel and wind turbine in the locality of puntahacienda-quingeo in Ecuador. Int. J. Manage. Sustain. 7(1):1–24 ISSN (e): 2306–0662. ISSN (p): 2306–9856 (2018). https://doi. org/10.18488/journal.11.2018.71.1.24 16. Bayindir, R., Hossain, E., Kabalci, E., Perez, R.: A comprehensive study on microgrid technology. Int. J. Renew. Energy Res. 4(4) (2014) 17. Bordons, C., Torres, F.: Gestión óptima de la energía en microrredes con generación renovable. Revista Iberoamericana de Automática e Informática Industrial 12(2), 117–132 (2015) 18. Ando, Y., Oozawa, H., Mihara, M., Irie, H., Urashita, Y., Ikegami, T.: Demonstration of SOFCmicro gas turbine (MGT). Mitsubishi Heavy Ind. Tech. Rev. 52(4) (2015) 19. Craig, S., Zhiwen, M.: Gas turbine/solar parabolic trough hybrid designs, to be presented at the ASME turbo expo 2011. Vancouver, Canada (2011) 20. Icaza, D., Conce, H., Flores, P.: Dimensioning of the main mechanical elements and final assembly of the DIAWIND-A2 wind turbine. In: 2017 CHILEAN Conference on Electrical, Electronics Engineering, Information and Communication Technologies (CHILECON) (2017). https://doi.org/10.1109/CHILECON.2017.8229551 21. Icaza, D.: Modeling, simulation and construction of the D-ICAZA-A1 wind turbine destined for the rural areas of Ecuador. Innovative Smart Grid Technologies Conference—Latin America (ISGT Latin America), (2017) IEEE PES. Quito 2017/12/4 22. Colak, I., Bayindir, R., Fulli, G., Tekin, I., Demirtas, K., Covrig, C.F.: Smart grid opportunities and applications in Turkey. Renew. Sustain. Energy Rev. 33, 344–352 (2014) 23. Saha, N.C., Acharjee, S., Mollah, M.A.S., Rahman, K.T., Rafi, F.H.M., Rabin, M.J.A., Samad, M.A.: Modeling and performance analysis of a hybrid power system. In: Proceeding of International Conference on Informatics Electronics and Vision (ICIEV), pp. 1–5 (2013)

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Part III

Analysis and Signal Processing

Chapter 10

Comparative Analysis of High Frequencies for the Broken Bar Fault Diagnosis Using MCSA and Park’s Vector Demodulation William Oñate , Yessenia Gallardo , Ramón Pérez , and Gustavo Caiza Abstract Manufacturing companies intend to find reliability in their processes and procedures, reasons for which faults must be predicted in order to generate actions in a timely manner so that the operation of the electric machine is reliable. The present work shows a procedure for detecting faults in bars of a three-phase induction motor, based on upper lateral bands near the fundamental and up to 900 [Hz], focused on the technique of the Park transformation, a method that demodulates the currents resulting in the associated components of torque and magnetization which will be analyzed by Fast Fourier Transform (FFT). The spectra near the fundamental of the current presented an average frequency coincidence with respect to the theoretical equation of 98.6% for bands 1× and 7×, and an average frequency coincidence far from the fundamental in 99.4% in bands 10×, 17×, 20×, and 77×. The tests were performed using a laboratory test bench for electric motors where it is observed that the Park transform provides wide and clean results over the entire frequency range, eliminating the uncertainties and/or errors that may arise in the event of a diagnosis of broken bar fault compared to MCSA results.

W. Oñate (B) · Y. Gallardo · R. Pérez · G. Caiza Universidad Politécnica Salesiana, Cuenca, Quito 170702, Ecuador e-mail: [email protected] Y. Gallardo e-mail: [email protected] R. Pérez e-mail: [email protected] G. Caiza e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_10

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10.1 Introduction With the existence of important changes in the energy matrix in Latin America, Ecuador makes a projection directed toward the industrial sector by the year 2021, with a growth of 5.1% [1], which would directly increase the use of rotating electric and static machines, with induction motors being the most useful rotary electric machines in the industrial sector, this is due to the fact that these motors have robust characteristics, low cost, are efficient and allow the change of connection. In [2], they mention that the induction motors according to the operating process, work under hostile environments and in places of difficult access so that the motors are replaced when suffering severe damage, in addition, the usual practice is corrective maintenance, leaving aside predictive and preventive maintenance, increasing production interruptions and therefore, decreasing the economic income of these companies [3]. The incipient faults that are generated in an electric motor represent 88% of the total existing faults [4] and these are classified as such: bearing faults, shaft eccentricity, winding short-circuits of the same phase, and broken bars in squirrel cage motors. When trying to mitigate these faults, there are several investigations on different techniques and/or methods to diagnose the type of fault. The MCSA analysis, is a technique that analyzes the fluctuations that occur in the air gap due to some disturbance or fault and are transmitted to the stator windings by the interaction between the magnetic flux of the rotor and the stator, thereby generating spectral vibrations in the domain of the frequency obtained through the FFT, however, this technique is widely used in problems related to short-circuit of windings of the same phase (for high frequencies) and the breakage of rotor bars (for short frequencies) [5, 6], therefore; it is complex to detect all faults with a single method [7], for this reason, different types of techniques must be used to have a real approximation depending on the type of faults and condition, which is why there are several types of techniques such as: analysis current signature (MCSA), voltage signature analysis, (MVSA), instantaneous power signature analysis (IPSA), and Park’s extended vector approach [6]. Studies regarding the demodulation technique show that the variations in the area of the air gap are modulated with the stator currents, which results in balanced and unbalanced charge tests, indicating positive results with respect to another method of demodulation focused on the concord transform which is based on the representation of circular charts, noting the variations found in motors through the components of the currents (α, β) [8, 9]. The present work shows a methodology for detecting incipient faults in broken bars, based on the demodulation technique with a vector approach applying the Park transformation, which will remove the fundamental envelope leaving free the orthogonal components of torque and magnetization (iτ, im) [10], which will be treated in the frequency domain using the FFT and analyzed for their respective diagnosis, in addition to comparing them with the spectral results obtained using MCSA.

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10.2 Materials and Methods 10.2.1 Motor Current Signature Analysis (MCSA) MCSA is a technique for detecting incipient faults based on the prediction of errors in electric motors, for this case study this procedure will be applied to identify broken bars in the rotor of a three-phase induction motor, this will be achieved through the readings and analysis of the change of the amplitude of the spectral components in the frequency domain, generated by the deformation in the stator currents of said motor [7], product of the amplitude and phase modulation of the components that are integrated into the fundamental alternating signals that feed the engine (i u , i v , i w ) [11], all this due to variations generated in the air gap, when there are radial fluctuations with respect to the plane of the motor shaft and also in the presence of vibrations due to small variations in nominal speed or torque fluctuations. From the above, the following equations describe the behavior of an induction motor when it is in perfect condition. Equation (10.1) refers to the threeline currents injected into the stator windings from the power source, (10.2) presents the flux of the rotating magnetic field, generated by the passage of the static currents, and the (10.3) represents electrical torsion when the two equations described above interact [12]. i u (t) = Im cos(2π f 1 t − α1 )

(10.1)

  ∅u (t) = ∅m cos 2π f 1 t − α∅u

(10.2)

T =

3 # p∅I sin(α − α∅ ) 2

(10.3)

When a motor is operating with some type of fault, these are reflected in the air gap, just in the area where the magnetic fields of the rotor and stator interact. Incipient faults such as wear on the balls and retainer that make up the bearings, eccentricity of the shaft with respect to the charge, short-circuit of the windings of the same phase or, as discussed in this document, bar breakage. Thus, these problems cause new components with different information such as frequencies, amplitude, and phase angle to be added to the three-phase signals coming from the source, therefore line 1 (i u ) of power current is taken as an example [12, 13], where (10.4) expresses a signal that is inserted into the current u(t). i u f (t) = Im F cos(2π f F t − α F )

(10.4)

However, this document focuses on the analysis of lateral frequencies above the fundamental frequency [14], because the spectral amplitudes of the currents are more noticeable if the motor operates at light charges or lowers that the nominal current

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and is located in the lower lateral frequencies; however, these spectral amplitudes are interfered with by variations in speed, interference that must be eliminated to obtain a signal that correctly shows the fault, as well as with the increase in the charge on the motor, the spectral amplitudes become visible but they move to a higher order of frequencies. Therefore, there are two current signals with components in amplitude, frequency, and phase, which are incorporated into the fundamental carrier signal and are not visible when using a graphic representation of electrical signals, which is why it is appropriate to apply the FFT to decompose the aforementioned signals and identify the characteristic spectral amplitude of the type of fault for a broken bar [15].

10.2.2 Transformation of Reference Variables to Associated Variables It is necessary to emphasize that the oscillations of angular velocity product of some type of incipient fault, lead to the variations of variables that are inherent in the electrical machine such as, the fluctuation and charge radius, impedances, and power factor, therefore it is necessary to implement a system of differential equations that govern the dynamics of the operation of the induction motor, however, this resolution path is facilitated by using a method that allows transforming the variables of a sequential system with established amplitude, frequency, and phase to another system reference, which will move at synchronous angular velocity, all this through the use and transposition of matrices. The variation of angular velocity in an electric induction motor is entirely related to the magnetization current (i m ) and the torque current (i τ ), presenting a fundamental behavior characteristic when the motor operates in perfect conditions and begins to have study significance for this study when these currents are affected in amplitude, frequency, and phase, in addition, these currents (torque and magnetization) are part of the function of the motor feed currents (i u , i v , i w ) [16], equations that are expressed in (10.5), (10.6), (10.7) and in matrix form in (10.8) [8]. i u (t) = i τ cos 2π f 1 t + i m sin 2π f 1 t     2 2 i v (t) = i τ cos 2π f 2 t − π + i m sin 2π f 2 t − π 3 3     2 2 i w (t) = i τ cos 2π f 3 t + π + i m sin 2π f 3 t + π 3 3 c = Ab

(10.5) (10.6) (10.7) (10.8)

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For the solution of this matrix system, it is necessary that the matrices involved in the multiplication be invertible or regular and for this purpose squared, however, it is observed that the matrix system is rectangular, so it is necessary to apply the pseudoinverse on the right to the matrix A = A+ , to subsequently perform multiplication with b and thus obtain an identity matrix c, indicating the solution of the system by linear transformation see (10.9), new currents of (i τ and i m ) that are free of information from the carrier signal.  −1  b = A+ b c = A(t)T A(t)T A(t)

(10.9)

The second way to obtain the torque and magnetization currents is through the use of a sequential stationary reference frame and this is found in the three-phase signals that enter the stator of the induction motor (i u , i v , i w ) having similar characteristics in amplitude, frequency 60 [Hz] and phase between them of (2π/3), these references will be used to obtain ratings of the orthogonal current signals (i τ and i m ). Thus, with this method the time data was obtained for the associated orthogonal currents (i τ and i m ), both for the motor in perfect conditions and for the motor with perforation in one of the squirrel cage bars, the FFT is subsequently applied to the two signals and with it the obtaining of instantaneous frequencies, which will be useful for the required study diagnosis [13].

10.2.3 Fault Caused by Broken Bars (BRB). This type of fault originates in those parts of the rotor that is not supported by the body of the rotor, that is, they are concentrated in the part of the junction of the short-circuit ring or near it [7]. A BRB causes an electric and magnetic asymmetric effect on the rotor, this introduces the lower and upper lateral band components ( f sb ) into the statoric currents [17]. By having broken bars in an induction motor, unstable or asymmetric conditions are generated by an additional rotating magnetic field and which delayed with respect to the reference magnetic field (sliding speed), which cuts the windings of the armature and are reflected in the stator currents at the same frequency as the rotating magnetic field [18], spectral magnitudes of fault that can be found with (10.10) [19]. f sb = f 1 (1 + 2ks)

(10.10)

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10.2.4 Implementation in Experimental Development. To obtain and analyze data, applying the different methodologies mentioned above, it was necessary to use a laboratory test bench for electric motors, which is represented by the schematic diagram shown in (see Fig. 10.1). (See Fig. 10.2) shows the test bench used for this study, which is composed of: dynamometer (magnetic brake and controller), equipment that allows to apply up to a maximum load of 10 [Nm] and with availability of use for Open or Closed loop braking control, transconductance sensors to condition the voltage values at current of each phase from the stator or from the power supply, three differential voltage probes from 10 to 500 [V], signals entering an oscilloscope to acquire the threephase signals in time, Matlab software to develop the demodulation of the acquired

Fig. 10.1 Schematic diagram of the test bench for electric motors

Fig. 10.2 Test bench for motors under test

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Characteristics Brand

Felisatti

Type

10/C

Connection

Delta

Voltaje

220 AC

Current

0.85 [A]

Fp

0.8

Power

0.2 hp

current signals and the Fast Fourier Transform, finally a three-phase asynchronous induction motor [20]. For motor in question, before being submitted to the laboratory test bench, [20] several tests were carried out for the verification of the winding impedance according to IEEE 95-20002: continuous high voltage test, insulation between phases according to IEEE 43-20001520, temperature and vibration analysis concluding that the motor is ready to perform any type of experimental procedure. The characteristics presented by the motor according to its data plate are shown in Table 10.1.

10.3 Results and Discussion The following shows the spectral signals of the statoric currents acquired from a three-phase induction motor, which was adjusted to nominal load parameters and connection type according to its data plate. The spectral signals were analyzed in amplitude and frequency, compared when the motor is running imperfect condition (without fault) and when the engine is running with a broken squirrel cage bar (with fault). The data was analyzed using the classic MCSA method at frequencies between the fundamental up to 900 [Hz] and the demodulation method using the Park transform and subsequently the FFT. In this way, to understand, according to spectral amplitude, this type of incipient fault by the two methods mentioned above. It is appropriate to mention that, during the test in the laboratory bench, due to the breakage of a squirrel cage rotor bar, an increase of 5% over the nominal motor speed was recorded.

10.3.1 MCSA Analysis for Broken Bar Fault The lateral spectral amplitudes greater than the fundamental frequency for diagnosis of broken bar fault should be visible and consist of their frequency band according to (10.10) and are shown in Table 10.2. Where it is understood that at frequencies

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Table 10.2 Upper side frequencies in line 1 (i u ) Frequency band

Theoretical frequency (Hz)

Significant spectral amplitude

Frequency of results (Hz)

Fault diagnosis

1x

69.9

No

–

Negative

2x

79.8

No

–

Negative

24x

297.6

No

300

Negative

33x

386.7

Yes

389

Negative

54x

594.6

Yes

596

Negative

66x

713.4

Yes

718

Negative

close to the fundamental frequency there are no significant amplitudes to establish a frequency band of positive fault. In the same vein, significant amplitude spectra that are far from the fundamental frequency would have a frequency band, however, due to their low spectral amplitude, they present a diagnosis of negative broken bar fault. The results obtained in the finite data set, for a frequency range of 60–900 [Hz], in the three power lines, do not give a clear understanding of the fault characteristics of the continuous-time signal, product of the artificial discontinuities (sudden transitions) of the FFT during the selected sampling period. Thus, the spectral amplitudes that indicate some type of incipient fault will move at high frequencies and with it the attenuation of the spectral amplitude [21], which is why the use of windows in the FFT is very useful, however, one should know the frequency characteristics that operate said windows and know or estimate the frequency content of some type of incipient fault [22]. Thus, according to (10.10), upper lateral bands would be close to the fundamental frequency, which should focus the FFT window for low frequencies, thus being able to appreciate the characteristics of this type of broken bar faults [23].

10.3.2 Demodulation of the Reference Signal. Next, we will present the spectral results obtained from the torque current (i τ ) and magnetization (i m ), components that are associated with the induction motor power lines, data that were obtained after the demodulation of the statoric currents (i u , i v , i w ) with which the domain of the range is maintained between frequencies 60–900 [Hz]. According to (10.10) and the spectral results obtained from the torque current, The upper lateral spectral amplitudes would be visible near the fundamental frequency, indicating the existence of diagnosis for positive fault, however, in Fig. 10.3 in the case of the signal with fault, spectral amplitudes are observed in the frequencies of 67.5, 159,178.8, 228.3, 258, 822.3, and 852 [Hz], the amplitude of these spectra being the most relevant because they appear when they previously did not exist in the signal without fault. It is also worth mentioning that these spectral impulses have little amplitude in decibels but they carry a significant difference compared to the

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Fig. 10.3 Torque current spectra (iτ ) with and without fault, with a positive diagnosis for broken bar failure, Park demodulation technique

spectral amplitude of the signal without fault, which is why the diagnosis of fault due to breakage in the bar is validated, otherwise it happens with the spectral amplitude located in the frequencies of 70 [Hz] because its amplitude is less than the spectral amplitude of the signal without fault. According to (10.10) and spectral results obtained from the torque current, the upper lateral spectral amplitudes would be visible near the fundamental frequency, indicating the existence of diagnosis for positive fault. In Fig. 10.4 in the case of the fault signal, spectral amplitudes are observed in the frequencies of 67.5, 70, 128.5, 158, 231, 261, 819, and 849 [Hz], these amplitudes being the most significant because they present a great difference in amplitude with respect to the signals without fault, these impulses validate the appearance of a fault due to the breakage of a bar in motors. When comparing these two techniques it is understood that the demodulation by the Park transform with respect to the classic MCSA technique shows better results in the difference between the spectral amplitudes of the signals with and without fault, in addition to presenting clean spectral data in the entire frequency domain, which shows those amplitudes that facilitate the diagnosis of faults and even showing a correct coincidence with respect to (10.10), while leaving aside possible ambiguities in the diagnosis of fault by broken bar in the induction motor cage. It should also be mentioned that, in the two methods developed in this study, the same window is used for FFT, resulting in upper lateral frequency bands for positive diagnosis and with ambiguities in the case of the MCSA method, and a positive diagnosis for the method of demodulation by the Park transform.

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Fig. 10.4 Magnetization current spectra (im) with and without fault, with a positive diagnosis for broken bar failure, Park demodulation technique

10.4 Conclusions In the demodulation technique by the Park transform, it is understood that the magnetization current component (im), presents 8 significant spectral values for positive fault diagnosis, where two significant amplitudes are recorded near the fundamental frequency, being located in 67.5, 70, and 128.5 [Hz], besides presenting a difference of spectral amplitude with respect to the spectral amplitude of signal without fault of 19, 2 and 11 times, being located, respectively, in the frequency bands 1× and 7× , with a theoretical coincidence in the appearance of these spectra of 96.6%, 99.8%, and 99.4%, respectively. Likewise, the remaining five spectral impulses are located in the frequencies of 158, 231, 261, 819, and 849 [Hz], presenting a difference in average spectral amplitudes with respect to the average spectral amplitudes of the fivefold faultless signals, identified in the following frequency bands 10×, 17×, 20× , 77 ×, and 80×, respectively, and an average coincidence in the appearance of these spectral impulses of 99.4%. With this, it is conceived that the component of the magnetization current is even more reliable than the component of the torque current since it shows a better result in spectral amplitude and greater theoretical coincidence for the diagnosis of positive fault. The MCSA technique shows ambiguity because the line 1 (iu) does not show any kind of evidence to designate as a positive fault for frequencies above the fundamental frequency, in the same way, it happens with line 2 (iv) since there is an ambiguity in one of its results due to its spectral amplitude only growing 1.1 times with respect to the amplitude of the signal without fault and barely manages to pass

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the electromagnetic limit in 0.27%, the opposite occurs with the line 3 (iw) in which a spectrum is identified showing favorable characteristics for diagnosis of positive fault. For these reasons, the MCSA method presented uncertain results at the time of diagnosing breakage in a squirrel cage bar of an induction motor for frequencies higher than the fundamental one, due to presenting in only a single spectrum of one of its three lines the aforementioned fault. In contrast, the method of demodulation with the Park approach, from which a clean spectral signal is extracted throughout the frequency domain and, in addition, it is clear in the amplitudes of the spectra of interest without generating uncertainties at the time of diagnosing the positive fault.

References 1. Inter-American Development Bank.: Eficiencia energ‘ etica en America ´ Latina yel Caribe: Avances y oportunidades pp. 99–102. SEfor ALL, American and Caribbean 2. Choudhary, A., Goyal, D., Shimi, S.L., Akula, A.: Condition monitoring and fault diagnosis of induction motors: a review. Arch. Comput. Methods Eng. Springer 26, 1221–1238 3. EASA.: In The Effect of Repair/Rewinding on Motor Efficiency, pp. 4–8. SEfor ALL, USA; St. Louis, Missouri (2003). 4. Redon, P., Romero-Troncoso, R.J., Picazo-Rodenas, M.J., Antonino-Daviu, J.: Reliable methodology for online fault diagnosis in induction motors using passive infrared thermography. IEEE 11, 142–149 (2017) 5. Dehina, W., Boumehraz, M., Kratz, F., Fantini, J.: Diagnosis and comparison between stator current analysis and vibration analysis of static eccentricity faults in the induction motor. ICPEA 4, 1–4 (2019) 6. Miljkovíc, D.: Brief review of motor current signature analysis. IEEE industry applications magazine. HDKBR INFO Magz. 14–26 (2015) 7. Ramos, O.: Diag´nostico de fallas incipientes en motores de induccíon por MCS Autilizando la transformada de Hilbert, 1–29. DSPACE (2016) 8. Frini, M., Soualhi, A., El Badaoui, M.: Gear faults diagnosis based on the geo-metric indicators of electrical signals in three-phase induction motors. Mech. Mach. Theory Sci. Direct. 138, 1–15 (2019) 9. Trajin, B., Chabert, M., Regnier, J., Faucher, J.: Hilbert versus Concordiatransform for threephase machine stator current time-frequency monitoring. In: Mottershead J.E. (ed) Mechanical Systems and Signal Processing, pp. 2648–2657. Publishing House, United Kingdom (2019) 10. Goh, Y.J., Kim, O.: Linear method for diagnosis of inter-turn short circuits in 3-phase induction motors. Appl. Sci. 9, 1–20 (2019) 11. Wang, T., Alwodai, A., Tian, X., Shao, Y., Ball, A.D.: A new method of accurate broken rotor bar diagnosis based on modulation signal bispectrum analysis of motor current signals. Sci. Direct 10, 142–149 (2014) 12. Sahraoui, M., Ghoggal, A., Guedidi, S., Zouzou, S.E.: Detection of inter-turnshort-circuit in induction motors using Park–Hilbert method. Int. J. Syst. Assur. Eng. Manage. Springer 5, 337–351 (2013) 13. Karmakar, S., Chattopadhyay, S., Mitra, M., Sengupta, S.: Analytical tools for motor fault diagnosis. In: Induction Motor Fault Diagnosis, pp. 29–55. Springer Publishing House, Singapore (2016) 14. Ameid, T., Menacer, A., Talhaoui, H., Harzelli, I.: Broken rotor bar fault diagnosis using fast Fourier transform applied to field-oriented control induction machine: simulation and experimental study. In: The International Journal of Advanced Manufacturing Technology, pp. 917–928. Springer Publishing House, Singapore (2017)

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15. Areias, I.A.S., Borges da Silva, L.E., Bonaldi, E.L., Lacerda de Oliveira, L.E., Lambert-Torres, G., Bernardes, V.A.: Evaluation of current signature in bearing defects by envelope analysis of the vibration in induction motors. In: Energies, pp. 4029–4041 (2019) 16. Hsu, W.T., Lan, C.Y., Liu, M.K., Chang, S.T.: Fault signature analysis of industrial machines. In: Kuo, C.H., Lin, P.C., Essomba, T., Chen, G.C. (eds.) Robotics and Mechatronics, pp. 346–359 (2020) 17. Naha, A., Kumar, S., Routray, A.: A method for detecting half-broken rotor bar in lightly loaded induction motors using current. In: IEEE Transactions on Instrumentation and Measurement, pp. 1614–1625 (2016) 18. Autee, R.M., Kalyankar, S.B., Shiurkar, U.D.: Dynamic equivalent circuit for 4 kw switched reluctance motor. In: Iyer, B., Deshpande, P., Sharma, S., Shiurkar, U. (eds.) Computing in Engineering and Technology. Publishing House, Singapore (2020) 19. Drakaki, M., Karnavas, Y.L., Chasiotis, I.D., Tzionas, P.: An intelligent multi-agent system framework for fault diagnosis of squirrel-cage induction motor broken bars. In: Information Systems Architecture and Technology. In: Swiatek, J., Borzemski, L., Wilimowska, Z. (eds.) Proceedings of 38th International Conference on Information Systems Architecture and Technology—ISAT 2017, pp. 80–89 (2018) 20. Oñate, W., Perez, R., Caiza, G.: Diagnosis of incipient faults in induction motors using mcsa and thermal analysis. In: Advances in Intelligent Systems and Computing, pp. 74–84. Springer, Cham (2007) 21. Tinnirello, A., Gago, E., Alessandro, D., Szekieta, D.: Diagnosis of Rotor Failures Current Power Induction Motors by Spectral Analysis Methods, pp. 299–332. IJCE, Publishing House, Argentina, Rosario (2016) 22. Unsal, A., Kabul, A.: Detection of the broken rotor bars of squirrel-cage in-duction motors based on normalized least mean square filter and Hilbert envelope analysis. In: Borghetti, A. (ed) Electrical Engineering, pp. 245–256 (2016); Fault Diagnosis Of An Induction Motor Through Motor Current Signature Analysis, FFT and DWT analysis. IEEE (ICETAS), 1-7 (2017)

Part IV

Wearable Technology and Assistance Devices

Chapter 11

Nexus of Electrospun Nanofibers and Additive Processing—Overview of Wearable Tactical Gears for CBRNE Defense Ashok Vaseashta , Yuri Dektyar, Volodymyr Ivanov, Maris Klavins, Didem Demir, and Nimet Bolgen Abstract Due to complex nature of twenty-first century battlefield, soldiers must perform multiple tasks to protect nations while maintaining their own safety. Advances in technological innovations are critical to support such functionalities to enhance safety and security. Using nexus of electrospinning and additive processing, we present how recent developments can be used to produce new generation of protective fabrics with integrative force protection, sensing/detection of chemical, biological, radiological, nuclear, and high yield explosives (CBRNE), and biomedical functionalities. Although electrospinning has been in use for some time, the special blends and configurations of nanofibers, as described here, offer several unique characteristics that render textile lightweight yet effective against impact, breathable yet offers protection against chemical and biological agents, and provides effective protection for various specific applications. Thus, the newly developed composite materials gained various features such as flame retardancy, UV protection, pollutant capturing, antibacterial property, decontamination, detoxification, and self-cleaning ability as well as providing donning comfort. These properties can be achieved by incorporating functional agents with specific ligands or molecules into the fibers. A

A. Vaseashta (B) International Clean Water Institute, Manassas, VA 20112, USA e-mail: [email protected] A. Vaseashta · Y. Dektyar Biomedical Engineering and Nanotechnologies Institute, Riga Technical University, 1 Kalku Street, Riga 1658, Latvia V. Ivanov Advanced Research Laboratory, National University of Food Technologies, 68 Volodymyrska Str, Kyiv, Ukraine M. Klavins Department of Environmental Science, University of Latvia, Raina Blvd 19, Riga 1285, LV, Latvia D. Demir · N. Bolgen Department of Chemical Engineering, Mersin University, 33343 Mersin, Turkey © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_11

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diverse set of morphologies can also be produced by regulating the operating conditions and needle configurations. The additive processing offers a scaffold configuration for specific applications and hence a nexus of the two processes are used in various applications due to their extraordinary physico-chemical features in reduced dimensions.

11.1 Introduction The twenty-first century battlefield is complex, kinetic, asymmetric, and decentralized. To respond and offer counter response requires strategic and multidisciplinary engagement using nexus of advanced technological innovations and platforms. A response requires enhanced situational awareness, tactical gears that include chemical-biological sensors, communication devices, power storage, ammunition storage, interceptor, body armor, and helmet for force protection, including backpack containing many essential items. A typical weight that a soldier carries, ranges from 30 to 50 kg., as a part of a new standard for strength and endurance. In this new era of digitalized warfare which is dominated by cyber, laser-based weapons, and satellite-guided drones piloted from halfway around the world, it is easy to overlook the importance of a soldier’s own muscle power. Despite the relentless march of technology, soldiers are carrying more weight on their backs than ever before. Although encompassing all aspects of protections is beyond the scope of this investigation, we present here how nexus of electrospinning and additive processing can provide protective clothing, patches for chemical-biological protection, tactile sensors which can provide enhanced situational awareness, options for wound dressing, and some additional options such as optical clocking, water filtration membranes and masks that provide protection against volatile organic compounds. Nanofibrous structures fabricated by electrospinning are excellent candidates for the construction of protective textile materials due to their comfort in long-term operations, adsorptive, lightweight, low-cost, and easy functionalization properties. With the recent advances in nanotechnology, new multifunctional materials are produced by combining the nanoparticles with electrospun nanofibers. There are many investigations that show that such nanofibers demonstrate sensitivity to chemical and biological agents. Studies also show that using blended polymeric solutions, the fibers thus produced for textile are not only lightweight but also demonstrate characteristics relevant to certain functionalities specific to professional work environments including battlefields, hospitals, emergency responders such as police, firefighters, and other occupations [1]. Thus, the newly developed composite materials have functional properties, such as flame resistance [2], gas sensing [3], self-detoxifying [4], UV protection [5], self-cleaning [6], and antimicrobial ability [7]. We describe recent developments in the electrospinning technique and how electrospun fibers in conjunction with additive processing is used to enhance defense and security by providing force protection [2], hazardous environment sensing/detection [8], tactile

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interface [9] for improved functionality, comfortable outwear for soldiers and emergency responders, biomedical support in the battlefield, energy harvesting patches and devices with communication capabilities [10].

11.2 Materials and Methods—An Overview of Electrospinning and Additive Processing Electrospinning is a process governed by the electrohydrodynamic phenomena in which the fibers are made from polymer solutions or molten polymers [11]. The typical electrospinning set-up consists of three major components: a polymer solution placed in a reservoir (typically a syringe or a spinneret), a high voltage power supply, and a grounded collector. Figure 11.1 shows a schematic illustration of the conventional electrospinning set-up. In a conventional set-up, fluid for electrospinning is prepared by dissolving the selected polymer in a suitable solvent or melting the polymer. The prepared solution is then introduced into the syringe and fed at a constant rate with the aid of a syringe pump. Meanwhile, the ambient conditions such as humidity and temperature should be maintained constant to ensure a reproducible and well-controlled process. A high voltage is applied to needle through which the polymer solution exits, with respect to grounded collector. The electric field causes polymer to be electrically charged and drawn into fibers with diameters ranging from nanometers to a few micrometers by a mechanism called Taylor’s cone [12], which is generated when a hydraulic effect by the syringe plunger to the polymer solution is modified by the strong electrostatic field., as the solvent evaporates by advancing polymer towards collector.

Fig. 11.1 Generic electrospinning apparatus

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Additive processing or 3D printing is the producing a 3D surface by transferring a three-dimensional object from a CAD model or a digital 3D model. There are several processes by which a material is deposited, conjoined, or solidified using a computer-controlled mechanism. Depending upon the material and complexity, several processes are used, viz. binder jetting, directed energy deposition, materials extrusion, power bed fusion, sheet lamination, vat polymerization, and directed energy deposition arc (DED-arc) [13]. The process can be broadly divided into three types. The first of which is sintering whereby the material is heated without being liquified to create complex high-resolution objects. The second methodology fully melts the materials, this includes direct laser metal sintering which uses a laser to melt layers of metal powder, and electron beam melting, which uses electron beams to melt the powders. The third methodology is stereolithography, which uses photopolymerization, whereby an ultraviolet laser is fired into a vat of photopolymer resin to create torque-resistant ceramic parts able to endure extreme temperatures. A detailed description is beyond the scope here; however, additive processing is used as a tool for rapid prototyping to design various desired patterns in conjunction with special purpose membranes produced by electrospinning.

11.3 Characteristics of Fibers The process of electrospinning, as described above, uses electric field to draw charged threads of polymer solutions or polymer melts. Since the process does not require the use of coagulation chemistry or high temperatures to produce fibers from solution, the process is particularly suitable for large and complex molecules. The characteristics of resulting fibers depend upon the molecular-weight distribution and architecture of the polymer, process parameters, polymer dispensing (co-axial, emulsion, melt, multi-needle) mechanism, and spinneret configurations. The process provides a unique possibility of producing fibers of varying porosity and thus high surface areas, which combined with varying functionality with its biocompatibility and biodegradable nature offer tremendous promise for diverse applications. As our ongoing investigation, we developed nanofibers using blended polymer solution to fabricate fibers. Depending upon the characteristics of polymer solution and loading, electrical optical, mechanical, and physico-chemical properties can be tailored for specific applications. Several polymers, such as Poly (ε-caprolactone) (PCL), Polymethylmethacrylate (PMMA), Polyacrylonitrile (PAN), Polyvinylidene fluoride (PVDF), and PVDFtrifluoro ethylene (PVDF-TrFE) are only few of several polymers that are used to fabricate fibers. The polymer solutions can be blended with several materials, including nanomaterials, to change their characteristics. It is worth noting that Nanoscale materials exhibit unique properties that are attributable to their small size such as surface structure, physical characteristics, and chemical composition. Because nanomaterials have geometrical dimensions comparable to the smallest engineered entity, and the largest molecules of the living systems, and fundamental

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physical quantities, they offer uniqueness due to enhanced surface activity due to their reduced dimensions. Nanomaterials with appropriate functionalization offer affinity towards targeted compounds which enhances their sensing characteristics. Addition to carbon nanotubes (CNTs) enhances mechanical characteristics and in a certain configuration makes highly efficient field emission tips [14]. Hence, nanofibers fabricated using blended polymers demonstrate a combined effect of nanomaterials in reduced dimension coupled with beneficial effects of nanofibers of high-performance polymers. Inclusion of certain oxides, viz. ZnO enhances sensing characteristics of fibers [15]. Inclusion of Bi2 S3 enhances contrast and hence can be used for imaging application [16]. We have incorporated curcuma longa of the ginger family, zingiberaceae, salvia officinalis (sage), and tea-nano particles (TNP) for antimicrobial, antiseptic, and wound dressing applications [17]. We have used electrospun nanofibers prepared from high performance polymer composites embedded with metal oxides, glasses coated with rare earth metals, and carbon nanotubes (CNTs) for various applications. CNTs are normally conducting and have characteristics of electrodes, electrochemiluminescence and can be derivatized allowing immobilization of biomolecules. Due to high surface/volume ratios for adsorption, surface/weight ratio ~300 m2 /g, and mechanical characteristics, polymers, and CNTs blend produce nanofibers with excellent mechanical characteristics. Furthermore, oxidation of CNTs leads to high concentrations of carboxylic, carbonyl, and hydroxyl groups on a surface and removal of the tip to expose the tube interior. Carboxyl groups can readily be derivatized by a variety of reactions allowing linking of biomolecules, viz. proteins, enzymes, DNA, or even metal nanoparticles. The covalent modification of nanotubes facilitates the creation of well-defined probes, which are sensitive to specific intermolecular interactions of many chemical and biological systems. Integration of the transducer and probe enables quick, accurate, and reversible measurement of target analytes without reagents. Table 11.1 lists selected polymers, materials used for blending, and potential applications spectrum.

11.4 Applications Space of Nanofibers in Defense and Security The electrospun nanofibrous structures have been used in for many applications with many potential applications currently being researched. With many industry scale units that are capable of producing electrospun nanofibers, their use for new and innovative applications is expected to grow significantly, as is shown in Fig. 11.2. We describe below several discipline specific examples of nanofibers that have been reported by several researchers and their applicability in support of chemicalbiological sensing, force protection, filtration, energy harvesting, and battlefield tactical gears.

Biomedical

Collagen/Mefoxin Collagen/Mefoxin Turmeric Turmeric/TNP/Sage

Poly(l-lactic) acid, poly(glycolic) acid

Poly(l-lactide/glycolide)

Poly (ε-caprolactone) (PCL)

Poly (L-lactide/co ε-caprolactone) (PLLA/CL)

SiO2 ,Y, Er GeO2 Metamaterials IMP

Polydlphenooxyphosphazene PDPP

Poly (vinyl acetate)/Acetone

Nylon (6,12)1,1,1,3,3,3 Hexafluoro-2-propanol

Optical

Optical

Optical

Optical

Bi2 S3

Mechanical

Poly (L-lactide/co ε-caprolactone)

CNTs

Poly(etheremide)/l,l,2-Tricholoroethane

Electrica 1 Mechanical

CNTs

Nylon (6,12) 1,1,1,3,3,3 Hexafl uoro-2-propanol

Electric

Electric

Lecithin/Dimethyl formamide

MoO3 , ZnO, TiO2 DMF/TiO2

Polyacrylonitrile (PAN)

Electric

CNTs

Polystyrene/Di chloroetha ne

Poly (ethylene oxide)

Dielectric

PolyvinylideneFluoride (PVDF)

Biomedical

Biomedical

Biomedical

Biomedical

Polymethylmethacrylate (PMMA)

Biomedical

Biomedical

Biomedical

Biomedical

PVDF Metal NPs

co-polymers

PVDF

Characteristics Biomedical

Poly (L-lactide/co ε-caprolactone)

co-polymers

Poly (L-lactide/co ε-caprolactone)

Poly (ε-caprolactone) (PCL)

Loading PLLA

Fiber Composition

Table 11.1 Selected polymers used for electrospinning, blending material, applications with TRLs Applications

Optical cloaking

ID Opto-electronics

Glass, Ceramic, Photo

Imaging

Biomembanes

Strength/Elasticity

Flexible substrates

Conducting polymers

Sensor

Field Emission

Piezoelectric

Tissue/Scaffold

Wound dressing

Bone repair/Antibiotics

Bone repair/Antibiotics

Porosity

Targeted drug delivery

Wound dressing

Tissue reinforcements

Scaffolds

Stents/cardiovascular 4

3

4

4

4

6

6–7

5

6

6

5

6–7

4

5

4

4

6

2

6

3

(continued)

TRL (1–9) 5

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Loading MgO, TiO2 TeFE TeFE

Fiber Composition

Polyacrylonitrile (PAN)/Dimethylformamide

PVDF-trifluoro ethylene (PVDF-TrFE)

PVDF-trifluoro ethylene (PVDF-TrFE)

Table 11.1 (continued)

Tactile

Optical

Characteristics

wearable electronics

Pressure sensors

Chem./bio decon

Applications

S

6

4

TRL (1–9)

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Fig. 11.2 Applications spectrum of electrospun nanofibers

11.4.1 Biomedical Application The electrospun nanofibrous structures have been used in biomedical applications including targeted drug delivery, scaffolds for tissue engineering and regeneration, wound dressing, and biomarkers detection. Electrospun nanofibers are excellent candidates for mimicking the extracellular matrix due to their loosely connected 3D network with high porosity and high surface area [18]. Advances in regenerative medicine and tissue engineering help improve the healing process and overcome existing complications. Furthermore, gauze has been used as a passive wound dressing, which focuses on drying the wound area [19]. Despite many advantages of using gauze as a wound dressing, such as being suitable for many kinds of wounds, ability to protect wounds and reduce bacterial invasion [20], there are many disadvantages, including adhesion to the wound bed which triggers pain and mechanical trauma when removed and loses its effectiveness when saturated with exudate [21]. The use of nanofibers as effective wound dressings has been explored since such dressings provide a suitable environment for wound healing by providing oxypermeability, bacterial barrier, absorption of excess exudates, adequate water vapor transmission rate, comfortable contour of the wound area, and non-adherent to wound tissue [22]. Production of biomimetic nanofibrous materials fabricated using a wide

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variety of natural and synthetic polymers with biologically relevant properties such as biocompatibility and biodegradability [23] were made, with highly porosity allowing respiration of cells, permeation of oxygen and water, prevention of wound desiccation and dehydration, enhancing hemostasis of injured tissues and controlling of the suitable moist environment for the wound [21, 24]. To date, numerous electrospun nanofibrous dressings with non-adherent property to the healing tissue and their combination with antimicrobial agents and drugs have been studied for wound care management [25]. In a study, non-adherent wound dressing was produced by direct electrospinning of vancomycin embedded gelatin onto a gauze [22]. They have easily applied the composite dressing to the burn injury sites of piglets which simulate the pathophysiology of burn wounds in humans. As the healing progressed, the mats were removed from the injured area without leaving any stain, and the antibioticloaded dressing accelerated wound healing and reepithelization. It was observed that ~46 days after the injury, the wound bed showed a better cosmetic appearance [22]. These are particularly useful as medical supplies in combat rucksack. Other biomedical applications include materials for dental implant [26], prosthetics [27], and biomarkers sensitive membranes [28].

11.4.2 Sensors—Chem.-Bio, VOCs, Explosives, and Biomarkers Daily self-monitoring of human health is possible by analyzing of exhaled breath containing many volatile organic compounds (VOCs) known as biological markers for various diseases such as diabetes, halitosis, lung cancer, heart disease, and kidney disease [29]. In addition, tumor stages in cancer patients can be revealed by determining tumor-specific volatile organic compounds using ultrasensitive biomarkers [30]. Nanofibers have started to attract attention in the construction of sensing platforms due to their large surface area-to-volume ratio, high porosity, and versatility in structure and composition. Even in recent years, functionalization strategies have been adopted to improve the performance of nanofiber-based sensors, including the incorporation of carbon nanostructures and metal nanoparticles in nanofiber structures and chemical or physical surface modification [31]. For example, tin oxide nanofibrous sensor with graphene as a dopant were fabricated for the detection of VOCs corresponding to different chronic diseases including asthma, chronic obstructive pulmonary disease, cystic fibrosis or diabetes. The functionalized nanofiber platform displayed an excellent multisensory platform for detecting different gases at different temperatures and lower concentrations with portable and low-cost equipment benefits [32]. Development of wearable nanofibrous sensors has also emerged as a promising approach to real-time monitoring of human physiological signals.

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11.4.3 Textile: Force Protection, ICT, Tactile Sensors Electrospun nanofibers have been used as in various configurations for enhancing mechanical strength of the mats and reinforcement in composites. A vast majority of nanofibers for reinforcing purposes are electrospun from thermoplastic polymers, and only few are from thermosetting ones. Nanofibers were also produced by adding CNTs, carbon nanofibers (CNF), tannic acid quoted graphene oxide to high performance polymer solutions, and fibers produced electrospinning. Nanofibers produced resulting from these processes exhibited excellent thermal stability, flame retardancy, and antibacterial and mechanical properties. While braided fibers are used for textile, use of electrospun nanofibers has been used as mechanical reinforcement in resinbased composite laminate materials for impact resistance. This is particularly suitable for uniform of the day (UOD) for soldiers as the outerwear can be made lightweight, breathable, and even flame resistance. For battlefield, the nanofibers-based composite laminate provides ballistic protection. Use of metamaterials provides additional capabilities such as camouflaging, optical cloaking and fluorescent, for identification to prevent friendly fire. Smart textiles or e-textiles are capable of reacting to an external stimulus with an appropriate response and are the subject of much research for diverse set of applications, including and not limited to sports, health, transport, and fashion. PVDF is one of the most used membrane materials and has received a great attention due to its outstanding properties. Properties such as thermal stability, chemical resistance, and processability to form membranes make PVDF an ideal material for biomedical applications and water treatment. Furthermore, low power energy harvesting devices, being considered for convenient technology, would be reliable for future use. Many research groups have developed PVDF-based biopolymer composites for enhancing device performance as well as their reliability toward the next generation devices. These characteristics coupled with conducting nanofibers are considered for system on fiber (SOF) communication. This technology will pave the way for communication, gaming, such as virtual reality and augmented reality, built into the soldier’s uniform, a reality. In 2015, a study [33] utilized deoxyribonucleic acid (DNA) as a nucleating agent for the nucleation of electroactive β-phase and alignment of molecular dipoles in PVDF which resulted in a self-poled PVDF film with increased piezoelectricity. PVDF can be blended with co-polymers to improve its properties without affecting the compatibility. Since PVDF-trifluoro ethylene (PVDF-TrFE) directly crystallizes into the polar ß-phase and shows higher piezoelectricity as compared to PVDF, polymeric blends of PVDF and PVDF-TrFE have been investigated for tactile sensors. In yet another study [34], PVDF-based scaffolds were used for the reinforcement of tissues, cell guidance, vascular grafts, ligament, and artificial cornea. This is a relatively new paradigm to apply physical stimuli to the cells to achieve not only phenotype but also for functionalities. Therefore, such smart polymer materials can be developed to apply mechanical and electrical stimuli to specific cells, which are subjected to electromechanical stimuli during their functioning. These studies are

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very useful to flexible tactile sensors which appear to be the most promising materials for their ultra-sensitivity, high deformability, outstanding chemical resistance, high thermal stability, and low permittivity for dynamic tactile sensing in wearable electronics. Potential applications of PVDF as standalone and in a blended configuration demonstrate a variety of biomimetic and minimal invasive medical diagnostic applications. Other applications include infant cardiorespiratory monitoring, pediatric dynamometer, respiratory rate monitor, prostate gland stiffness monitor, detection of articular cartilage softening, catheter position sensing, disposable pressure monitoring system, and posture monitoring system.

11.5 Rapid Prototyping, Conclusion, and Path Forward We demonstrate above that electrospun nanofibers offer several unique characteristics based on their multifunctional nature and can be used for defense and security applications. Due to their mechanical strength, the fibers either used directly or in conjunction with composite laminates, can be integrated into protective clothing systems for force protection, supplies in backpack, membranes for water filtration, and even as chemical and biological sensor patches, embedded in their uniforms. Use of metamaterials along with blended configurations provide unique advantage for camouflaging. Use of PVDF-based nanofibers provides additional advantage for energy harvesting applications and SOF capabilities, which is likely to produce on-board communication and gaming applications such as virtual reality and augmented reality. Multifunctional electrospun materials open up new opportunities for the development of advanced devices for effective protection against both chem-bio agents, for advanced protective clothing. Combining the antimicrobial, self-cleaning, and self-detoxifying properties of functional electrospun materials with e-textile creates new horizon under the auspices of multidisciplinary research which will bridge the gap between research and industry. Acknowledgement This manuscript is dedicated to the memory of Prof. Volodymyr Ivanov.

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Part V

Simulation and Computer Vision in Military Applications

Chapter 12

Towards Real-Time Drone Detection Using Deep Neural Networks Cristhiam Pulido and Alexander Ceron

Abstract The growing use of drones/unmanned aerial vehicles (UAV’s) has generated in the general public as well as in institutions the awareness of the possible misuse that can be given to these devices. For this reason, the detection of drones has become a necessity that poses in the case of detection using images a great difficulty due to its small size, in addition to the background that can make detection even more difficult. Regarding this work, the aim is not only to detect drones but also to distinguish the type of detected drone. Different networks were trained whereupon an analysis was conducted in which it was found that the YOLOv4tiny network with 416 × 416 input resolution presents the best results considering both the inference performance and the processing speed.

12.1 Introduction With the technological development that have been made in the field of unmanned aerial vehicles (UAV’s), also known as drones, not only have improved their performance when flying, recording videos, or taking pictures, but they have also attracted the attention of the general public by being affordable and easy to use devices thanks to their friendly user interface. Drones have generated great advantages in different fields. For example, the use of drones has made it possible to perform many tasks that, in the past, required exposing a person to dangerous situations [1] or even that were not possible. Another area that has benefited greatly is the supervision of, for example, construction projects as well as agricultural projects [2, 3]. This wide range of possibilities that the development of drones has opened up also includes actions that in some way may become hidden dangers. Flying, for C. Pulido · A. Ceron (B) Multimedia Engineering Program, Universidad Militar Nueva Granada, Bogota, D.C, Colombia e-mail: [email protected] C. Pulido e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_12

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example, over sensitive areas such as airports or prisons could affect the safety of the population. Since most current drones have cameras, even high-resolution ones, some people’s privacy could be violated by the nearby flight of a drone [4]. In recent years and thanks to the increasing computer capacity, many advances have been made in the branch of machine learning, mainly in the field of deep learning. Deep learning is a subarea of machine learning, in which, based on artificial neural networks with representation learning, a classification task is achieved. One of the algorithms that should be mentioned is YOLO (acronym for “You Only Look Once”). YOLO turns the detection process into a simple regression problem, in which using a single convolutional neural network (CNN), the object of interest is detected, providing both the location and its respective probability [5]. Other approaches to the detection problem such as fast R-CNN [6] and faster R-CNN [7] divide the detection process into two phases, the first phase being the generation of several region proposals, while the second classifies these proposals according to a feature extraction performed by a CNN backbone that makes the process slow and difficult to optimize. As well as YOLO, there are other detection methods that use the end-to-end approach, such as single shot multibox detector SSD [8] or the one presented in [9], which embeds the RFB receptive field block module into SSD. Another relevant one-stage detector is EfficientDet [10], which introduces a weighted bi-directional feature pyramid network (BiFPN), which allows easy and fast multiscale feature fusion. The purpose of this project is to deliver a reliable system that can perform the task of detecting different types of drones flying over areas of interest. To improve robustness, the airplane and bird classes will also be detected, with the aim of generating alerts only when a drone overflies the area.

12.2 Methodology 12.2.1 Dataset To get the best results from an object detection system, it is necessary to have a sufficiently large database. The more the training images, the better the performance when detecting. This is one of the most significant difficulties when working with deep learning, which is having a large enough dataset; after which, the respective annotations must be made. As recommended in [5], at least a dataset of 1000 images of each class that will be detected later is required. In addition, it is clarified that each object to be detected must be similar to the images in the training dataset, i.e., with a similar angle, lighting, size and shape. Initially, the drone dataset used in this project was collected from two sources. The first is [11] and the second is [12]. It should be clarified that not only the drone dataset but also the plane and bird datasets come from public sources on the Internet.

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The annotation process is undoubtedly the most tedious and time-consuming stage when implementing an object detector. To have a sufficiently large dataset with all types of illumination, angle and size for each of the objects to be detected without the need to make thousands of manual annotations, it was decided to carry out an active learning process [13]. Relying on the pre-detection system, that is, the system trained with a relatively small dataset, the detection process was performed with several videos taken from YouTube, where images of drones flying were presented. From this point on, each of the drones began to be distinguished in the different classes that were established to be detected. The classes that the system was trained with are airplane, birds, Tricopter, Quadcopter, Hexacopter, Octocopter, dji Mavic and dji Phantom. At first, it was thought that the number of rotors could be an interesting and sufficient feature to discriminate between the different types of drones. In addition, a world-renowned company and their more commercial drone models were considered. Some examples of each one of the classes are shown in the Fig. 12.1. The images there exposed are in a square format, which is the same format that the system receives as input. To make the dataset as balanced as possible, it was tried to have a similar number of images per class, in this case each class has between 1500 and 2000 images approximately. In addition, some images were added that do not contain any object of interest, but only background. Table 12.1 provides the actual number of images per class. Research has shown that including and enhancing negative samples in the training dataset can improve the performance of an object detection system [14]. Since the objective of this work is to develop a detector of different types of drones flying in the region of interest, and after some initial experiments, it was found that the background of the image. In this case, the sky is the most possible source of false

(a) Airplane samples

(b) Bird samples

(c) Tricopter samples (d) Quadcopter samples

(e) Hexacopter samples (f) Octocopter samples (g) dji Mavic samples (h) dji Phantom samples Fig. 12.1 Examples of the dataset

152 Table 12.1 Number of images per class

C. Pulido and A. Ceron Data set images Airplane

2000

Bird

1452

Trirotor

1693

Cuadrotor

1909

Hexarotor

2000

Octarotor

1667

DJI Mavic

1772

DJI Phantom

2000

Background

604

Total amount of images 15,097

positives, additional negative samples were included, that is, images of the sky in different weather conditions, as well as different lighting.

12.2.2 Training The architectures used in this project are YOLOv4, YOLOv4-tiny [15] and Efficientdet [10]. YOLOv4 and YOLOv4-tiny are implemented in Darknet. Darknet is an open-source neural network framework written in C and CUDA [16]. Efficientdet is implemented in TensorFlow [17], which is a widely used machine learning framework. In order to obtain a good result from the detector without the need to collect too many images, it was decided to carry out a transfer learning process. Basically, the transfer learning process aims to take and apply the knowledge acquired in a source domain to a target domain. The implementation of this process not only speeds up the training task but also allows a detection system to be customized with a relatively small amount of data [18]. The pre-trained weights for both YOLOv4 and Efficientdet were trained for the MS COCO dataset [19]. The training and all pre-tests were conducted in Google Colaboratory, better known as Colab. Taking advantage of the possibility of connecting Google Colaboratory with Google Drive, the problem of restarting the virtual machine (VM) occasionally becomes practically irrelevant since in the case of training, which is the most timeconsuming process, the dataset with all the images could be stored in a folder on Google Drive. This connection also allows us to save both backups and the files we want directly on Google Drive, ensuring that none of the information or data is lost. To implement a system to detect relatively small objects such as UAVs, the YOLOv4, YOLOv4-tiny and Efficientdet networks were trained with the same

12 Towards Real-Time Drone Detection Using Deep Neural Networks Table 12.2 Trained networks and corresponding input resolutions

Architecture

Input Resolution

Efficient det

512

YOLOv4

512

YOLOv4-tiny

416

153

832 512 832

dataset. Both YOLOv4 and YOLOv4-tiny were trained with various input resolutions (Table 12.2).

12.2.3 Validation So as to determine whether a detection is considered as a true positive or false positive, the intersection over union (IOU) measurement is used, which represents the area that shares the ground truth GT with the detected box DB divided by the sum of the two areas [20], that is: IOU =

area(GT ∩ Db) area(GT ∪ Db)

(12.1)

If the IOU value reaches a given threshold t, IOU ≥ t then the detection is considered correct, i.e., as true positive, otherwise, if IOU < t the detection is considered as false positive. To have a more comprehensive analysis of the detection system, precision and recall measurements are employed. Precision is the ability of a model to detect only relevant objects, and it is defined as follows: Precision =

TP TP + FP

(12.2)

where TP FP

is the amount of true positive detections. is the amount of false positive detections.

Recall is the ability of a model to detect all the relevant objects, and it is calculated as follows: Recall =

TP TP + FN

(12.3)

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where TP FN

is the amount of true positive detections. is the amount of false negative detections.

Based on the recall and precision values, it is possible to plot a curve in which by varying the confidence value of the bounding boxes generated by the detector, a trade-off between precision and recall is found. Furthermore, with this graph, it is possible to find another metric that helps us to evaluate the detection system, which is the average precision AP, calculated as the area under the accuracy-recall curve. This value reflects the precision of the detection system with respect to one of the classes in the dataset, and based on this metric for each class, it is possible to calculate the mean average precision mAP which is simply the average over all the classes, that is: maP =

N 1  APi N i=1

(12.4)

where N APi

is the number of classes. is the average precision in the ith class.

12.3 Hypothesis As a hypothesis, it was established that the larger architecture (YOLOv4) would deliver better results in terms of inference, while both YOLOv4tiny and Efficientdet could have a lower performance, but reaching higher speeds due to their reduced architectures. In addition, by varying the input resolution, it is expected that some variations in the result delivered by YOLO networks will be observed.

12.4 Results For every network, a similar process was conducted, in which after the training, the weights with the best results were chosen for the final tests. The following is a detailed process for the YOLOv4 network with 832 as input resolution. The suggested number of iterations for the training is 2000 for each class in the dataset. After completing the training, i.e., after 16,000 iterations, a performance analysis based on the mAP was conducted. As can be seen in the Table 12.3, after 8000 iterations, an mAP value is obtained which indicates the best performance, since afterward the map value oscillates, indicating a possible overfitting [21].

12 Towards Real-Time Drone Detection Using Deep Neural Networks Table 12.3 mAP of YOLOv4 832 × 832 after different number of iterations

# Iterations

Map (%)

6000

89.70

7000

92.00

8000

93.50

9000

92.60

10,000

92.60

11,000

90.00

12,000

89.50

13,000

93.60

14,000

92.20

15,000

95.70

16,000

96.20

155

Table 12.4 presents the AP values corresponding to each of the classes for all trained networks. From the data provided by 4, it is evident that the chosen networks perform well in this application. Exceptionally, the Efficientdet network works badly with the bird class, and together with the Quadrotor class, they are particularly difficult for the detection systems. The most relevant specifications of the virtual machine offered by Google Colaboratory, in which the tests were carried out, are the following: • • • •

CPU: 2X Intel(R) Xeon(R) CPU @ 2.20 GHz RAM: 13 G Disk space: 69 G GPU: Tesla K80, Tesla T4 or Tesla T100

With these characteristics, at the time of performing an inference process on a video, the processing speed of each network is shown in the Table 12.5 Based on the information in both Table 12.4 and Table 12.5, it is noticeable that the performance of both YOLOv4 networks with different input resolutions, as well as YOLOv4-tiny networks varying in resolution, is very similar. However, the speed of each one of them does show a significant difference, so the YOLOv4-tiny network with input resolution of 416 pixels is chosen as the best option to be implemented, with the objective of obtaining a system that operates in real time. Fig. 12.2 presents the confusion matrix of the chosen detection system. In the confusion matrix, it is shown that about 10% of the birds, quadrotor and dji phantom are not detected, so they appear in the final column as background detections. Also, in the bottom row, where false detections of each class appear, particularly the bird class is problematic, i.e., most false positives are associated with this class. Therefore, it is assumed that either the database or the duration of training was not sufficient for the system to present good results with these three classes.

98.99

98.61

97.03

96.94

86.78

95.06

YOLOv4 512

YOLOv4 832

YOLOv4-tiny 416

YOLOv4-tiny 512

YOLOv4-tiny 832

Efficientdet 512

Airplane

16.04

86.09

91.48

88.25

86.61

93.99

Bird

94.8

97.56

98.81

98.73

99.39

99.3

Trirotor

75.29

61.53

78.97

87.69

85.83

85.59

Quadrotor

92.36

93.01

95.84

96.3

93.35

95.17

Hexarotor

Table 12.4 Average precision comparison of the different trained networks for each class

98.06

97.88

99.23

98.3

99.3

98.45

Octorotor

97.08

85.93

98.19

97.08

97.66

97.65

DJI_mavic

86.26

82.18

86.81

89.79

88.25

85.04

DJI_phantom

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12 Towards Real-Time Drone Detection Using Deep Neural Networks Table 12.5 Inference speed of the different networks

Network

157 FPS

YOLOv4 512

37.04

YOLOv4 832

13.16

YOLOv4-tiny 416

185.19

YOLOv4-tiny 512

165.25

YOLOv4-tiny 832

62.5

Efficientdet 512

43.1

Fig. 12.2 Confusion matrix of YOLOv4-tiny 416 × 416. (Values are given in percentage)

As can be seen in the Fig. 12.2, the system is able not only to detect almost all the objects of interest, but also to distinguish very well between each of the classes that were established at the beginning (Fig. 12.3).

(a) Airplane

(e) Hexacopter

(b) Bird

(c) Tricopter

(d) Quadcopter

(f) Octocopter

(g) dji Mavic

(h) dji Phantom

Fig. 12.3 yolov4-tiny 416 × 416 detections over sample images

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12.5 Conclusions A database of various types of drones was compiled from different public sources available on the Internet, with which it is possible to train a drone detection system that can also distinguish between different types of drones. The implementations of the YOLOv4 networks, including the tiny version, presented better results than the Efficiendet network. Especially the YOLOv4-tiny network trained with 416 × 416 input resolution exhibited not only good performance in inference but also very good processing speed (over 150 FPS), which makes it possible for the system to work in real-time. Google Colaboratory is a good environment for neural network training as well as testing which allows to obtain impressive results. The main limitation of this work is the computational capacity required to accomplish the detection process in real-time. The incorporation of a pan/tilt camera system using servo visual control and a tracking system into the detection system is part of the next stage of this work. Acknowledgements The authors would like to thank to Universidad Militar Nueva Granada for the financing of the project INV_ING_3189.

References 1. Aquilina, J.P., Farrugia. R.N., Sant, T.: On the energy requirements of UAVs used for blade inspection in offshore wind farms. In: 2019 Offshore Energy and Storage Summit (OSES), 1–7. IEEE (2019) 2. Guo, K., et al.: The benefit analysis of soil and water conservation measures through UAV methodology. In: 2019 12th International Congress on Image and Signal Processing, BioMedical Engineering and Informatics (CISP-BMEI), pp. 1–6. IEEE (2019) 3. Huang, Y. et al.: System design of environmental supervision of highway construction. In: 2011 International Conference on Consumer Electronics, Communications and Networks (CECNet), pp. 1754–1757. IEEE (2011) 4. Sabra, M.N.A., et al.: Description of Security Impact of Drones (2018) 5. Redmon, J., et al.: You only look once: Unified, real-time object detection. In: Proceedings of the IEEE Conference on Computer Vision and Pattern Recognition, pp. 779–788 (2016) 6. Girshick, R.: Fast R-CNN. In: 2015 IEEE International Conference on Computer Vision (ICCV). IEEE (2015). https://doi.org/10.1109/iccv.2015.169 7. Ren, S., et al.: Faster R-CNN: towards real-time object detection with region proposal networks. IEEE Trans. Pattern Anal. Mach. Intell. 39(6), 1137–1149 (2017). https://doi.org/10.1109/ tpami.2016.2577031 8. Liu, W., et al.: SSD: single shot multibox detector. In: Computer Vision—ECCV 2016, pp. 21– 37. Springer International Publishing (2016). https://doi.org/10.1007/978-3-319-46448-0_2 9. Zhao, Y., et al.: Robust real-time object detection based on deep learning for very high resolution remote sensing images. In: IGARSS 2019–2019 IEEE International Geoscience and Remote Sensing Symposium. IEEE (2019). https://doi.org/10.1109/igarss.2019.8897976 10. Tan, M., Pang, R., Le. Q.V.: EfficientDet: scalable and efficient object detection. In: Proceedings of the IEEE Conference on Computer Vision and Pattern Recognition (2020) (2019). arXiv: 1911.09070v7 [cs.CV]

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11. Mehmet, C.: agrı Aksoy.˘ Drone Dataset: Amateur Unmanned Air Vehicle Detection (2019). https://doi.org/10.17632/ZCSJ2G2M4C.4 12. Mehdi, O.: Drone Dataset (UAV) Unmanned Aerial Vehicle. Version 4 (2019). https://www. kaggle.com/dasmehdixtr/dronedataset-uav 13. Haussmann, E., et al.: Scalable Active Learning for Object Detection. In: arXiv preprint arXiv: 2004.04699 (2020) 14. Wang, X., et al.: Improving object detection with consistent negative sample mining. In: Neural Information Processing, pp. 237–247. Springer International Publishing (2019). https://doi.org/ 10.1007/978-3-030-36711-4_21 15. Bochkovskiy, A., Wang, C.-Y., Liao, H.-Y.M.: YOLOv4: Optimal Speed and Accuracy of Object Detection. In: arXiv preprint arXiv:2004.10934 (2020) 16. Redmon. J.: Darknet: Open Source Neural Networks in C. http://pjreddie.com/darknet/ (2013– 2016) 17. Abadi, M. et al.: TensorFlow: A System For Large-Scale Machine Learning. In: arXiv: 1605.08695v2 [cs.DC] (2016) 18. Liang, H., Fu, W., Yi, F.: A survey of recent advances in transfer learning. In: 2019 IEEE 19th International Conference on Communication Technology (ICCT). IEEE (2019). https://doi. org/10.1109/icct46805.2019.8947072 19. Lin, T.-Y., et al.: Microsoft COCO: Common Objects in Context. arXiv: 1405.0312v3 [cs.CV] (2014) 20. Padilla, R.: Rafaelpadilla/Object-Detection-Metrics: Object Detection Metrics Release v0.2 (2019). https://doi.org/10.5281/ZENODO.2554189 21. Bilbao, I., Bilbao, J.: Overfitting problem and the overtraining in the era of data: particularly for Artificial Neural Networks. In: 2017 Eighth International Conference on Intelligent Computing and Information Systems (ICICIS). IEEE (2017). https://doi.org/10.1109/intelcis. 2017.8260032

Chapter 13

Detection of Opencast Mining Sites from Multispectral Satellite Images Jorge Mario Londoño-Peláez

Abstract In this work, we consider the problem of detecting unauthorized opencast mining activities from satellite imagery, which is important for the adverse effect they cause in the environment and the regions where they occur. Detection by traditional methods is cumbersome and costly. For this reason, we propose a solution leveraging machine learning techniques using multispectral satellite imagery. We implemented these techniques and evaluated their performance using real-world examples and considering various important performance metrics. The results show that these techniques provide an accurate detection system and do not require costly computational resources.

13.1 Introduction Controlling the proper usage of land and natural resources is one of the fundamental responsibilities of any government. Improper usage can lead to deforestation, contamination and adverse effects on nearby population, the fauna and the flora of a particular region. However, controlling vast areas in a country is not easy. In many cases, these activities occur in remote regions, where there is not easy access, or the local authorities are insufficient to handle large territories. The problem of detecting areas of opencast mining activities is of special interest because there are significant problems associated with unauthorized mining operations, such as deforestation and contamination of water resources with toxic elements, e.g., mercury. For this case, satellite images provide an invaluable resource, as they make it possible to periodically cover large areas without the necessity of sending personal to remote of difficult to access places. The paper is organized as follows: Sect. 13.1.1 describes related works and establishes the bases we built upon. Section 13.2.1 describes the contributions of this work. Section 13.2 describes the methodology used for the development of the two proposed J. M. Londoño-Peláez (B) Universidad Pontificia Bolivariana, 050031 Medellín, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_13

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solutions and provides details of the work done at the various stages. Section 13.3 gives an evaluation of the system using real-life imagery and comparing performance metrics for the two implemented solutions.

13.1.1 Related Works Our techniques for detection of opencast mining sites treat the problem as an image segmentation problem, which in general has been well studied. However, most of these techniques are not well-suited to the conditions of our problem. In the work by Chen et al. [1], they present a fast segmentation technique whose goal is to segment high-resolution satellite images into regions of similar characteristics using the watershed transform plus some additional improvements they developed. This technique is not appropriate for our problem for two reasons: It tends to over-segment regions, as it detects gradients in the image, it is not designed to assign labels to the detected segments. Various works [2, 3] explore the segmentation of water bodies from satellite images. In [2], the authors implemented a convolutional neural network for segmentation of water bodies. Their technique is based in a transfer knowledge model extending from the U-Net [4] neural network, as U-Net was originally designed for segmentation of biomedical images. The knowledge transfer process allows the application of an existing neural network in a different context by doing additional training with a limited set of examples. A drawback of this network is its computational cost as it is a deep network with 23 convolutional layers. When considering our problem, the segmentation of water bodies is quite different to the detection of opencast mining sites, as water bodies are relatively uniform regions, with minor variations in color and gradients within the regions. In [5], the authors presented a fully convolutional network (FCN) for semantic segmentation of images. This approach produces a pixel-wise segmentation of the input image. The FCN is a standard convolutional network that operates on inputs of any size and produces a coarse output (subsampling) that can be interpreted as a heatmap of the input image. This coarse output is then feed into an interpolation layer inspired in OverFeat [6] that gives an upsampled output of the same size as the input image with the semantic tags of each pixel. In their implementation, the upsampling layer is treated as another layer of the network and learned during the training phase. In contrast, we present an FCN that does away with the subsampling/upsampling processes and the high number of layers, thus giving us a much smaller and computationally efficient model. One of the drawbacks of neural networks in general is the need for large, labelled datasets for training. Baghbaderani and Qi [7] present a spectral unmixing technique, which, when used for feature extraction as a preprocessing step, makes it easier for the neural network to generalize for mixtures of known constituent components, and thus, reduce the need for large training datasets. After this step, it uses a U-Net neural network with its corresponding downsampling/upsampling stages for pixel

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segmentation. In our case, we used the pixel-wise loss as a workaround the problem of requiring a large dataset. As a result, we obtain a large-enough number of samples from a small set of images and maintain a simple and more computationally efficient network topology. With regard to the problem of the complexity of the neural networks, Bahl et al. [8] proposed improved network topologies for U-Net and FCN, namely C-UNet and C-FCN with 51 113 and 1 438 parameters, respectively, a reduction by factors of 500 and 40 000, respectively. Their results show a small reduction on the various performance metrics evaluated, but the large reduction in size makes it possible to implement their networks in embedded devices and FPGAs.

13.1.2 Contribution In this work, we posed the problem of detecting opencast mining sites as an image segmentation problem. For its solution, we explored two alternatives: The first one is based on support vector machines (SMV), and the second one is based on fully convolutional neural networks (FCN). Our FCN improves on previously published work by simplifying the topology of the network, thus reducing the number of parameters, and improving its performance for both training and prediction. This is particularly important in the case of satellite multispectral images (MSI), given their size and high number of bands. The evaluation of our two techniques show that they achieve high accuracy and do not require large computational resources. In fact, all our experiments were conducted in modern desktop computers. The implementations we are presenting demonstrate high accuracy and efficiency in detecting opencast mining operations, making it possible to routinely monitor large territories at a very low cost.

13.2 Methodology Multispectral images (MSI) are rich in features, as besides the conventional visible bands (red, green, blue), it is common to have additional bands outside the visible spectrum, for example, infrared bands (NIR, MIR, FIR, thermal IR), and shortwave bands (broadly 1-2 µm wavelength), etc. For this work, we used images from the ESA Sentinel 2 satellites, whose sensors capture 13 bands, including visible, infrared and shortwave. In Sect. 13.2.1 we describe the data-preparation steps needed to use MSI as inputs to the various machine learning algorithms we implemented. Given the feature-rich characteristic of multispectral images, a first question we want to address is how effective simple linear classifiers are, used on a pixel-by-pixel basis, for segmentation of opencast mining sites on satellite images. This should give us a baseline model for comparison, and for this purpose implemented a standard support vector machine (SVM) classifier. A limitation of this approach is that it relies

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solely in the per-pixel spectral information for making decisions. Section 13.2.2 describes de implementation of the SVM classifier. Considering regions of adjacent pixels could provide additional information to help classify the corresponding image pixels. To test this hypothesis, we implemented a fully convolutional neural network (FCN). The convolution operation in neural networks is quite good for extracting features of regions around a central point, which has proven to be a key component for state-of-the-art classification and object detection systems. In addition to this, the convolutional model significantly reduces the number of parameters of the network and its computational complexity. A standard convolutional neural network (CNN) uses a fully connected layer at the outputs. These outputs typically indicate the result of a classification task. The FCN on the other hand, only has convolutional layers and can produce outputs of the same size as the inputs. In opposition to the approach used in [5], we did not use downsampling/upsampling layers. The downsampling process has the effect of summarizing information about large areas of the input image but makes it difficult to recover information about small features at the outputs. For this reason, we implemented an FCN that does away with downsampling/upsampling stages, and instead, used the size of the convolutional kernel as the means to exploit information of adjacent regions of the image. We describe the details of our FCN in Sect. 13.2.3.

13.2.1 Data Preparation For the evaluation of the different methods, we used freely available satellite imagery from the ESA Sentinel 2 satellites. A tile in the imagery consist of a square of roughly 100 × 100 km, and 13 spectral bands, distributed as independent grayscale images. We need to perform the data preparation process described in Fig. 13.1 to use these images in later stages. The main difficulty we address is that the different bands do not have the same resolution, due to the characteristics of the satellite’s sensor. So, the first step is to standardize the band images to the maximum resolution available (10980 × 10980), which is done using bicubic interpolation in the lower-resolution bands. The second stage is the band normalization as data ranges for each band vary widely. Band normalization is achieved by subtracting the mean and dividing by the standard deviation of each band.

Fig. 13.1 Data preparation of satellite images for use in ML

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The third stage combines the 13 bands in a single 13 × 10980 × 10980 tensor representing the entire normalized tile data. For the labels, we prepared a single band 10980 × 10980 image mask whose pixels correspond to the label assigned to each point. The labels were created on QGIS, which allows to visualize the satellite image (true color in this case) and manually construct a polygon around each of the regions of interest.

13.2.2 Support Vector Machine (SVM) for Image Segmentation The key idea behind an SVM is to find a hyperplane that maximizes the margin between samples of the different classes. As in most practical cases, a hyperplane may not fully separate instances of every class. Further refinements of SVMs include non-linear kernels such as radial basis functions (RBF) or the polynomial kernel. For our semantic segmentation system, we used the SVM from the scikit-learn library with an RBF kernel. The input image is converted into an array of 13dimensional vectors and the labels into a 1-dimensional array of the same size. The outputs or the SVM are an array of 0.1 s which can be remapped to the shape of the original image to reconstruct the segmentation mask. Figure 13.2 illustrates the implementation of the semantic segmentation system with an SVM.

Fig. 13.2 Support vector machine for pixel classification

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13.2.3 Fully Convolutional Neural Network (FCN) for Semantic Segmentation The FCN we developed for the semantic segmentation of multispectral images is shown in Fig. 13.3. It is composed of four convolutional layers, where the first three layers use rectified linear units as activation functions, and the last layer uses a sigmoid activation function. The kernels in the four layers are 3 × 3 × dl-1 , where dl-1 is the depth of the previous layer. The output of the last layer is computed for every pixel in the image; thus the output tensor is h × w × 1, where h is the height and w is the width of the input image. For training the FCN, we use the mean squared error (MSE) as the lost function. The MSE gives as a measure of the difference between the estimated output and the actual label assigned to the pixels of the training images. Because networks in FCN configuration can operate with inputs of any size, we can train the network with arbitrarily sized images. This is quite convenient as we only had available a small number of labelled images for opencast mining operations. Also, the traditional difficulty of requiring a large, labelled dataset was not in issue in this case because by taking the squared error between individual pixels of the output and the label image, we indeed have a large number of error samples, as opposed to more traditional neural network use cases where the network has a single or just a few outputs. We implemented the FCN using PyTorch, which is a widely known Python library for implementing deep neural networks. An added feature of PyTorch is the ability to use a GPU for accelerating the training process. For the training process, we implemented 50 epochs, where the batch of an epoch is one of the training examples. The examples where randomized between epochs and a standard Adam optimizer was used to update the weights of the network.

Fig. 13.3 FCN for semantic segmentation

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13.3 Evaluation of Image Segmentation Techniques 13.3.1 Image Preprocessing In Fig. 13.4, we show the result of the normalization of one of the training images. The last image is the true-color composition (using the red, green and blue channels). The training set consisted of four regions known to have opencast mining operations, as shown in Fig. 13.5. The bottom row shows the labels assigned to the mining areas. Observe that the labels are not as detailed as the actual images; this is a source of error to take into consideration during the evaluation.

Fig. 13.4 Sample multispectral image normalized. The titles are the names of the bands, except last one, which is a true color image (TCI)

Fig. 13.5 Areas of opencast mining operations (top row) and the corresponding labels for the training process (bottom row)

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Table 13.1 Performance metrics for the test images Img#

Accuracy

Precision

Recall

F1

Jaccard

0

Time 6.46

0.912

0.983

0.265

0.418

0.264

1

6.37

0.927

0.985

0.273

0.428

0.272

2

7.55

0.943

0.844

0.603

0.704

0.543

3

26.3

0.947

0.893

0.850

0.871

0.771

4

21.4

0.934

0.829

0.901

0.864

0.760

5

10.3

0.973

0.978

0.695

0.813

0.685

6

13.5

0.957

0.990

0.710

0.827

0.705

13.3.2 Results of the Segmentation Process Using the SVM The training process used the four areas shown in Fig. 13.5. The training set consisted of a total of 281 508 pixels and took 256 s to train in our system.1 This implementation does not use the GPU. For the evaluation of the segmentation algorithm, we used a test dataset composed of a different set of images with their corresponding labels. Using the labels and the outputs of the SVM classifier, we computed the different quality metrics shown in Table 13.1. The column time indicates the time taken by the classifier to process the image, which varies due to the size of the test images. The accuracy is the fraction of pixels correctly labelled, which for all test cases was above 91%. The precision is the ratio TP/(TP + FP) (TP: True positives, FP: False positives, FN: False negatives), and becomes lower than 1 when the algorithm misclassifies positive samples (mining areas). In most cases was also quite good, with the worst case being 0.829. The recall is the ratio TP/(TP + FN), and it becomes lower than one when the algorithm misclassifies negatives samples (non-mining areas). In several test cases, the recall was very low, indicating that the algorithm fails often for negative areas (non-mining). The F1 score is understood as a weighted average of the precision and the recall. Ideally, the F1 score should be 1 and goes toward 0 as the quality decreases. The results show that the samples with low recall have a correspondingly low F1 score, but images 3–6 had very good F1 scores above 0.8. The last column is the Jaccard score, also known as the IOU (size of intersection over size of the union). A Jaccard score of 1 corresponds to a perfect match of the labels, and it decreases as a function of the number of mislabeled pixels. Observe there is a clear correlation of between the good and bad cases of F1 and Jaccard scores. In Fig. 13.6, we can observe the test images, the ground truth labels, and the segmentation obtained by the algorithm. In general, there is a good correspondence between the assigned and the inferred labels. We observe as well that images that had low scores (0, 1, 2) correspond to cases where the labelled areas were too broad, and the algorithm identified very narrow areas of opencast mining. This is a consequence 1

Desktop system with a Ryzen 3600 CPU running at 4.2Ghz.

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Fig. 13.6 Top row, TCI for the test cases; middle row, ground truth; bottom row, inferred labels

Table 13.2 Quality indices for semantic segmentation using the FCN Img#

Time

Accuracy

Precision

Recall

F1

Jaccard

0

0.00119

0.954

0.921

0.671

0.777

0.635

1

0.00140

0.956

0.878

0.650

0.747

0.596

2

0.00161

0.905

0.554

0.833

0.666

0.499

3

0.00141

0.930

0.760

0.975

0.854

0.746

4

0.00144

0.896

0.700

0.966

0.812

0.683

5

0.00142

0.950

0.639

0.937

0.760

0.613

6

0.00140

0.967

0.873

0.906

0.889

0.800

of this algorithm only considering per-pixel information to obtain the classification labels.

13.3.3 Semantic Segmentation Using the FCN In this case, we used the same sets of training and test images. The training process took 85 s in the same system, but also using a GPU.2 Table 13.2 summarizes the results of this algorithm. A first observation is the significant improvement in both training and classification times using the GPU, but particularly, the classification times reduced to the order of 1 ms, that is about 4 orders of magnitude with respect to the CPU-based SVM. 2

The GPU was an NVIDIA 1080.

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Fig. 13.7 Semantic segmentation using FCN. Top row, TCI; middle row, expected labels; bottom row, inferred labels

Comparing overall scores with respect to the SVM classifier, the FCN did a much better job for most of the cases. Images 0, 1 and 2, which had poor recall, F1 and Jaccard scores, improved significantly. Our interpretation of these results is that neural network having the ability to consider neighboring regions of pixels, did a better job learning to identify the characteristics of surrounding areas of interest. Also, a plus of the FCN is that having a sigmoid activation function at the outputs, gives a semantic segmentation that can be interpreted as probabilities; hence, the output image is a grayscale representation of the areas of interest, where darker values represent a higher probability of corresponding to an opencast mining area. Figure 13.7 shows the TCI versions of the test areas, the ground truth labels and the grayscale classification produced by the FCN.

13.4 Conclusions The results obtained by our segmentation algorithms show that it is possible to identify opencast mining sites from multispectral satellite images with high accuracy. Per-pixel spectral information is good enough to obtain good classification metrics using a simple SVM classifier. However, this classifier is very sensitive to the quality of the labels in the training data and tends to produce a high granularity segmentation due to the pixel-by-pixel processing manner. Semantic segmentation of opencast mining sites using an FCN, produced overall higher performance scores and less granular segments thanks to the ability of the FCN of making its classification based on regions of neighboring pixels. This also makes this technique less sensitive to the poor quality of the training data, which

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does not capture all the little details and intricacies of shapes of mining areas in the images. Regarding performance, both implementations provide low training and prediction times, but the FCN, with the help of a GPU, provides detection times in the order of milliseconds, which makes this technique viable for real-time applications and video processing, both extensions to be considered in the future.

References 1. Chen, Q., Zhou, C., Luo, J., Ming, D.: Fast segmentation of high-resolution satellite images using watershed transform combined with an efficient region merging approach. Lect. Notes Comput. Sci. 3322, 621–630 (2004). https://doi.org/10.1007/978-3-540-30503-3_46 2. Gonzalez, J., Sankaran, K., Ayma, V., Beltran, C.: Application of semantic segmentation with few labels in the detection of water bodies from perusat-1 satellite’s images. In: 2020 IEEE Latin American GRSS & ISPRS Remote Sensing Conference (LAGIRS). pp. 483–487. IEEE (2020). https://doi.org/10.1109/LAGIRS48042.2020.9165643 3. Talal, M., Panthakkan, A., Mukhtar, H., Mansoor, W., Almansoori, S., Ahmad, H.A.: Detection of water-bodies using semantic segmentation. In: 2018 International Conference on Signal Processing and Information Security (ICSPIS). pp. 1–4. IEEE (2018). https://doi.org/10.1109/ CSPIS.2018.8642743 4. Ronneberger, O., Fischer, P., Brox, T.: U-net: Convolutional networks for biomedical image segmentation. In: Lecture Notes in Computer Science, pp. 234–241. Springer Verlag (2015). https://doi.org/10.1007/978-3-319-24574-4_28 5. Shelhamer, E., Long, J., Darrell, T.: Fully convolutional networks for semantic segmentation. IEEE Trans. Pattern Anal. Mach. Intell. 39, 640–651 (2017). https://doi.org/10.1109/TPAMI. 2016.2572683 6. Sermanet, P.: OverFeat: Integrated Recognition, Localization and Detection using Convolutional Networks (2014). 7. Baghbaderani, R.K., Qi, H.: Incorporating Spectral Unmixing in Satellite Imagery Semantic Segmentation. In: Proceedings—International Conference on Image Processing, ICIP, pp. 2449– 2453. IEEE Computer Society (2019). https://doi.org/10.1109/ICIP.2019.8803372 8. Bahl, G., Daniel, L., Moretti, M., Lafarge, F.: Low-power neural networks for semantic segmentation of satellite images. In: Proceedings—2019 International Conference on Computer Vision Workshop, ICCVW 2019. pp. 2469–2476. Institute of Electrical and Electronics Engineers Inc (2019). https://doi.org/10.1109/ICCVW.2019.00302

Chapter 14

Impact of the Use of Simulators on Training and Specialization in the Navy Oscar Barrionuevo , Teresa Guarda , and José Avelino Victor

Abstract This research aimed to evaluate the impact of the use of maritime simulators on the learning outcomes for Ecuadorian Navy officers in the Naval Academy and specializations courses (Surface, submarines, coast guards); the research focused on the use of a full mission simulator of the bridge, meeting the need to achieve competencies related to those officers who must perform duties like watch officer in the bridge of navy ships in the future. An exploratory, qualitative research was carried out, carrying out observation and data collection around a practical exercise, for which the Kolb cycle and problem-based learning were used. The results allowed us to establish the cognitive, affective and psychomotor domains that developed in this type of activities where an advanced simulation environment is used as an educational technology.

14.1 Introduction This research work was developed in the context of the use of simulators for the training and specialization process of Naval Officers (NOF) in the Ecuadorian Navy. The proposed objective was to evaluate the impact of the use of naval simulators, on O. Barrionuevo Armada del Ecuador, Guayaquil, Ecuador e-mail: [email protected] T. Guarda (B) Universidad de las Fuerzas Armadas, Salinas, Ecuador Universidad Estatal Península de Santa Elena, La Libertad, Ecuador CIST—Centro de Investigación en Sistemas y Telecomunicaciones, Universidad Estatal Península de Santa Elena, La Libertad, Ecuador Algoritmi Centre, Minho University, Guimarães, Portugal J. A. Victor Polytechnic Institute of Maia, Maia, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_14

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the results of learning of the process of training and specialization of NOF. In this particular case, the research focused on the use of a full mission simulator of the wheelhouse, attending to the need to achieve competencies related to those officers who must perform guard duties on the wheelhouse of naval units: ships, submarines and coast guard. Training and specialization process of the NOF was analyzed in the particular case of one of the specialty courses. This research is related with his future role as a bridge watch officer, in particular considering that even in the most developed navies, collision and stranding accidents are the product of the lack of experience and skills of the officers who comply these functions, especially in an information-saturated environment such as the steering bridge of a naval unit [1]. The theoretical component of the training and specialization is relevant within the academic activities; however, given the competencies inherent to the professional profile of the career, particularly for military officers, the activities related to the practical learning component are of paramount importance. Technological development of naval simulators, which reaches interesting levels of realism, is useful in the processes of education, training and training especially of NOF; they outline this technology as a very important support element in the development of practical learning activities that are developed in port, becoming complex, flexible, scalable learning environments that must be used in all their capacities. The availability of means, the time required, the logistics required, the risks inherent in an activity at sea to carry out practical learning activities, make simulation technology an appropriate educational tool with great potential to achieve the competences in educational process as well as useful for training purposes, understanding that these processes are different in terms of objectives and methodologies. This research process is based on the review of scientific articles related to maritime training, and the requirements of the maritime regulations of the field. The requirements and competencies to be achieved by those officers in charge of the bridge guard were identified, understanding that educational innovation and the use of technological simulation tools are currently vital elements of maritime training processes, a situation that can be extrapolated to the naval field. To contribute to the general objective, an exploratory, qualitative investigation was carried out, carrying out the observation and data collection around a practical exercise carried out by a basic specialty course in the simulator available at the Escuela de la Marina Mercante. In the planning and development of the exercise, the David Kolb cycle was used, distributing the activity and data collection in two sessions. Please note that the first paragraph of a section or subsection is not indented. The first paragraph that follows a table, figure, equation, etc., does not have an indent either.

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14.2 Background The learning outcomes related to the domain of theories, conceptual systems, methods and languages of integration of knowledge, profession, and research that the future NOF will be developed, and that are related to this research work are the following: demonstrates skills, military skills, seafaring and basic physical aptitudes in the daily activities of the naval-military regime; identify the main characteristics of the marine environment and the activities in which they are carried out; identify the different naval platforms that operate in the marine environment and the main systems that compose them; knows the scientific and technical foundations necessary to be able to undertake with a certain degree of autonomy studies related to naval platform systems; demonstrates basic naval-military skills that allow him to perform as part of a ship’s crew; complies with the procedures that the duty officer in Coastal and Oceanic Navigation must consider, applying the criteria and norms for navigation with safety and certainty; command minor units applying knowledge of the disciplines of navigation in naval operations; able to plan and lead navigation teams (teams) in restricted waters, coastal and oceanic navigation, applying safe knowledge of estimation, piloting, celestial and electronic navigation, observing current regulations; he conducts basic maneuvers of ships in port and at sea with technical and doctrinal knowledge of security as a Guard Officer [2]. To achieve these learning outcomes, particularly those of the naval officer, with a naval systems itinerary, the curriculum is developed through the following components: teaching component, component of practices of application and experimentation of learning and autonomous learning component. In this training process, the activities of the learning application and experimentation practices component are particularly relevant, which is aimed at developing learning application experiences. These practices can be, among others, academic activities developed in experimental settings, laboratories, simulators, field practices, directed observation work and problem solving. The planning of these activities must guarantee the use of theoretical, methodological and technical-instrumental knowledge and is carried out in various learning environments [3] The learning outcomes detailed above, which are part of the professional profile of the naval officer, are related to international regulations and standards, issued by the International Maritime Organization (IMO), especially the requirements and competencies established in the International Convention on Standards of Training, Certification and Guard for Seafarers (STCW), and its associated Code. While a ship is sailing, the bridge team is constantly performing calculations related to the navigation process for which various equipment and technological systems are used that allow safe navigation. Although technology has evolved surprisingly in the field of navigation, it is also true that centuries-old traditional aspects are preserved in some aspects since they are the very essence of this art and science. In a typical hour of boating activities, a modern boater can use technology and techniques that date back a few years to those that have been used for hundreds of years by boaters around the world [4].

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In recent decades, learning to navigate through informal learning has gradually been replaced by formal learning through higher education. In today’s maritime educational context, simulators are used to reduce the periods during which students practice on board ships to learn navigation skills and practices [5]. In the current training system, the competencies of seafarers are regulated by the STCW. In the case of a merchant marine officer, this rule states that it requires an academic degree and a series of certificates obtained through practice on-board and simulator-based proficiency tests. Therefore, learning to sail today involves a combination of learning through formal education, practical experience on board and training activities, training and evaluations in simulators [6] A concept similar to that used in the training and training of merchant sailors is also a trend in the field of training, specialization, training and naval training, that is, using a combination of training in real environments and in synthetic environments. In particular, the latter is given the advantages regarding costs and execution time that they offer. Live or actual training implies that naval units and personnel carry out the training of an action using the real naval platforms: ships, submarines, coast guard or other means, operating at sea. In a synthetic training, units and naval personnel execute the actions in a virtual or simulated environment. This training often involves the use of simulators, technological elements that incorporate software with the same features as a combat system, or hardware and networks that can be used to carry out training while the ship is in port or at sea [7].

14.3 Simulator’s Technological Environment The new information and communication technologies have taken an important qualitative and quantitative leap, a large number of platforms and applications are an important support for the business sector: security, governments, home and education, among others. Network connectivity has been an important catalyst for this phenomenon, turning data and information into an important intangible asset within organizations and an important input in the digital evolution process. This evolution has been able to generate a relevant impact on production processes, at home and obviously in educational processes. As part of this technological phenomenon, the extensive development that the world of simulation and simulators has undergone has made them become very useful learning environments. Virtuality requires at least one physical element, which can influence the senses, in order to associate it with the real and first-born model and can be applied to an event that occurs in real-time that has already occurred or that may occur in the future [8].

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14.3.1 Simulation Simulation is a training or research method that attempts to create a realistic experience in a controlled environment. The first practical use of simulation was the construction of physical models of real objects. The purpose was to allow the designer to test specific aspects of the object that he wanted to build in the replica. This put him in a better position to avoid making mistakes and to reduce waste in the construction of the real object [9]. Simulation, from the educational approach, constitutes a strategy that contributes to the development of competencies. When simulation is used in the educational field, the student is put in front of situations similar to those in real life, he is empowered with a role and an attempt is made to solve a problem that may arise in reality or simply appears a situation that allows you to gain experience in a controlled environment. The students are also guided so that through a reflective and conceptualization process, they can consolidate the experience for future application in the workplace to be able to advise others or to make effective decisions in extreme situations or in emergencies. Simulation is currently widely used in various professions, but it is in medicine and in the defense sector where it has been most successful [10]. Through simulation, different physical, social and economic phenomena can be represented using modeling for this purpose. Therefore, the computational model that is developed allows for a better understanding of the system to be studied or experienced (Díaz 2012), and the quality of the modeling also guarantees the quality of the experience in an educational activity with simulators. Simulation is a technique that can be applied to many disciplines and learning. It allows you to replace and amplify real experiences, with controlled experiences, often of an “immersive” nature that evoke or reproduce substantial aspects of the real world in a fully interactive way. Simulation-based learning can be the way to develop the knowledge, skills and attitudes of professionals while avoiding unnecessary risks in the real world. Simulation-based training techniques, tools and strategies can be applied to the design of structured learning experiences and can be used as a measurement tool tied to teamwork competencies and learning objectives. Realistic settings and equipment allow re-training and practice until one can master the procedure or skill. On-the-job training conducted in the simulated environment can offer an additional benefit to traditional teaching instruction, improve performance and possibly also help reduce errors.

14.3.2 Simulators Pedagogy The classroom of the future will be increasingly virtual. While traditional education clearly separates the body and the mind through a strong emphasis on intellectual and cognitive ideas and structures, the virtual classroom will be able to integrate the

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body and its intuitive and sensory knowledge in a more holistic learning perspective, in that body and mind can interact. Simulator education will make it possible. For methodological use of virtual reality to be successful, educationally speaking, the scenarios must be created in close cooperation with experts in each type of exercise. For example, maritime experts should contribute to maritime simulations. Scenarios should have a variety of examples that will require contextual interpretation and continued practice of the student to act and make decisions. Students should be helped to move from the beginning stage to higher levels of competence and experience with the help of simulation training programs that expose them to a variety of situations. The sociocultural contexts that characterize the different situations must be recognized and made part of the scenarios, in addition to the routine rules and procedures. The hierarchical structures. Traditional classroom teaching has been an effective method of teaching theory for generations. Teaching methods generally include the instructor’s lecture, the use of an overhead projector, a whiteboard or sometimes a film or video to amplify the training objectives. In traditional settings, the instructor is in direct control and may or may not invite questions and discussions. All four stages of the process are necessary for effective learning. In simulationbased learning, the instructional designer must be able to use the operating model to create learning opportunities in the training program that are responsive to all these different stages of the learning cycle. Reflective learning is at the heart of the relationship between professional knowledge and professional competence. Recognized experts in a certain field always exhibit distinctive art in their professional skills, but the art cannot be learned through conventional teaching models. This is because it requires self-observation and reflective practice [9]; this is related to the concept of navigation that defines it as art and science.

14.4 Methodology The theoretical component of the training and specialization of naval officers in the Ecuadorian Navy is relevant within the academic activities; however, given the competencies inherent to the professional profile of the career, particularly for military officers, the activities related to the practical learning component are of paramount importance. Understanding that, although in the theoretical classes, it is possible to understand the foundations of kinematics, navigation, nautical, ship maneuvering, regulations to prevent collisions and collisions, forces that affect a naval platform, among others; it is the practical activities that fully develop the skills and competencies of the naval profession. Shipments aboard naval units are important opportunities for midshipmen and recently graduated officers from the Naval Superior School; however, due to the risk of executing extreme maneuvers, subjecting units to emergency situations, in addition

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to the related problems, with the availability of ships to board a large number of officers or midshipmen, it generates the need for the more frequent use of simulators to achieve professional skills and competencies. However, it is important to define, at least in a qualitative way, the relevance in the achievement of competencies of those activities that are developed using simulation, focused on the particular case of the competences related to the functions of the bridge watch officer, as well as the elements that make this didactic activity effective and efficient to achieve meaningful learning. This research focuses on qualitatively evaluating the cognitive, affective and psychomotor domains that are achieved in a practical class using a full mission wheelhouse simulator as an educational technology tool in the process of training and specialization of naval officers and the elements that allow meaningful learning in this process. The variables to be studied are the following: the development of knowledge, skills and attitudes, as dependent variables and academic activities using naval simulators in the training and specialization process of naval officers as an independent variable. For the planning of the activity, the Kolb cycle of experiential learning was considered in order to organize this activity based on best practices. Therefore, using problem-based learning, a condition was established to be simulated in a virtual maritime scene, using a class “A” full mission simulator for this purpose. From the activity, the data collection was carried out based on a questionnaire posed to the students to later be evaluated and obtain some conclusions.

14.4.1 Design In this research, an exploratory, qualitative design was used, for which the principles of the David Kolb cycle were used for the development of the activity, and as a tool a full mission simulator located at the School of the Merchant Marine. The participating students were recently graduated officers who were taking a basic specialty course. In the first session, the experiential and reflective phases were developed, and in the second session, the conceptualization and application phases of the Kolb cycle were developed. For the effect, the activity detailed in Table 1 was carried out:

14.4.2 Measured Variables and Applied Instruments The independent variables from which information will be obtained are the development of knowledge, skills and attitudes, during the development of the practice in the simulator with the 19 students of the basic specialty course who participated in this research. To record the independent variables, an information collection instrument applied to the students who participated in this activity was used, which collects relevant

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information to characterize the sample. Later a Likert scale is used to obtain information regarding the cognitive, affective and psychomotor domains reached and experienced by the students to finally register the subjective impressions of the participating students. The instrument consisted of the following statements with a Likert scale: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

The overall experience of the practices in the simulator was satisfactory. The learning objectives proposed for this activity were achieved. He was motivated by the experience of carrying out a practical activity in the simulator. You consider that the exercise in the simulator was productive for your professional future. The work in the simulator allowed a dynamic work of the entire navigation team. There was an active participation of the members of the navigation team in the scenarios that were developed in the simulator. There was an active interaction with the instructor during the activity. The briefing, debriefing and feedback provided by the simulator instructor were satisfactory. He was satisfied with the level of difficulty raised in the scenarios and situations that arose in the exercise. The simulation allowed to relate theoretical knowledge with practice. The scenarios developed in the exercise were realistic. The quality of the simulator and navigation equipment were adequate. The knowledge gained from your experience in the simulator can be translated into a real situation aboard naval units. The situations posed in the scenarios allowed to achieve active learning and obtain lessons learned. The situations experienced in the simulator will allow me to solve real situations when I am on duty on the bridge of a naval unit. There were situations that, due to realism, generated constraints or at times even situations that generated the sensation of real stress. He felt motivated by practicing in the simulator, making the most of the experience to achieve professional skills and competencies

The Likert scale used was from 1 to 5, with 1 being the value used to record that the student disagrees with the statement, and 5 to record that he fully agrees with the statement made.

14.4.3 Population and Sample The reference population corresponds to the armed midshipmen, officers of the surface specialties, submarines and coast guards of the Ecuadorian Navy.

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The selected sample corresponds to officers who take one of these specialty courses, 19 weapon officers, distributed by gender (79% male and 21% female), and age (all of them are digital natives) as detailed in Figs. 14.1 and 14.2. The students who were part of this activity were between 22 and 26 years old, who, in addition, due to their training process at the Naval Higher School, have digital skills and have been trained using simulation for other subjects as well of the naval. From this group of students, information was obtained on how many occasions they had had experiences in practical learning activities in a naval simulator (Fig. 14.3). De acuerdo con el análisis de los datos, 18 de los 19 estudiantes habían experimentado una actividad de aprendizaje práctico anterior en un simulador naval, sin especificar si se trata de un full mission o un mini puente. Fig. 14.1 Distribution by gender

Fig. 14.2 Distribution by age

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Fig. 14.3 Naval simulator experiences

Este aspecto toma relevancia para efectos de la objetividad de los criterios emitidos a través del instrumento de recolección de información, dado que en el ciclo Kolb, la primera fase, la experiencial se concreta de manera más efectiva, a efectos de este ejercicio. Es importante destacar que los estudiantes de la muestra tienen conocimientos de navegación, maniobra de buques, cálculos cinemáticos, desde el punto de vista teórico, fundamental para el ejercicio planteado.

14.5 Results The results of the information collected and analyzed based on the responses of the students regarding the questions will be presented using the linkert scale, and then the analysis of the responses to the open question posed to the students will be presented and later. The observation sheet used by the researcher will be evaluated. The results presented below correspond to the responses of the information collection tool using the Likert scale (Fig. 14.4). According to the analysis of the responses of the students collected in Google Forms, in order to optimize the collection and later analysis if they succeed in planting the following partial conclusions in the domain of achievements presented: cognitive, affective and psychomotor. Regarding the cognitive domains, from the part of the students, it was perceived that the objectives that were proposed for this practical activity were achieved, that is, they partially developed the skills and competencies to carry out safe navigation and comply with the International Regulations to Prevent Collisions and Collisions (RIPA). In the case of the affective domains, the use of this type of educational technology is always motivating for digital natives, hence the importance of its use in order to achieve learning objectives. From the point of view of comprehensive training of a naval officer, this point is relevant given that personal motivation allows the future

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Fig. 14.4 Results of the student information collection

to generate an adequate work environment, where, based on empathy, it is possible to organize all the resources of the bridge and therefore minimize the occurrence of maritime accidents. One of the objectives of this activity, from the didactic point of view, was to maintain an atmosphere of adequate coordination between the members of the bridge team in the event of emergencies or risk situations during navigation in an environment with moderate maritime traffic at the exit of harbor. From the students’ responses and the observation carried out, this ability was developed considering that the interaction, the assessment of information from other students, the recommendations, the organization of the information are affective domains that must be achieved by a future duty officer. On the bridge, particularly in a naval unit, where there is a large amount of information and personnel who permanently deliver data. In psychomotor domains, the level of complexity of the exercise, raised the possibility of linking the previous theoretical knowledge received both in the Naval Higher School, as well as those theoretical contents received in the specialization course. Therefore, the development of this ability is decisive for when situations arise that have not been previously experienced in a simulator or in real life. This action corresponds to the development of the psychomotor ability to adapt, especially to the demands of new problem situations. Depending on the observation record and the records made regarding the activity, it is possible to establish that:

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• The objectives of the activity were met, the student officers carried out the activity according to the set scenario, managing to maintain safety in the navigation of the unit, complying with the doctrinal aspects of navigation and the RIPA regulations. • The technological tool used was a full mission simulator and a mini-bridge, which thanks to their characteristics improve the conditions for the development of the practical learning activity. It is necessary to highlight the realism of the full mission simulator, which managed to immerse the experience of navigating in a naval unit. • The student officers executed the anchorage exit navigation in an environment of moderate maritime traffic; from the console of the instructor, he joined the ships scenario to generate an environment with maritime traffic moderated where the team navigation maintained navigational safety in compliance with the doctrinaire aspects of navigation in nearby coast and policy to avoid collisions and approaches. In this process of information flow, the affective domains related to leadership, information assessment and recommendations, team spirit and the commitment to perform their role efficiently were achieved to contribute to the objective of maintaining the security of the naval unit simulated. • In the development of the activity, 50% of the students had the opportunity to occupy the positions that allowed managing the bridge resources, having to demonstrate the ability to lead, organization and teamwork, thus it was also observed that, initially, in the first session, the flow of information was poor, but this improved as the activity progressed, which shows the achievement of organizational capacity. • The exercise was carried out under the established parameters of the ship that was intended to be simulated, thanks to the availability in the simulator of the model of this type of unit, which generates an important contribution to those who in the future fulfill guard roles on the bridge of this type of ships. However, it is recommended that those who perform functions in other types of ships, carry out an adaptation period in the simulator, based on the ship in which they will fulfill operational functions. • During the execution of the exercise, contacts were incorporated that allowed to materialize a scenario with moderate maritime traffic, giving realism to the scenario and achieving the experience of navigating in an environment with contacts. • The availability of the Salinas roadstead scenario in the simulator, with the same conditions as the real ones in terms of veriles, navigation aids, environmental conditions, among others, allowed experiencing the situation proposed in the planning of the activity. • The risks of collision and stranding were present in the development of the activity, given the characteristics of the scene and the simulated environment, contributing with realism to the simulation and allowing the students to experience the pressure to which an officer of the guard is subjected. Bridge, on the risks and complex situations, managing to develop affective and psychomotor domains in them. • Regarding the duration, the activity was extended beyond the planned time, given the availability of the simulator and the students. The time in the simulator is of great contribution to the experience of the students, considering that in pragmatic

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terms one hour in the simulator is equivalent to 4–6 h in real life, given the possibility of generating complex situations in a short time, subjecting the students to a greater demand than that of reality itself. The first session took place on day one and the second on day two, which allowed the fulfillment of the Kolb cycle, as proposed in the planning of the activity. It is recommended that these types of activities, for learning purposes, are subject to the planning and development aspects of the Kolb cycle and to the methodological aspects of “Problem-Based Learning”. Regarding the development of the activity, it was carried out based on what was planned. The student officers rotated in the different positions, given that, due to the role they will fulfill in the future, they require a global vision of the process, this allows understanding the difficulties of each position and the correct flow of information based on the competencies of each position in the navigation team stationed on the wheelhouse. In each of the sessions, the same exercise and the planned sequence were developed, with the differences related to the current and tidal conditions of the corresponding day and small variations with respect to the moment in which the contacts appeared on stage. The configuration of the full mission bridges and the mini-bridge in relation to the available equipment, allowed for realism in the simulated experience, which adds an important value to the process, especially considering that these characteristics are part of the requirements of the STWC, which although they do not apply to naval officers, for safety in navigation it is the responsibility of the navy to achieve levels of competencies as required by this standard, as applicable to officers who stand guard on the bridge of naval units [11].

The perception that the simulator as an educational technology has a good quality and is the closest representation to that of a wheelhouse of a ship, allowed to achieve the adaptation and therefore the closest understanding of an environment similar to that of its future. Professionals have available similar elements, equipment and systems and therefore the adaptation to the use of these equipment was achieved to carry a safe navigation in a fairly complex scenario. The perception that the activity allowed them to gain experience implies in principle that the students gained security, experience and managed to build knowledge, especially that which is related to the learning objectives set: Sailing safely out of an anchorage in a roadstead, with moderate maritime traffic and comply with the regulations to avoid collisions and collisions at sea, in an environment with moderate maritime traffic. These learning achievements directly impact the professional competence related to compliance with the procedures of the duty officer in coastal and ocean navigation, using the criteria and standards for navigation security and certainty. This qualitatively shows that simulation is an important tool since knowledge is achieved through experiences. The perception that this activity was productive for their professional future gives relevance and relevance to it.

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14.6 Conclusions The main professional competencies related to the training and specialization processes (surface, submarines and coast guard) of weapon officers in the Ecuadorian Navy, in their future role as bridge guard officers, are consistent with those that are defined in Section A-II of the STCW Code, for deck watch officers, without being the only ones but closely linked to the safety of navigation. For the achievement of these competencies, the same STCW code accepts the use of simulators classified and certified under “Standard No. 2–14 for the Certification of Maritime Simulation Systems,” where requirements are established to ensure that a simulator includes an appropriate level of realism and performance in accordance with the objectives of the assessment and maritime training. Therefore, this type of technology can be used in the training and specialization of naval officers, given the functions that, in a future professional, they will fulfill as bridge watch officers. As results of this research, it was possible to identify that the use of this type of technology as an academic support tool for the practical learning component is relevant in the achievement of skills and capacities that, together, allow the development of cognitive domains, affective and psychomotor, and ultimately the achievement of professional skills, which results in the safety of navigation of naval units and therefore safety of naval operations. The main cognitive, affective and psychomotor domains that were reached with the activity developed as part of this research work were those that are detailed: • Ability to carry out safe navigation in a fairly complex environment, with low visibility and avoid collisions, complying with the “International Regulations for Preventing Collisions and Collisions.” • Ability to interact with other members of the navigation team on a wheelhouse, assessing the information provided by each one to compile a clear surface table in order to avoid collisions and stranding’s. • Follow clear internal and external communications procedures in the process of safe navigation of a naval unit, covering watch on a government bridge. • Become familiar with the navigational equipment, navigational aids and communications equipment available on a wheelhouse of surface units. • Experimenting and controlling extreme situations where the integrity of the unit is at risk, learning to control emotions in order to solve problems inherent to their profession and in particular the role of watch officer on the bridge. • Leading and organizing work groups, in particular getting started in the management of bridge resources, in order to carry out safe navigation. • Relating appropriately within a work team, providing advice and receiving adequate information and recommendations from the other members of a work team. • Therefore, from this evaluation, it is possible to ensure that the simulation, especially using a certified simulator, allows achieving cognitive, affective and psychomotor domains, which contribute to the professional competencies of naval

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officers, understanding that this type of activity integrates the theoretical knowledge accumulated by the students and allows linking the theoretical aspects of naval subjects with practical actions. Furthermore, it is concluded that practical learning activities, carried out using a full mission simulator or a mini-bridge as an educational technology tool, differs from those of maritime training, since they require a planning process that obeys a didactic aspect that seeks to achieve meaningful learning. It is important to plan this activity considering Kolb’s problem-based and cycle-based learning methodology. An important barrier for the application of this type of learning methodology will always be the change of the organizational culture and in particular the training of military teachers and tutors to plan, develop and evaluate this type of activities from a technical and didactic context. In this learning environment, the instructor becomes the one who shapes the context where a class, training or training develops and evolves, in order to transform the notions of learning, domains and skills, and to achieve meaningful learning, the criticism that is developed in the so-called debriefing will be of great importance. Depending on the educational level or the achievement of learning results, the instructor’s intervention decreases. Among other relevant limitations and constraints for the development of this type of research in the future, and that must be considered, are the availability of time to use this type of simulators given its high demand for training processes of merchant seafarers and the availability of a group of students who are in training or specialization processes.

References 1. Hontvedt, M., Arnseth, H.C.: On the bridge to learn: analysing the social organization of nautical instruction in a ship simulator. Int. J. Comput.-Support. Collab. Learn. 8(1), 89–112 (2013) 2. Armada del Ecuador UFA-ESPE.: Proyecto de Rediseño Curricular de la Carrera de Ciencias Navales. Salinas (2018). 3. CES.: Reglamento de Regimen Académico. Consejo de Educación Superior (2013) 4. Sellberg, C.: Training To Become a Master Mariner in a Simulator-based Environment: The Instructors’ Contributions to Professional Learning. University of Gothenburg (2017) 5. Huhnke, M.: Learning througth simulation: maritime simulation from an educator’s perspective. Coast Guard Proc. Magz. 2017, 201749–201751 (2017) 6. Emad, G., Roth, W.M.: Contradictions in the Practices of Training for and Assessment of Competency. In: Education + Training, no. Emerald, pp. 260–272 (2008) 7. Pickup, S., Ferren, M., Allen, C., Coleman, G., Lackey, J., Steele, A., Willems, N.: Navy Training: Observations on the Navy’s Use of Live and Simulated Training. GAO (2012) 8. Forero, J.E.D.: Imulación en entornos virtuales, una estrategia para alcanzar Aprendizaje Total, en la formación técnica y profesional. Revista Latinoamericana de Estudios Educativos 42(2), 49–94 (2012) 9. Chernikova, O., Heitzmann, N., Stadler, M., Holzberger, D., Seidel, T., Fischer, F.: Simulationbased learning in higher education: a meta-analysis. Rev. Educ. Res. 90(4), 499–541 (2020)

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10. Pimienta Prieto, J.H.: Estrategias de Enseñanza-Aprendizaje Basadas en Competencias. Pearson Educación, México (2012) 11. Jin, Y.C., Yin, Y.: STCW convention and the development of marine simulator. J. Dalian Maritime Univ. 3, 23–26 (2002)

Chapter 15

Comparison Between Two Novel Approaches in Automatic Breast Cancer Detection and Diagnosis and Its Contribution in Military Defense Jackeline Pereira-Carrillo, Diego Suntaxi-Dominguez, Oscar Guarnizo-Cabezas, Gandhi Villalba-Meneses, Andrés Tirado-Espín, and Diego Almeida-Galárraga Abstract Breast cancer is a serious global health problem to which we are all prone, taking into account the risk factors we are exposed to daily, especially those who work abroad, such as military personnel. An incorrect diagnostic could be translated into a bad or inexistent treatment, and in the worst-case flowing into a patient‘s death. Nowadays, technological approaches allow us to create and design tools to identify and classify these pathologies using Machine learning methods. Nevertheless, the current neural networks are designed to identify and classify natural objects with different properties than medical images have, causing that the predictions made from them do not have medical validity. For those reasons, this paper presents a comparison review between two models of convolutional neural networks, based on modified architectures that pretend to adapt to the unique characteristics of medical images. This work proves the relevance of this technology, its impact into the medical field, and its repercussion and importance of these new tools for the near future of military medicine.

J. Pereira-Carrillo · G. Villalba-Meneses · D. Almeida-Galárraga (B) School of Biological Sciences and Engineering, Universidad Yachay Tech, Urcuquí 100119, Ecuador e-mail: [email protected] J. Pereira-Carrillo e-mail: [email protected] G. Villalba-Meneses e-mail: [email protected] D. Suntaxi-Dominguez · O. Guarnizo-Cabezas · A. Tirado-Espín School of Mathematical and Computational Sciences, Universidad Yachay Tech, Urcuquí 100119, Ecuador e-mail: [email protected] A. Tirado-Espín e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_15

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15.1 Introduction Cancer is the word that represents many types of diseases that starts when a healthy normal cell cycle is damaged. The cells can sometimes ignore the signals that normally stop their division or induce them to apoptosis, starting an uncontrollable process to divide themselves which means that they grow and become invasive and dangerous for the host [1]. In this way, cancerous cells develop a degree of “independence” from the normal control signals. This is a remarkable issue where it is important to say that almost 90% of cancer deaths are related to tumor spreading inside the body (metastasis) [2]. According to the World Health Organization [3], cancer is the second leading cause of death globally and responsible for 9.6 million deaths in 2018. Around the world, about 1 in 6 deaths is due to this disease. Almost approximately 70% of cancers death occurs in low and middle-income countries which also have a major number of risk factors than in other places. It is also true that the causes of this illness can be many, and there are types of cancer much more aggressive than others [4]. Around the world, breast cancer is the most common illness in women, and also the one that more death rates have. In 2018, 2,088,000 new cases were registered, where 626,000 women died [5]. Two out of ten new cancer cases in women are in the breast, and one in 10 deaths are caused for this illness. The etiology of breast cancer involves multiple factors such as endocrine and reproductive. Diet, sedentary lifestyle, obesity, alcohol consumption and cigarettes are also risk factors that should be avoided [6]. Although breast cancer mostly affects women, men also can develop it, with an increasing incidence over the course of the past four decades [7, 8]. The etiology of male breast cancer is poorly understood, but apart from known genetic risk, incidence is associated with obesity, high body mass index, liver disease, testicular, alcoholism, radiation exposure among others [9]. Additional distinctions between male and female breast cancer have been demonstrated in [8, 10]. In comparison to female, male breast cancers show higher rates of estrogen and progesterone receptor positivity and lower rates of human epidermal growth factor receptor positivity [7]. It has also been shown to be molecularly distinct with differences in gene expression [11]. Benign breast tumors are usually not harmful, rarely invade the surrounding tissues, do not spread to other parts of the body, can be removed easily and usually do not grow back. On the other hand, malignant tumors are exactly the opposite [12, 13]. In the clinical field, for detecting tumors, there are many screening methods like ultrasound, mammography, computed aided-detection, MRI, and PET scans, among others [2]. To achieve a correct diagnosis, a radiologist and an oncologist will see the images and examinations to determine if a tumor is present; it depends on the expertise and experience. In this sense, radiologists commonly use traditional computer-aided detection (CAD) in mammography to assist with image interpretation. However, many studies have shown these CAD programs do not improve their diagnostic performance; indeed, in some cases, they can not meet the expectations [14].

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An attractive alternative to conventional clinical methods is to use machine learning to solve these detection accuracy problems [15]. Many papers show that computational models can perform a better accuracy performance diagnosis than a radiologist [14, 16–20]. These approaches mostly use convolution neural networks (CNN) to detect and classify breast cancer. In the present work, the utility of CNNs in the medical field for detecting breast cancer is presented. In particular, this paper aims to show detector and classifier network models that have been modified from natural objects CNNs to specifically work with mammograms, and specialized for cancer detection; improving the accuracy in the diagnosis of breast cancer[21, 22]. The proposed repositories “An interpretable classifier for high-resolution breast cancer screening images utilizing weakly supervised localization” and “Deep Neural Networks Improve Radiologists‘ Performance in Breast Cancer Screening” not only talks about the possibility of software, but also a hybrid system of diagnosis joining the training and expertise of radiologists with the accuracy and sensitivity of a trained computer. Thus, the great ideal is to obtain a system that allows to move forward in the diagnosis of these diseases. Advanced cancer screening is a significant topic to consider in a military scenario, due to the many risk factors exposed to personnel, particularly during exhaustive training stages, and hazard combats. In fact, it is crucial to incorporate these novel and effective methods in the health care system that many military receives as part of their work. In this way, we suggest to improve the medical facilities with these techniques to provide an early detection, and consequently quick treatment; increasing the people survival. In this context, this work analyzes the performance obtained from two modern repositories, which expose a significant value in detecting and classifying breast cancer. In the same way, these articles remarks on modifying the neural network‘s regular architecture to optimize and adapt the processes to breast images, which allows us to conclude the importance of having these new tools for the future of medicine. Along with these studies, we take into consideration the higher risk factor that the military personnel is exposed to; that could trigger breast cancer and show the effectiveness of deep neural network techniques for earlier illness detection.

15.2 Materials and Methods Specialized search engines such as Google Scholar Advanced, Scopus, Web of Science, and PubMed were used to obtain the data. The investigation was carried out by combining descriptors and Boolean algebra. This review is descriptive and systematic; experimental studies are described as a comparative analysis between authors. And a rigorous process (to minimize biases) was used to identify, evaluate, and synthesize scientific articles, which show the evolution of deep learning tools for breast cancer screening. Finally, we draw out conclusions on the data collected. The bibliographic search was carried out from 2015 to the present date using the following

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descriptors: deep learning, convolutional neural networks, breast cancer, mammography, military applications. After applying Boolean algebra, 78 search combinations were obtained, which were used to discriminate 43 articles. These documents were selected to report on software development studies for breast cancer screening and classification using mammography imaging. Subsequently, the total articles were reviewed and classified into several categories. The first category constitutes those ones focused on breast cancer in the population, including incidence, prevalence, and mortality rates in both sexes, and their association with risk factors. Second, we select the articles related to information on artificial intelligence, convolutional neural networks of natural objects, and deep neural network assistance for detection and classification. The third category includes repositories developed for the detection and classification of breast cancer, the CNN architecture varies to adapt to the characteristics of mammography images. The fourth and final category contains information on the risk factors that could trigger breast cancer in military personnel, and how it is addressed in active soldiers and veterans (see Fig. 15.1). The amount of papers that were used in each category is illustrated in Fig. 15.2. Besides, we show the distribution of published articles per year. Finally, an analysis was made about the variability, reliability, and validity of the articles. The records obtained consist of experimental studies with quantitative and qualitative results, mostly on percentages comparisons of accuracy achieved by the proposed models. After selecting a certain number of articles, they are generally grouped by the meaning of their results. The methodological characteristics of each study were investigated to derive a general conclusion after their analysis.

Fig. 15.1 Distribution of published articles per year from 2015 to 2021

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Fig. 15.2 Articles used per category

15.3 Results For medical purposes, the supervised learning has demonstrated an enormous potential to describe diseases from medical images [23]. This is due to its intrinsic capacity to draw out the underlying distribution of data images that then is used to detect or classify samples into different categories [24, 25]. In a general view, supervised learning describes models that learn from previous known labeled data, where each label can state a class. Then, after training, these models can get a generalization ability that allows them to predict specific information from unknown unlabeled data [17, 21]. For all this process, an algorithm is used to train an Artificial Neural Network (ANN) which is a structure that maps the inputs data into outputs [26]. The outputs are defined according to the specific information that it is needed, e.g. images classes for image classification. In this regard, a convolutional neural network (CNN) is a ANN variant which is mainly designed for processing structured arrays of data such as images. The convolution operations in which are based have in consideration the distribution of the information in a matrix space, making them suitable for detection or classification process even in complex images [27–29]. In this area, Deep Residual Learning or ResNet is a specific case of CNN networks (used in several medical articles), which takes residual information to predict features in a deeper neural network [30, 31]. Mammography images are the standard methods for breast cancer detection. This technique consists of a specialized X-ray picture to visualize the internal structure of the breast. Despite this exam is recommended, the overlay tissue can vary the attenuation level in some cases; which impacts directly into the image, with the possibility to omit important details that can result in a bad diagnosis [27]. As such, the number of cancers escaping mammography detection is substantial, particularly in dense-breasted women, with sensitivity as low as 30−48% each view, where tumors may not be visualized by the overlying dense tissue [2]. It could also miss posterior

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cancers in the retro-mammary space because of inadequate deep tissue positioning. In these cases, the medical doctor will suggest more exams, like ultrasound or the invasive biopsy that takes a sample of the suspicious tissue and gets it to pathology to get a conclusive result. These variations in mammography images makes a really challenging task, to develop an interpretable classifier for high-resolution breast cancer screening images [16, 32], even for deep neural network approaches [14]. In fact, medical imaging data are scarce, expensive, and fraught with legal concerns regarding patient privacy. Besides, the high quality images provokes the exhaustive use of computational sources, such as GPU (Graphics processing unit), commonly used in deep learning applications [19]. In this context, we choose two of the best modern approaches to deal with this problem. The first article is “An interpretable classifier for high-resolution breast cancer screening images utilizing weakly supervised localization” [16]. According to Shen et al. [16], mammography interpretation is a challenging task even for expert radiologists because most asymptomatic cancer lesions are small, sparsely distributed over the breast, and may present as subtle changes in the breast tissue pattern. These features could lead to many problems like false positives during the detection. One difference between breast images from natural ones is that regions of interest (ROI) in mammography images, such as masses, asymmetries, and microcalcifications; which are often smaller than the salient objects in natural images. Besides, it is also mentioned that the complete mammography is usually of much higher resolutions than typical natural images. Therefore, its size does not fit into GPU memory when training a CNN. In an effort to deal with these problems, the authors introduce a complex specificpurpose CNN, based on ResNet 22. The proposed architecture remarks in the idea that CNN that commonly classifies accurately natural objects are not suitable in medical diagnosis [16]. In this way, the system depicts a “Globally-Aware Multiple Instance Classifier (GMIC)” that first applies a low-capacity network, efficient in the memory consumption. This network works as a global module that takes the whole images, producing salience maps that provide coarse localization of possible benign or malignant findings. Accordingly, the module manages the identification of the most informative regions in the image (ROIs). It is important to be sure that extracted ROI patches do not significantly overlap with each other. Additionally, since ROI patches are retrieved using coarse saliency maps, the information relevant for classification carried in each patch varies significantly. They use the Gated Attention Mechanism (GA), allowing the model to selectively incorporate information from all patches, providing a learnable non-linearity which increases model flexibility. The architecture then incorporates a local module with high-capacity to extract visual details from ROIs. To combine information from both saliency maps and ROI patches, they apply a global max pooling. This final step can be explained as a fusion network that combines information from global and local details to produce a prediction. This is analogous to modeling a radiologist that considers the global and local information to render a full diagnosis. While existing other methods often require lesion segmentation during training, this one is trained with only image-

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level labels and can generate pixel-level saliency maps indicating possible malignant findings. This network was trained with a mammographies dataset of 229,426 digital screening mammography exams, obtaining an accuracy higher than 90% in classifying the absence of lesions, benign lesions, and malignant lesions in the breast. GMIC has 28.8% fewer parameters, uses 78.4% less GPU memory, is 4.1× faster during inference, and 5.6× faster during training than ResNet-34 while being more accurate. They demonstrate the clinical potential of the GMIC by comparing the improved model to human experts. Besides, they observe that GMIC can provide meaningful localization when the lesions are hardly visible to radiologists in the image. However, the presented approaches are not enough to be clinically viable alone; an additional radiologists point-view is also required. The second repository is “Deep Neural Networks Improve Radiologists‘ Performance in Breast Cancer Screening”, published in 2020 [14]. This work also presents a ResNet architecture variant for cancer screening exam classification. The primary consideration in adapting the standard ResNets for mammograms is to process very high-resolution images without prior downsampling—fitting the forward pass and gradient computation within GPU memory. In this regard, the customized network establishes a balance of depth and width, and optimizes them for high-resolution images. This work makes several technical contributions to develop neural networks that support radiologists in interpreting breast cancer screening exams. The model combines multiple information inputs from different mammographic views (R-CC, L-CC, R-MLO, L-MLO) within a single neural network followed by a two-stage procedure, which takes advantage of the high quality of the mammography images. First, a high-capacity patch-level method learns from pixel-level labels, then other one learns from macroscopic breast-level labels. These conventions help us incorporate global and local information with an appropriate training procedure, achieve a human-competitive performance, and produce interpretable heat maps indicating suspicious findings in the tissue. From a ResNet-22 baseline, several changes were needed to create useful variant which works with medical images. First, because the hidden representations at the lowest layers are the largest in size, it was important to set the first convolutional layer to have relatively fewer channels and bigger kernels. The authors used 5 layers ResNet blocks, instead of 4 layers in standard ResNets, doubling the number of channels to compensate the modification on the first layer. Besides, the final hidden representation had 256 channels, compared to 512 of common architectures. Finally, a classification layer was applied directly after global average pooling, and two fully-connected layers were also incorporated. Additionally, the high resolution of the images and the limited memory of GPUs problems makes the authors use the finegrained detail in mammograms. Thust, they trained an auxiliary model to classify 256 × 256-pixel patches of the images, predicting the presence or absence of malignant and benign findings in a given patch. The labels for these patches were determined based on the pixel-level segmentation of clinicians‘ corresponding mammograms and were useful to create two heatmaps per image, increasing the viewpoints per mammography accordingly.

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A remarkable point of this work is the careful error analysis of performance prediction and the identification patterns that the network was incapable of capturing. These features will be crucially useful to improve architectures in future designs. Moreover, they evaluated the utility of pre-training the network using a related task with a noisier outcome. The pre-trained weights were the Breast Image Reporting and Data System (screening BIRADS classification). This point is of particular significance in medical imaging, where most data sets are small. Finally, the best model achieved a higher AUC of 0.876 and PRAUC of 0.318. AUCs achieved by individual readers varied from 0.705 to 0.860 (mean: 0.778, std: 0.0435). Unfortunately, for the lack of related works with higher databases, the results and procedures obtained cannot yet be classified as clinically usable or not. Making the code and the weights of the model public, the authors seek to enable more direct comparisons to their work. The successful model is thanks to the significant computation amount encapsulated in the patch-level model, which was densely applied to the input images to form heat maps as additional input channels to a breast-level model. The expectation is to continue developing models that improve the accuracy and decrease the GPU needed to process and classify the images. They invite other groups to validate their results and test their robustness to shifts in the data distribution.

15.4 Comparison and Discussion Both models concerns different evaluation methods for their respective proposals. In the first repository, to demonstrate the effectiveness of GMIC model on highresolution image classification, the authors evaluates it on the task of screening mammography interpretation, predicting the presence or absence of benign and malignant findings in a breast [16]. In addition, they evaluate the localization performance of GMIC by comparing the resulting saliency maps with the ground truth segmentation provided by the radiologists. On the other hand, the second repository compares the best accuracy of the four proposed models against radiologist outcomes with the same data. Additionally, they show a hybrid model, averaging the probability of malignancy, predicted by a radiologist versus a neural network prediction. Finally, they conduct a thorough analysis of the customized network‘s performance on screening sub-populations, the model‘s design, training procedure, errors, and properties of its internal representations [14]. Table 15.1 shows some summary results from both repositories. The first paper has the most specificity in terms of parameters used and compared around all models. These results include AUC, Number of Parameters, peak GPU memory usage, taken time for forward and backward propagation in milliseconds Fwd/Bwd (ms), and the number of floating-point operations FLOPs. In contrast, the second work only presents accuracy data in two different populations, the screening and biopsied ones. Besides, the first article makes comparisons against different networks and the proposal GMIC, giving more information about other networks for natural objects

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Table 15.1 Comparisson between the two repositories models in their five main aspects Characteristic Repository 1 Model: GMIC Repository 2 Model: ResNet-18-ensemble ‘view-wise’ AUC DataBase

BI-RADS Pretrain PRAUC Data Center GPU

93% NYU Breast Cancer Screening Dataset (229,426 high-resolution screening) mammograms Yes 0.39 NVIDIA Tesla V100 GPU

89.5% NYU Breast Cancer Screening Dataset (229,426 digital screening mammography exams) Yes 0.318 NVIDIA Tesla V100 GPU

and their performance. Conversely, the second paper only presents the AUC results of screening predictions (mammographies) evaluated by the network (model) versus the effects of biopsies of tissues sent and evaluated by a pathologist. About hybrid models, both papers propose their own version. In the first one, the hybrid models combine predictions from both GMIC and each of the radiologists separately. At radiologists‘ sensitivity (62.1%), the hybrid models achieve an average specificity of 91.9% improving radiologists‘ average specificity by 6.3%. The given name is “Human-machine Hybrid,” made to demonstrate the clinical potential of GMIC. Its predictions are a linear combination of predictions from each reader and the model. In this regard, they compute the AUC and PRAUC of the hybrid models by setting λ = 0.5 and seeing that this value is not optimal for hybrid models. The second paper shows a hybrid model in which the probability average of malignancy predicted by a radiologist joined with a neural network prediction is more accurate than either separately. They also evaluated the accuracy of a human-machine hybrid method, whose predictions are a linear combination of a radiologist and the model predictions. Thus, hybrids experiments between each reader and the model achieved an average AUC of 0.891 and an average PRAUC of 0.431. These results suggest that the model can be used as a tool to assist radiologists in reading breast cancer screening exams and that it captured different aspects of the task compared to experienced breast radiologists. However, in our study, a hybrid model including both a neural network and expert radiologists outperformed either individually, suggesting that the use of such a model could improve radiologist sensitivity for breast cancer detection.

15.5 Military Defense Contribution There are many risk factors to which the military is subjected more than civilians [33]. These include the risk of over-exposure to UV radiation, pesticides, and environmental toxicants, and potentially harmful chemicals, as well as exposure to traumatic

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events that may trigger depression or anxiety related to tobacco or alcohol consumption. All of these factors increase the likelihood of cancer incidence [1]. In the case of over-exposure to UV rays, military personnel, as well as people who participate in outdoor exercise or sports, represent two potential populations at elevated risk. The negative health consequences can involve UVR harms due to large amounts of time spent outdoors, often in harsh UVR environments [34]. This factor is associated with multiple health effects, including DNA damage, immune suppression, premature skin aging, skin vascular dysfunction, and cancer [35]. It is critically important to examine the risk of developing diseases among military individuals who survived mass natural disasters, technological catastrophes, or armed conflicts, including terroristic acts. Thus, some current researches focus on monitoring military deployment to include exposure encountered during professional service, extending to future disorder related to alcohol consumption [36], smoking dependence [37], and similar conditions. These scenarios could carry out more relevant diseases such as breast cancer for both women and men [7, 8]. Consequently, regular medical examinations are vitally important to ensure the whole personnel‘s safety and good health. In this sense, it is crucial to conduct research that supports early illness detection, such as deep learning methods. On other hand, one of the relevant factors to the incidence of breast cancer is largely related to the previously exposed factors, the individual‘s age. In fact, in large part, these cases occur in military personnel called war veterans or retired personnel, being a problem that impacts the long-term military health system [38]. In this regard, the technological tools that can improve breast cancer screening are important, along with a continuous review of people‘s health to prevent breast cancer and other types of cancer that afflict military personnel. Besides, this issue could be widely researched and focused on military personnel and civilians, thus contributing greatly to the fight against cancer. Proving also by many research‘s that military attention is different compared to normal health treatment [39–43].

15.6 Conclusion In conclusion, the CNNs have proved to be a handy tool for detecting and classification tasks, developing great performance accuracy in both cases. Both works differ in their major goal, but they introduces and improve artificial intelligence techniques of detection and classification for breast cancer detection. The first article bases its work in finding malignant and benign lesions while the second one tries to predict the presence of cancer. Besides, the second paper mentions that a benign tumor recognition is also made as a secondary task. Therefore, models developed in both works can be comparable, having an accuracy around 90% in recognizing the presence of cancer (by lesions, or abnormalities in mammograms) in breast tissues. This is possible thanks to the modification and adaptation of a natural object CNN architecture to achieve this percentage, showing that these modifications are necessary to be clinically viable in the medical field. The approaches in detecting cancer improve

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continuously, and a promising future for this type of Artificial Intelligence research is being seen in the near future. There is almost no information on studies related to breast cancer applications and military personnel. So we consider it important to make incursions into this field, considering all possible risk factors to which soldiers are exposed throughout their military life. In this work, we exposed a reasonable way to handle with this issue, which focus in using existing technologies to improve detection for a subsequent diagnosis (allowing men and women to have a better opportunity for timely treatment).

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Part VI

Weapons and Combat Systems

Chapter 16

Model-Driven Engineering as the Interface for Tactical Operation Order of Mixed Robot/Human Platoons Nicolas Belloir, Jérémy Buisson, and Lionel Touseau

Abstract Technological advance is an enabler for the evolution of modern warfare for occidental armies. But the technological challenges are far beyond building new weapon systems such as semi-autonomous robotic systems and drones. An additional challenge is the elaboration of the necessary infrastructure substrate that will enable the smooth integration of these semi-autonomous systems into teamed human/robot platoons. In this paper, we explore how we can use model-driven engineering (MDE—borrowed from software engineering) to address this specific challenge. We report our experiment on designing a suitable metamodel that reifies the concepts from the PROTERRE tasks of the French group to company units. The metamodel is then used as the abstract interface between the chiefs, their human subordinates, and their robots, each using their own modalities. Our preliminary results confirm the suitability of MDE technologies in this context. We also show that MDE adapts well to modalities that are unusual in software engineering, such as gesture communication.

16.1 Introduction In network-centric warfare [1], holistic communications between field units and headquarters supposedly provide information and situation awareness superiority as an answer to Clausewitz’s fog of war. The underlying assumption was: the better

N. Belloir · J. Buisson (B) · L. Touseau Académie Militaire de Saint-Cyr Coëtquidan, Guer, France e-mail: [email protected] N. Belloir e-mail: [email protected] L. Touseau e-mail: [email protected] IRISA, Vannes, France © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_16

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informed the commander is, the better and the timelier the plans and orders are, ensuring victory. Technological advance contributes to the evolution of modern warfare beyond the network-centric concept. Nowadays, not only are the field units and headquarters connected by digital networks, but drones are also used as weapon systems, and some digitized tools appear in headquarters. This trend is expected to go one step further with forthcoming weapon programs, e.g., [8]. In this context, not only the coordination of forces becomes more and more complex, but elaborating a consistent ecosystem, integrating semi-autonomous robotic systems alongside human soldiers, across the battlefield, and headquarters is a challenging task. Even the representation of operation plans and orders rises questions when we anticipate that orders will be shared and executed by teamed manned and unmanned systems of a single platoon. With battlefield digitization, the pace of battle has already or will accelerate. As a result, reaction and decision-making times should be shortened. The way orders are delivered nowadays, however, cannot cope with such a fast pace. Although there have been some standardization efforts (e.g., [13]), orders still follow a verbose textual format. In addition, a robot, a drone, or any other semi-autonomous defense system would not be able to understand oral or written instructions in natural language. Based on this observation, it is necessary for leaders that orders can also be expressed in a machine-readable format. A model-based approach would allow to formalize the concepts related to tactical orders, by proposing a specific language for tactical orders, also called metamodel in Software Engineering. Model-driven engineering (MDE) could help designing new interfaces to deliver modeled orders, based on this metamodel. Thanks to the abstraction layer provided by a metamodel-based approach, and the same order could be delivered to machines as well as to human soldiers using an appropriate interface for each type of recipient. Our contribution presented in this paper is two-fold. First a metamodel is proposed to express orders at the tactical level, relevant to both human and non-human units. Then multi-modal interfaces are built to deliver these orders, using the defined metamodel and model-driven engineering techniques. This approach would benefit leaders of mixed human and non-human platoons, and it would help them to adapt to the forthcoming changes in their profession. Section 16.2 reports recent and prospective evolution to warfare. Then Sect. 16.3 details the vision that we propose in this paper. Section 16.4 briefly introduces modeldriven engineering. Section 16.5 presents the proposed metamodel and the results of our first experiment. Last, Sect. 16.6 concludes the paper with a discussion.

16.2 Background In his book [7], King discusses the evolution of the occidental armies at the beginning of the twenty-first century. On the one side, several doctrinal and organizational changes were performed, including the shifts from citizen to professional, from single-service to joint, from national to multi-national. Operations become truly

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multi-domain and, therefore, heterogeneous. On the other side, increasingly secure digital communication technology enables interactions and cooperation across the larger and reconfigured battlefield. Introduction of information technology also adds the cyber domain to the battle space, in addition to land, air, and maritime spaces. King observes that the division is the echelon of choice, identified in doctrines to deal with the perspective of high-intensity warfare, as the divisional level is the one that has the capacity to coordinate multi-domain battle. King also observes that, contrary to the initial expectations, the increased use of information technology did not lead to reduce the headquarter staff nor the number of command echelons. On the contrary, increased amount of information, increased range of operation, and increased multi-domain cooperation yield to increased complexity at commanding at the division level. But the digital transformation of the headquarters and command posts and, more generally, the digital transformation of warfare are not only about networking with field units to gather massively data, that can in turn be used to train some artificial intelligence to provide decision-making assistance as a response to the increased complexity at the headquarter. For instance, Mayorga et al. successfully experimented linear regression, naive Bayes and decision trees in the context of surveillance operations, to guide the conception of a military operation [9], depending on the location and expected results for the operation. The digital transformation also concerns field units beyond communication technology, like witnessed by projects for future combat systems, with the dawn of semi-autonomous robotic systems for the battlefield. Klare [8] reports three examples from the USA’s perspective. The SMET (Small Multipurpose Equipment Transport) vehicle, while initially a robotic mule, is anticipated to evolve toward intelligence missions, then toward autonomously identifying and employing lethal weapons against the enemy. The XQ-58A Valkyrie is thought as an armed aerial drone, intended to clear the path for piloted aircrafts. The Sea Hunter project intends a similar purpose for naval operations, hunting for enemy submarines to assist manned warships. Other nations too race into this shift in warfare. European programs including MGCS (Main Ground Combat System) and FCAS (Future Combat Aerial System) programs, as well as the TURMA (Teaming Unmanned Robotic Manned Architecture) consortium also intend to team manned and unmanned vehicles such that robots and drones do fight under the supervision of human soldiers and commanders. According to Klare [8], Russia and China also have a similar agenda. Klare writes that even secondary powers develop such systems. Klare [8] insists on the impact of these changes on the soldiers and on the commanders. We retain the two following ones. First, Klare points out the faster pace of combats thanks to the fact that fighting robots need no rest between battles. Continuous fighting is anticipated. Second, Klare notices the informational flood that machines shall digest far faster than human commanders. Then there is a risk that human soldiers and commanders fail in their forthcoming new role of overseeing the drones and robots, and instead that the relationship between humans and robots gets reversed.

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16.3 Vision Integration of artificial intelligence is anticipated to increase the level of autonomy of the robots and drones accompanying fighting units on the field. We anticipate that AI will enable robots to achieve autonomously elementary actions, like those done by human soldiers at the lowest levels of the hierarchy, e.g., reconnaissance or support. So, in comparison to the current ones, the interface of future robots and drone will raise to a higher level of abstraction, comparable to lowest-level order languages. Given that the robots shall be able to achieve similar actions to the ones made by human soldiers, it is therefore tempting that the chiefs interact with both in a similar manner. In addition, when the chiefs at the fire-team, squad, or platoon levels give orders to their subordinate soldiers, they can employ various modalities, including voice, gesture, textual, or graphical representation of the order. So, we rise the question whether the chiefs can abstract some details of their subordinates when giving orders. Like it will be described in Sect. 16.4, model-driven engineering insists on the distinction between the abstract syntax of a language, and possibly multiple concrete representations of the same information. Like described in Sect. 16.5, the French PROTERRE [17] can play the role of the abstract syntax, and the modalities such as standardized gestures [17], STANAG 2014 [13]-like operation orders, APP-6 [2]-like overlay orders are possible concrete representations. Our vision is therefore to rely on model-driven engineering technology, such that the chiefs give their orders using any concrete modality at their convenience. In addition to direct communication, the orders shall be captured by the combat information system supporting the operation for broadcast to the subordinates. Having a machine-processable abstract syntax enables robots to receive the orders like human soldiers. And, possibly, the supporting combat information system shall adapt the order representation to allow the chiefs, and their subordinates use different modalities. So, to some extent, in our vision, the abstract language plays the role of the interface between the chiefs and their subordinates, abstracting over whether the subordinates are human or robotic systems. With this vision, one challenge is to design a suitable abstract language. Our method in this regard is that existing communication modalities such as PROTERRE gestures, operation orders, and overlay orders provide some basis that can be abstracted to a metamodel. Then, in a second step in future work, we plan to adapt the resulting abstract language according to effective capabilities of robotic systems we use in our experiments.

16.4 Model-Driven Engineering Model-driven engineering (MDE) [6, 11] is a family of technologies and methodologies that originate from object-oriented design in the field of software engineering. One of the key goals aimed by MDE is to make more systematic and more rigor-

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ous the documentation of the engineered software systems and, at the same time, to enable software tools to manipulate this documentation. To achieve this goal, a key idea of MDE is to eliminate natural language to avoid any interpretation biases (that may result from cultural differences) and any ambiguities. Instead, MDE makes the documentation be expressed as a model that relies on concepts described in a so-named metamodel. The model is an instance of the metamodel. Taking roots in object-oriented design, the model of a software system typically describes the classes of the objects manipulated by the modeled software system. The model is not restricted to structural documentation; it also allows the description of the functionalities, of the actors that interact with the software system, of the behavior at various levels of abstraction. Hence, MDE supports the complete lifecycle of the software system. UML [18] is the most-often used metamodel when engineering a software system and SysML [16] when engineering a complex system or a system of systems. By construction and in contrast with natural languages, modeling languages are such that models are easily manipulated by software tools, with the aim of computer-aided engineering. Beyond software or complex system engineering, MDE has gone domain-specific [3, 4, 12]. For each domain, one may design a metamodel that describes the concepts used when engineering in that domain. The metamodel is itself an instance of a metametamodel such as MOF [10] or EMF’s Ecore [14]. In fact, the metamodel is just a model whose domain is modeling languages whose metamodel is the metametamodel. The stack of meta levels of modeling is conceptually indefinite, but usual metametamodels like MOF and EMF’s Ecore are metacircular, i.e., they are instances of themselves, putting an end to the recursion. The strength of this generic construction is that metametamodels come with software infrastructure, such as EMF for Ecore. Then this infrastructure comes with an ecosystem of tools, such as Sirius1 , Xtext2 , Acceleo3 , ATL [5], Henshin [15] to mention just of few of the EMF’s ecosystem. From the metamodel, this infrastructure automatically generates infrastructure code compatible with itself, such that tools that manipulate models, built upon this infrastructure, can reuse the whole ecosystem off-the-shelf. A typical ecosystem provides model transformation engines and frameworks like ATL and Henshin, textual parser generators like Xtext, text generator engines like Acceleo, and graphical editor generators like Sirius. The above (very short) outline of the EMF ecosystem illustrates an additional characteristic of MDE that is worth being highlighted. The metamodel, by defining a modeling language, provides an abstract syntax, that is, it describes objects that shall appear in instance models in the form they are manipulated by the accompanying software tools. A metamodel engineer shall design multiple concrete syntax for a single metamodel, possibly using distinct modalities, including graphical notations and textual notations. By construction, concrete representations are no more than views of the (shared) model. Any modification made from one representation is reflected 1

https://www.eclipse.org/sirius/ (21/01/2021). https://www.eclipse.org/Xtext/ (21/01/2021). 3 https://www.eclipse.org/acceleo/ (21/01/2021). 2

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into the model and, therefore, into all the other representations. Hence, mapping and synchronization between multiple representations are solved by construction. Said otherwise, the metamodel describes some interfacing abstract language to be used for multi-modal communication between human and software systems. For all the characteristics described in this section, MDE is a highly-relevant family of technologies to deal with the challenge of building an ecosystem, to support that idea of mixed human/robot platoons announced by forthcoming weapon systems.

16.5 Metamodel for Operation Order In this section, we illustrate our vision by implementing part of the PROTERRE [17] approach into a metamodel. PROTERRE is the combat guide of the French Ground Army theorizing the main missions of a ground unit (from company size to group size). We choose PROTERRE due to our affiliation, but any similar combat guide from any other nation can be equally considered. In this section, we provide a metamodel as proof-of-concept. The metamodel does not represent the whole PROTERRE theory, but it focuses on the relationship between units, tasks, and geographical points as shown in Fig. 16.1. A company is made up of 2 or 3 platoons. In a platoon, 3 or 4 groups can be organized. Depending on the level of responsibility, a chief may address an order to a compositional unit or an operational unit. PROTERRE defines a set of wellidentified missions. We call these missions tasks in the metamodel. Basically, tasks can be those defined as specialization of ElementaryTasks: Enlighten, Recognize …. All tasks refer to geographical elements. It can be a specific point, or specific areas (lines, circles, cities …). For this paper, we are not trying to be exhaustive. All tasks are performed from a starting point to a return point. Some of the tasks are mostly static (for instance, observing a specific sector for the Watch task). Others are done by following a specific path (for instance, Enlighten). Some tasks are quite similar. Enlighten and Recognize mainly differ by the unit’s reaction if it finds an enemy unit while performing the task. For the first one, the unit just points the enemy out. For the second one, it engages the enemy. The metamodel is an abstract syntax. It can support one or more concrete syntax. For instance, ordering a Watch task for an area can result in different artifacts as illustrated by Fig. 16.2: the first part on the left shows the PROTERRE gesture, either for direct communication or using the IoT-like connected glove presented in Fig. 16.3. The location of the observers is the one occupied by the group of soldiers. The area to be monitored is by the direction of one hand. The type of task to be performed is done by the gesture of the other hand. The second part at the center shows the artifact to be used in graphical language or a diagram like the overlay order. Positions are be given by the position on the map for instance using APP-6 [2] symbols. The third part on the right shows the same order on a connected tablet. The group ID has already been defined. The positions are given using geographic coordinates. The area to be monitored is given by azimuths.

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Fig. 16.1 Proterre French Army-based metamodel

PROTERRE gesture

APP-6 [2] notation

Tablet interface Fig. 16.2 Ordering a Watch task of an area to a group of soldiers

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Fig. 16.3 A connected glove and armlet to capture arm gestures

Fig. 16.4 Experimenting a “Watch” task given using a smartphone to a robot

We carried out an experiment in order to illustrate the applicability of our proposal. We implemented a concrete syntax of the proposed metamodel into a tablet-based application. With this app, a chief is able to give some simple orders to a group of Lego Mindstorm robots, which are representative of typical ground semi-autonomous robots. Figure 16.4 illustrates our experimentation. A robot is selected using the app. The chief assigns a Watch task to a robot. The chief defines a place to perform the task using coordinates. The chief also defines two azimuths. When the order has been given, the robots move to the specified place, turn to be in the right position in order to look at the sector limited by the two azimuths. Figure 16.3 illustrates a simple connected glove we prototype, to use gesture recognition as a second concrete syntax. When the chief points her/his arm in a direction, the gesture is detected. In future work, we will integrate all these objects as parts of a system of systems, such that the detection of the gesture will trigger issuing a Watch task. The glove sensors will be used to compute the azimuths to be used as parameters of the task. And the task will be sent to the robots, hence triggering the tactical action. The task will also be sent to soldiers’ tablets, so the task will be translated on-the-fly from one concrete syntax to another one when appropriate. The latter is enabled by the use of the shared metamodel as the abstract syntax, at the interface between the chief, and the subordinate soldiers and robots.

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16.6 Conclusion In this paper, we summarized the recent and forthcoming evolution in occidental armies. The challenges raised by these changes encompass not only the production of new technologically advanced equipment and organizational aspects, but also the elaboration of an ecosystem in which human soldiers and robots collaborate in mixed platoons. The vision that we defend in this paper is that model-driven engineering (MDE), coming from the field of software engineering, is a candidate technology to provide the necessary infrastructure toward this ecosystem. To illustrate the insights of the proposed vision, we reported our experiment in this direction. We presented a metamodel; we elaborated to conceptualize the French PROTERRE tasks for group, platoon, and company levels. Based on this metamodel, we developed a proof-of-concept to demonstrate the ability to use multiple modalities to issue orders to both human soldiers and robots. Still, the experiment we report is in early stage. We plan to investigate further integration of various concrete representations for orders, via multiple modalities, as well as mixing human soldiers and robots in the platoon. With respect to traditional MDE in the context of software engineering, we enlarge the range of modalities for the concrete representations. MDE traditionally supports graphical and textual syntax. In our experiment, we already consider gestures as an additional modality.

References 1. Alberts, D.S., Garstka, J., Stein, F.P.: Network Centric Warfare: Developing and Leveraging Information Superiority. CCRP Publication Series. National Defense University Press, Washington, DC (1999) 2. APP-06 NATO Joint Military Symbology. Technical Report NSO(JOINT)1231(2017)IERH/2019. NATO Standardization Office. https://nso.nato.int/ nso/nsdd/APdetails.html?APNo=1912&LA=EN (2017) 3. France, R., Rumpe, B.: Domain specific modeling. Softw. Syst. Model. 4(1), 1–3 (2005). https:// doi.org/10.1007/s10270-005-0078-1 4. Frank, U.: Domain-specific modeling languages: requirements analysis and design guidelines. In: Reinhartz-Berger, I., Sturm, A., Clark, T., Cohen, S., Bettin, J. (eds.) Domain Engineering: Product Lines, Languages, and Conceptual Models, pp. 133–157. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-36654-3_6 (2013) 5. Jouault, F., Allilaire, F., Bézivin, J., Kurtev, I., Valduriez, P.: ATL: a QVT-like transformation language. In: Companion to the 21st ACM SIGPLAN Symposium on Object-Oriented Programming Systems, Languages, and Applications, OOPSLA’06, pp. 719–720. Association for Computing Machinery, New York, NY, USA. https://doi.org/10.1145/1176617.1176691 (2006) 6. Kent, S.: Model driven engineering. In: Butler, M., Petre, L., Sere, K. (eds.) Integrated Formal Methods. Lecture Notes in Computer Science, pp. 286–298. Springer, Berlin, Heidelberg. https://doi.org/10.1007/3-540-47884-1_16 (2002) 7. King, A.: Command: The Twenty-First-Century General. Cambridge University Press (2019) 8. Klare, M.T.: The coming of automated warfare. Curr. Hist. 119(813), 9–14 (2020). https://doi. org/10.1525/curh.2020.119.813.9

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9. Mayorga, J., Borbúa, R.V., Reyes Ch., R.P., Gualotuña, T.: Jayor2: a proposal of information management system for command and control centers (C3i2) in the armed forces. In: Rocha, A., Paredes-Calderón, M., Guarda, T. (eds.) Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies, pp. 271–280. Springer. https://doi.org/10.1007/ 978-981-15-4875-8_24 (2020) 10. Meta Object Facility 2.4.2. Technical Report Formal, 14-04-05. OMG. www.omg.org/spec/ MOF/2.4.2/ (2014) 11. Schmidt, D.C.: Guest editor’s introduction: model-driven engineering. Computer 39(2), 25–31 (2006). https://doi.org/10.1109/MC.2006.58 12. Sprinkle, J., Mernik, M., Tolvanen, J.P., Spinellis, D.: Guest editors’ introduction: what kinds of nails need a domain-specific hammer? IEEE Softw. 26(4), 15–18 (2009). https://doi.org/10. 1109/MS.2009.92 13. STANAG 2014: Formats for Orders and Designation of Timings, Locations and Boundaries. Technical Report MAS(ARMY)0307-TOP/2014. NATO Military Agency for Standardization (2000) 14. Steinberg, D., Budinsky, F., Paternostro, M., Merks, E.: EMF: Eclipse Modeling Framework 2.0, 2nd edn. Addison-Wesley Professional (2009) 15. Strüber, D., Born, K., Gill, K.D., Groner, R., Kehrer, T., Ohrndorf, M., Tichy, M.: Henshin: a usability-focused framework for EMF model transformation development. In: de Lara, J., Plump, D. (eds.) Graph Transformation. Lecture Notes in Computer Science, pp. 196– 208. Springer International Publishing, Cham. https://doi.org/10.1007/978-3-319-61470-0_12 (2017) 16. Systems Modeling Language Version 1.5. Technical Report Formal, 2017-05-01. OMG. www. omg.org/spec/SysML/1.5 (2017) 17. TTA 150: Le combat proterre en milieu ouvert. Combat Manual. French Ground Army (2014) (in French) 18. Unified Modeling Language Version 2.5.1. Technical Report Formal, 2017-12-05. OMG. www. omg.org/spec/UML/2.5.1 (2017)

Part VII

Chemical, Biological and Nuclear Defense

Chapter 17

Decontamination of Seawater in a Harbor: Case Study of Potential Bioterrorism Attack Ashok Vaseashta , Viktor Stabnikov, Maris Klavins, and Volodymyr Ivanov Abstract Bioterrorism attack to large harbors is likely, simply by the discharge of intentionally infected ship’s ballast water. Therefore, the ships must be equipped with the control probes of extensive microbial growth in the ballast water tanks to avoid such a scenario. In case of intentional discharge of ballast water containing Bacillus anthracis, a two-dimensional disinfection of the harbor’s seawater surface can be made using hydrophobic or surface-active disinfectant, by using humic acid with trimethylammonium groups, concentrating in the monomolecular layer on water–air interphase. It will prevent the formation and dispersion of the deadly bioaerosol to atmosphere after a bioterrorism attack in the harbor. We have presented a tabletop exercise (TTX), simulating a scenario for bacterial formation of two-dimensional films of calcium carbonate crystals on the seawater surface using bacterial oxidation and other medium-chain fatty acids as consequence management and from lessons learnt.

A. Vaseashta (B) International Clean Water Institute, Manassas, VA 20112, USA e-mail: [email protected] Faculty of Mechanical Engineering, Transport and Aeronautic, Riga Technical University, 1 Kalku Street, Riga 1658, LV, Latvia V. Stabnikov Department of Biotechnology and Microbiology, National University of Food Technologies, 68 Volodymyrska Str., Kyiv 01601, Ukraine M. Klavins Department of Environmental Science, University of Latvia, Raina Blvd 19, Riga 1285, LV, Latvia V. Ivanov Advanced Research Laboratory, National University of Food Technologies, 68 Volodymyrska Str., Kyiv 01601, Ukraine © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_17

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17.1 Introduction There are many known methods for the decontamination of chemical, biological, radiological, and nuclear (CBRN) pollutants of land that must be performed after industrial accident, military action, or even terrorist attack. Modern decontamination methods use multidisciplinary approach, which includes not only general chemistry but also microbiology, biogeochemistry, ecology, soil science, geoinformation processing, big data processing, and defense science and technology [1–3]. Important factors in the selection of the decontamination method are its efficiency, cost, and safety [4]. Biomass of Bacillus anthracis is considered as a biological warfare agent of low cost and simple production technology. It has been used in several acts of bioterrorism [5–8]. This CBRN agent can be spread in environment via several routes, such as dispersion through air and water—both fresh and seawater. Dispersed spores of B. anthracis are resistant to heat and to other extreme environmental conditions. However, studies related to seawater decontamination in a harbor, in an event of a bioterrorism attack have not to be been conducted yet. US Environmental Protection Agency (USEPA) in partnership with the Department of Homeland Security (DHS) evaluated the method of disinfection of solid surfaces and seawater by chlorine, in case of an intentional release of B. anthracis at port sites,1 but it seems not to be a realistic method because a large volume of seawater, which is roughly 100– 1000 million m3 , needed to disinfect a typical harbor. Hence, there is no affordable and available technology for decontamination of a large harbor that may become infected with B. anthracis. Meanwhile, the risk of terrorism bioattack in the large trade harbor, especially through the release of intentionally infected ship’s ballast water, still exists. Based on our experience of CBRN decontamination of large surfaces, the aim of this paper is to describe a selection of methods that can be used for large ships, and also in harbors, to prevent or mitigate the consequences of a bioterrorism attack.

17.2 Ballast Water—Source of Bacteriological Seawater Pollution Shipping transfers annually about 10 billion tons of ballast water between the ports [9]. International Convention for the Control and Management of Ships Ballast Water and Sediments (BWM) came into force on September 8, 2017.2 According to this Convention, there must be very small concentrations of specific bacteria in the discharged ballast water. Notwithstanding these strict regulations, there is still a risk 1

https://www.epa.gov/emergency-response-research/assessment-effective-decontamination-opt ions-urban-and-maritime. 2 https://www.imo.org/en/About/Conventions/Pages/International-Convention-for-the-Controland-Management-of-Ships%27-Ballast-Water-and-Sediments-(BWM).aspx.

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Fig. 17.1 Simple access to the opening of the ballast water tank

of production, transfer, and release of biological warfare from the ballast water tank. It is known that bacteria grows in ballast water tanks for 2–3 weeks period between load and discharge of ballast water. In fact, it is easy to access to ballast water tank through the openings, as shown in Fig. 17.1. Following, an intentional inoculation with small quantity of the spores of B. anthracis (1000 spores/ml = 2 mg of dry spores per 10,000 m3 of ballast water) and addition of relatively small quantity of nutrients such as soybean meal or any organic waste (100 kg of organic carbon/10,000 m3 of ballast water), the ballast water tank will be a large volume bioreactor, which will produce, after 2–3 weeks of the voyage, about 5 × 1016 cells of B. anthracis/10,000 m3 of ballast water that will be transformed to approximately 50 kg of dry bacterial spores per 10,000 m3 of ballast water by the end of voyage. This biological agent will be safe for the crew during the voyage because the ballast water tanks are safely sealed. The surface of the spores of genus Bacillus, including B. anthracis spores, is hydrophobic. Therefore, they are not dispersed in the bulk of seawater but instead, are concentrated in the upper layer of seawater with a thickness of about 10–20 µm, being attached to water–air interphase [10, 11]. That is why an area of pollution after intentional discharge of this ballast water in a harbor or nearby coastal waters could be up to 50,000 km2 considering that high risk of anthrax infection that can be caused by the presence of one spore per 1 mm2 of sea surface. This discharge of B. anthracis spores can cause the outbreak of anthrax in the port, following its quarantine and closing even for several months or years. This may result in an enormous economic loss due to the quarantine and closing of any large port. Additionally, wind on the sea can produce aerosol bacterial dispersion of B. anthracis due to the formation of the quickly drying droplets of surface seawater. This bioaerosol of several µm size can be spread with wind and cause deadly infectious disease due to anthrax for distances up to several km from the seashore [12]. Survivability of germinated cells of B. anthracis could be enhanced by their attachment to the floating microplastics [13], which is usually present in the coastal seawater [14–18] and also in ballast water [19]. Additionally, an accumulation in air–water interphase hydrophobic and surfaceactive substances, such as lipids, monocyclic, and polycyclic aromatic hydrocarbons, humic acids can be used by the cells of B. anthracis, as carbon and energy source

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for growth. To avoid this catastrophic scenario of terrorism bioattack on the international shipping and population of a port city, the following security recommendations should be considered on the ships: • security in the sealing of the ballast water tanks to prevent inoculation of the ballast water tank with bio-weapons; • mandatory disinfection of ballast water before its discharge; • automatic monitoring and alarm on microbial growth in ballast water tanks using dissolved oxygen sensor or bacterial cells counter installed in the ballast water tanks. However, in case of intentional- or terrorism-related discharge of B. anthracis containing ballast water, it is necessary to disinfect seawater surface and prevent the formation of bioaerosol formation resulting from it.

17.3 Proposed Methods for Decontamination of Seawater in a Harbor 17.3.1 Prevention of Bioaerosol Formation from Seawater Using MICP Wind produces aerosol from seawater due to the formation of small droplets of seawater and its subsequent drying in air. One potential option to prevent the formation of bioaerosol is microbially or enzyme-induced calcium carbonate precipitation (MICP/EICP) that is performed using calcium inorganic salt and urea hydrolyzed by enzyme urease. It can be used for CBRN bio-decontamination of land due to bioaggregation of soil particles [20–22], bio-crusting of soil surface [23], or bio-clogging of soil pores [21, 24, 25]. It can be used for the immobilization of different soil pollutants [21, 24, 25]. Microorganisms with high urease activity are usually from genus Sporosarcina [23], but a lot of species from genus Bacillus have urease activity and can be used for MICP/EICP, for example, Bacillus megaterium [20], B. sphaericus [26], B. pseudofirmus [27], and many other representatives of genus Bacillus. Phylogenetically related pathogens, such as Bacillus cereus and B. anthracis, have also high urease activity [28]. Dust of bacteriologically polluted soil will negatively affect human health and environment [29, 30] and can affect the sites on thousand km from the point of pollution [31]. The dispersion of the CBRN agents to environment can be prevented using microbially or enzymatically mediated precipitation of calcium carbonate (MICP/EICP) crystals binding soil particles and pollutants [18, 32, 33]. The effect of small dosage MICP, 15.6 g precipitated Ca/m2 , resulted in a 99.8% decrease of the release of the model bacteriological pollutant, which was the spores of B. megaterium. This fixation of the model bacterial pollutant in soil was due to the bioaggregation of the soil particles from average size 30–180 µm [21]. Probably, the same technology

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could be used to fix bacteriological pollution of soil in case of possible bioterroristic attack [34]. By the way, MICP/EICP could be used also for immobilization of radionuclides 90 Sr and 60 Co in soil [24, 35–44]. So, MICP/EICP could be considered as a method for decontamination of bacteriologically polluted area for decontamination of all CBRN agents. It is possible to produce the layer of calcium carbonate on water surface, if introduced over dry spores of urease-producing bacteria onto surface of solution containing calcium salt and urea (Fig. 17.2). However, it is not necessary to produce solid film on seawater surface to prevent bioaerosol formation. It could be sufficient, by just formation of small calcium carbonate crystals that are bound with a cell or spore of B. anthracis forming aggregate that will be precipitated but not be transferred to bioaerosol (Fig. 17.3). These aggregates with a density higher than that of seawater will precipitate to the bottom sediment and later can be safely scoured for decontamination of sediment Fig. 17.2 A layer of calcium carbonate crystals formed using MICP on water surface

Fig. 17.3 Aggregate of B. anthracis cell (black color) and calcium carbonate crystals (solid diamond grid) formed on hydrophobic air–water interphase (horizontal stripes) during MICP decontamination of seawater surface due to addition of calcium–urea–humic substance complex (spheres)

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material, which is a common technique in the ports [45, 46], and then decontaminated in the scoured material using known methods [47]. The technical problem of this method is simultaneous delivering of calcium salt and urea to water–air interphase, where these compounds will aggregate with the spores or cells of B. anthrax having urease activity. It can be solved using adsorption or chemical binding of calcium ions, urea molecules and hydrophobic or surface-active carrier, which will be concentrated in air–water interphase. There could be complexes of urea–calcium– humic substances [48] or urea-long-chain saturated fatty acid complexes [49] with calcium. The quantity of added calcium to bind with bacterial cells should be the same as maximum of biomass of B. anthrax in water–air interphase, about 10 kg/ha of the seawater surface.

17.3.2 Prevention of Bioaerosol Formation from Seawater Using Aerobic Oxidation of Salts of Calcium or Iron with Long-Chain Organic Acids It is known that cells of B. anthracis use acetate and fatty acids as a source of carbon and energy due to active beta-oxidation [50, 51]. Therefore, another method to precipitate spores/cells of B. anthracis from air–water interphase could be bacterial oxidation added to water calcium caproate or other calcium salts of medium-chain fatty acids that will be concentrated in air–water interphase due to low solubility in water. Bio-oxidation in air–water interphase will be performed by the cells of B. anthracis with the production of calcium carbonate crystals that will adhere to the cells and precipitate them to the bottom sediment by Eq. 17.1: (C5 H11 COO)2 Ca + 15O2 → CaCO3 ↓ +9CO2 + 11H2 O

(17.1)

Formation of the calcium carbonate can be controlled in the harbor without any direct dangerous contact with seawater but using by sensors and aerial platforms for real-time monitoring and analysis [52, 53]. An integrated sensor platform using nanomaterials and advanced hyperspectral imaging capability is currently under development that can specifically be used for these applications.

17.4 Conclusion and Discussion There are many known disinfectants of water but a technical problem in case of B. anthracis infection in seawater is that the disinfectant must be concentrated in air–water interphase, inside 5–10 µm of upper layer of seawater. So, it must be a hydrophobic substance or a complex with hydrophobic or surface-active carrier. One of the simplest and affordable solution could be the use of the derivatives of humic

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substances with trimethylammonium groups [48] or other hydrophobic carriers with chemically attached or adsorbed disinfectants. In this case, disinfection will be done in air–water interphase, where the cells or spores of B. anthracis are concentrated. Humic substances are abundant in nature and can be isolated from soil or peat. If the concentration of disinfectant must be at least 100 mg/L of water in air–water interphase, the dosage of this disinfectant for surface treatment of 10 µm upper layer of seawater is just 10 g/ha of the seawater surface. The method proposed here is viable and feasible and can be used for accidental, inadvertent, or even intentional contamination by sea vessels. Due to unique characteristics, nanomaterials show tremendous potential in monitoring, mitigating, and even in consequence management scenarios. As described earlier, unmanned aerial vehicle-based sensor platforms [52] show the capability of periodic monitoring of such events. Furthermore, nanophotonic-based oxidation has shown potential for not only disintegrating non-/microplastic in marine environment but can also disintegrate bacterial colonies into environmentally friendly byproducts [54]. The research is currently in progress and will be the subject of follow-up investigations. Acknowledgements This work has been partially supported by the project of Latvian-Ukrainian Joint Programme of Scientific and Technological Cooperation, the Advanced Research Lab and the Department of Biotechnology and Microbiology, National University of Food Technologies, Kyiv, Ukraine. This manuscript is dedicated to the memory of Prof. Volodymyr Ivanov.

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48. Klavins, M., Purmalis, O.: Humic substances as surfactants. Environ. Chem. Lett. 8, 349–354 (2009) 49. Hayes, D.G., Bengtsson, Y.C., Van Alstine, J.M., et al.: Urea complexation for the rapid, ecologically responsible fractionation of fatty acids from seed oil. J. Am. Oil Chem. Soc. 75, 1403–1409 (1998) 50. Zasada, A.A.: Detection and identification of Bacillus anthracis: from conventional to molecular microbiology methods. Mol. Microbiol. 66, 829–839 (2020) 51. https://www.genome.jp/kegg-bin/show_pathway?bar00020 52. Vaseashta, A.: Cyber-physical systems—nanomaterial sensors based unmanned aerial platforms for real-time monitoring and analysis. In: 4th International Conference on Nanotechnologies and Biomedical Engineering, pp. 685–689 (2019) 53. Vaseashta, A., Braman, E.W., Alvelo, J., Susmann, P.: Advanced sciences convergence for defense and security. MRS Online Proc. Libr. 1209 (Symposia P/YY—Business and Safety Issues in the Commercialization of Nanotechnology) (2009) 54. Vaseashta, A., Ivanov, V., Dekhtyar, Y., Bolgen, N.: Nanomaterials based technologies for identification and mitigation of environmental nano/microplastics. In: Nanoposter 2020—9th Virtual Nanotechnology Conference (2020)

Chapter 18

Trace Detection of C-4 on Aluminum Using Mid-Infrared Reflection–Absorption Quantum Cascade Laser Spectroscopy Vladimir Villanueva-López , Annette M. Colón-Mercado , Karla M. Vázquez-Vélez , John R. Castro-Suarez , Leonardo C. Pacheco-Londoño Rivera , and Samuel P. Hernández-Rivera Abstract A comparison between a LaserScan quantum cascade laser system coupled to grazing angle probe (QCL-GAP) optical mount and a Mini-QCL operating at the grazing angle of incidence (Mini-QCL-GA) for the detection of the high explosive (HE) formulation C-4 is reported. The optical arrangement in both systems enables reflection–absorption infrared spectroscopy (RAIRS), considered the most sensitive infrared spectroscopy (IRS) technique. The difference in detection is mainly due to the doubled pass effect in the QCL-GAP versus the single pass in the Mini-QCL-GA. C-4 samples deposited on aluminum (Al) substrates using inkjet printers were used as standards and samples. Multivariate analysis (MVA) routines were used to detect and classify the explosive formulation traces, allowing to obtain precise results. Partial least squares (PLS) regression models using several preprocessing steps assisted in the samples’ quantitative analysis.

18.1 Introduction The development of techniques for detecting high explosives (HE) and homemade explosives (HME) is a top priority for national defense and security agencies. V. Villanueva-López · A. M. Colón-Mercado · K. M. Vázquez-Vélez · J. R. Castro-Suarez (B) · S. P. Hernández-Rivera University of Puerto Rico, Mayagüez, PR 00680, USA V. Villanueva-López · A. M. Colón-Mercado · K. M. Vázquez-Vélez · S. P. Hernández-Rivera ALERT DHS Center of Excellence for Explosives Research, Mayagüez, PR 00680, USA J. R. Castro-Suarez Universidad del Sinú, Cartagena, Colombia L. C. P.-L. Rivera Universidad del Simón Bolívar, Barranquilla, Colombia © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_18

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Terrorist attacks are a constant and present threat to airports, government installations, and crowded places. Detecting traces of HE on luggage, clothing, and personal belongings exhibit different challenges. Conditions such as projecting cost, screening time, screening personnel, cognitive load, and detector placement make the task difficult. Portal systems in airports cost more than $160,000, and tabletop screening systems for carry-on baggage cost $65,000 or more, and several units of each are required at each checkpoint. Alternatives have been developed to collect chemical samples using a handheld vacuum “wand” and test objects handled by the individual, but these solutions are not ideal [1]. Various methods to detect and identify HE residues traces are in constant development. High-performance liquid chromatography (HPLC), ultraviolet–visible (UV– Vis) spectroscopy, thin-layer chromatography (TLC), gas chromatography (GC), and mass spectrometry coupled to GC (GC–MS) are characterized by robustness and low detection limits (DL) [2]. However, all these techniques have limitations. HPLC, UV–Vis spectroscopy, thin-layer chromatography, mass spectrometry, and gas chromatography require sample preparation and consume large amounts of time. Infrared spectroscopy (IRS) and Raman scattering (RS) constitute the two main vibrational spectroscopy branches. Near-infrared (NIR) and mid-infrared (MIR) are nondestructive, noninvasive techniques that require minimal sample preparation and spectral collection time [3]. These methods allow studying solids, crystals, fibers, powders, liquid solutions, and gases [4]. MIR Fourier-transform infrared (FTIR) spectroscopy can be used outside the confinement of sample compartment enabling fieldwork [5]. On the other hand, Raman spectroscopy (RS) requires minimum manipulation of samples and reduces fluorescence using a 785 or 1064 nm excitation wavelength, enhancing the signal-to-noise ratio [6–8]. Investigators have improved the capacities of several of the mentioned techniques by hyphenating several of these techniques. FTIR was operating in the MIR at grazing angle coupled with fiber optics resulted in the development of portable handheld systems with high sensitivity capable of measuring in low surface concentrations of residues of organic compounds on reflective surfaces outside the typical sample compartments. Incorporating MIR fiber optic probes coupled with MVA routines enabled detection and quantification of HEs and HMEs in situ [9–11]. NIR systems have low sensitivity, low absorption coefficient, high limits of detections, and require multivariate calibration models. Fourier-transform infrared spectroscopy (FTIR) has a spatially incoherent source that causes a significant problem in achieving high-resolution image acquisition [12, 13]. Also, sample, position long iteration times, light scattering, and absorption have shown a reduction of efficiency of the methods developed using this technique. A significant drawback of RS is its inherently low sensitivity since the Raman effect is a weak phenomenon and can lead to the samples’ thermal decomposition due to the high excitation laser power required [14]. Hence, a fast sample identification technique, non-intrusive collection, and low DL at long distances at trace or near-trace levels on a substrate at long distances is still a need. Approximately 60 years ago, a new generation of tunable lasers was invented [15–17]. Quantum cascade lasers (QCLs) have slowly evolved and can be used

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to contribute to solving the problem described. A QCL is a unipolar semiconductor injection laser based on sub-interband transitions in a multiple-quantum-well heterostructure [18]. Advantages such as production from tens to hundreds of milliwatts of continuous or pulsed power under ambient conditions and enabling the development of ruggedized systems to detect chemical threats make QCLs better than other lasers in many other applications. Quantum cascade laser size enables the instrument to be easily handled and portable, while its augmented output power allows detection from long distances. Furthermore, it has high output power and a long lifetime due to progress in recent technologies [19, 20]. In our laboratories, a novel advance was made by coupling the quantum cascade laser to a grazing angle (82°) probe. This arrangement enabled the sensitive technique of reflection–absorption infrared reflectance spectroscopy (RAIR) to achieve lower DL values due to the double pass reflection–absorption enhancement. This study aimed to compare two QCL systems with grazing angle incidence. IRS coupled to a grazing angle optical mount (80°, with respect to the surface normal) is one of the most sensitive IRS techniques that can be used for chemical analysis since it allows the reflection–absorption infrared reflectance spectroscopy (RAIRS) measurements of thin films accurately and precisely and can be applied in the analysis of HE/HEM residues on substrates. Applying MVA routines to QCL reflectance measurements led to the enhancement in identification, classification, and discrimination of HE/HME [2]. In this contribution, partial least squares (PLS) regression analysis was employed. PLS predicts a variable called response (Y ) using more efficient variables called predictors (X), allowing predicting the response while explaining variances between samples and variables [21, 22].

18.2 Materials and Methods 18.2.1 Reagents Deposits of C-4 on a selected substrate were used as the target sample to compare the two MIR laser spectroscopy optical setups’ detection capabilities. The essential military explosive formulation is composed of RDX (91%), dioctyl sebacate (5.3%), polyisobutylene (2.1%), and mineral/motor oil (1.6%) [23].

18.2.2 Sample Preparation Samples for the analysis were obtained from the Applied Physics Laboratory, Johns Hopkins University (Laurel, MD). Substrates consisted of highly polished reflective Al (1 × 1 ). The appearance of the deposition of C-4 is illustrated in the micrographs shown in Fig. 18.1. Concentrations of C-4 ranged from 0.1 to 10 μg/cm2 (Table 18.1).

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P2-OTD-L3-0017

P2-OTD-L3-0023

P2-OTD-L3-0074

Fig. 18.1 White-light micrographs of aluminum substrates loaded with C4 used for the spectral acquisitions with GCL GAP and Mini-QCL at GA

Table 18.1 APL-JHU C-4 sample specifications

Serial #

Substrate material Nominal surface concentration (μg/cm2 )

P2-OTD-L3-0017 Brushed Al

10.0

P2-OTD-L3-0023 Brushed Al

1.0

P2-OTD-L3-0074 Brushed Al

0.1

18.2.3 Instrumentation Two optical mounts that enabled RAIRS measurements, as shown in Fig. 18.2, were used to assess the samples at the surface level. This technique enables surface analysis detection at low-concentration traces. Each optical mount had different commercial QCL systems (Block Engineering, Southborough, MA, USA). For the single-path RAIRS system, optical mount (Fig. 18.2a), a Mini-QCL™, (BE) served as a source of infrared of MIR light. This system was operated in pulsed mode at a repetition rate of 150 kHz and pulse width of 500 ns. The spectral range of analysis was from 930 to 1375 cm−1 . A mercury-cadmium-telluride (MCT) detector (PVI-4TE-10.6; VIGO Systems; Boston Electronics, Brookline, MA, USA) was used to measure the light received by converting the pulses from the QCL into an electrical signal. A LabVIEW™ (NI, National Instruments Corp., Austin, TX, USA)-based interface developed by members of the research team was used for

a

b

Fig. 18.2 Optical mounts: a single-path optical mount with Mini-QCL™ system, b double-path optical mount with LaserScan™ system

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signal acquisition, processing, and saving of the spectroscopy data [24]. The optical mount had two adjustable mirrors, which allowed setting the laser incidence at the grazing angle (~82°) and optimized the second to collect most of the reflected light from the sample. For the double pass mount shown in Fig. 18.2b, a QCL laser spectrometer (LaserScan™, BE) operating in the spectral range of 833–1438 cm−1 served as the MIR source. The spectrometer was equipped with an Internal thermoelectrically cooled MCT detector. This optical GA mount allowed collecting the spectroscopic data in back reflection after a double pass assessment of the sample. Two 2 × 2 gold mirrors shown were placed as illustrated in Fig. 18.2b. The angle of incidence for these experimental measurements was also 82° by adjusting the first mirror. The second mirror reflected the laser beam that previously examined the sample to increase the probability of detection. A thermal imaging technique was used to capture the increment in the aluminum substrate’s temperature due to the incident laser beam (Fig. 18.3). These images were obtained using an MSX thermal camera (FLIR Wilsonville, Oregon, US) and helped to determine the sampling area in both GA probes. For System 1, the pulse repetition frequency was adjusted to 5 MHz and 50 ns to prolong the hot-spot on the substrate and allow the thermal camera to capture this effect. QCLs output power depends on wavenumber; therefore, the internal grating was configured to emit light pulses at 1234 cm−1 to maximize the increment in the substrate temperature and visualize the laser spot. For System 2, the laser was configured to emit pulses at 1298 cm−1 . ImageJ software was used to measure the hotspot size from the thermal images. For System 1, the area corresponds to 0.71 cm2 , and for System 2, 3.81 cm2 . These differences are associated with optical mirrors. In System 1, the optical mount had concave mirrors that collimated the laser beam to a reduced elliptical spot. However, System 2 had gold-coated plane mirrors that produce a broad elliptical spot covering a large analysis area.

Fig. 18.3 Thermal images of the aluminum substrate exposed to the laser beam

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18.3 Results and Discussion 18.3.1 Spectral Profile C-4 is a plastic explosive, and together with Semtex, they constitute the most common plastic explosives formulations. The composition of these plastic explosives is given by a plastic binder, plasticizer, and one or more HE. Unlike Semtex that uses RDX and PETN as explosive ingredients, C-4 uses only RDX as an explosive agent, containing 91% RDX. For this reason, it is imperative to analyze the spectral profile of RDX in various matrices. RDX is used as a target substance to determine if an unknown is explosive or not. Figure 18.4 shows the RDX spectrum using different experimental setups. The spectra were recorded using FTIR (KBr pellet), QCL-LaserScan™ in black reflection mode (∼ = 0°), System 1, and System 2 described earlier. The FTIR spectrum is shown as a reference to identify the MIR vibrational bands of RDX obtained with QCL-LaserScan (QCL-LSc) and after depositing on metal substrates. The QCL-LSc spectrum refers to neat RDX, and the QCL-System 1 and QCL-System 2 spectra refer to RDX in C-4. The spectra are shown in the spectral region of 1100–1400 cm−1 , where the explosive’s nitro group vibrations occur. Figure 18.4 shows characteristic vibrational signals from RDX evidence of the Al substrate’s reflective nature (System 1 and System 2). Some of the vibrational bands that were tentatively assigned to RDX were 1220 cm−1 (–C–N stretch), 1261 cm−1 (–NO2 stretch), 1310 cm−1 (–N–N stretch), and 1370 cm−1 (–NO2 stretch) [25, 26]. Characterization of C-4 Using Raman Spectroscopy (RS) Raman microspectroscopy offers a higher spectral and spatial resolution, with the capability of focusing on particles and structures on the micron to sub-micron scale. Fig. 18.4 Normalized spectra of C-4 deposited on Al substrate: a Mini-QCL; b QCL-GAP

1.2

Intensity (u.a.)

1 0.8 0.6 0.4 0.2 0 1100

FTIR QCL LSc Ref System 1 System 2

1150

1200

1250

Wavenumber (cm-1)

1300

1350

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Fig. 18.5 Raman spectra of C-4 crystals deposited on Al substrate for a C-4, 11.096 μg/cm2 and b C-4, 0.107 μg/cm2 . RS spectra of neat RDX and the clean Al substrate are also included

In this study, to further characterize the C-4 crystals deposited on the Al substrates, a spectrum measured at the center of the samples was obtained. The technique was employed to confirm the presence of the HE. Micrographs indicating the area where the spectra were collected are presented in Fig. 18.5a for the highest and lowest surface concentrations, shown in Fig. 18.5a, b, respectively. The C-4 formulation has two possible compositions with differences in the plasticizers: di-(2-ethylhexyl) sebacate or di-(2-ethylhexyl) adipate. Since the highest percentage of the nitramine RDX composition, a direct comparison between the C-4 sample and the RDX synthesized at our laboratory is provided. The vibrational signatures of explosives and formulations have been widely studied in the literature. Our characterization approach uses the identification of the main –NO2 signatures, which are found as (vs ) symmetric and (vas ) antisymmetric modes. Both nitramines, RDX and C-4, have characteristic bands found in 1309 cm−1 for RDX and 1310 cm−1 for C4 [27]. When analyzing the spectra, a significant overlap between the symmetric vs –NO2 of RDX and C-4 can be observed at 1306 and 1304 cm−1 , respectively. When the RDX spectrum is compared to the C-4 spectrum, bands between 1661 and 2778 cm−1 appear, corresponding to the binder material [27]. C–H and N–H stretching vibrations mainly characterize the mentioned region. Antisymmetric vibrations of –NO2 of both compounds are shown at 1536 cm−1 for RDX and 1527 cm−1 for C-4. The HE’s characterization using a complementary vibrational technique (RS) confirmed the detection using System 1 and System 2. Concentration Profiles The averaged normalized infrared spectra of C-4 collected for the three samples using System 1 and System 2 are shown in Fig. 18.6a, b, respectively. To provide a better representation of the vibrational signals, the spectra collected at the center of the sample were selected for the statistical analyses. The shapes and intensities of the vibrational bands of RDX present in the C-4 spectra were the main features employed by the PLS model to predict the concentration of the samples in the spectra. Implementing several preprocessing treatments to these spectra highlights the vibrational

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Fig. 18.6 Normalized spectra of C4 deposited on Al substrate. a System 1; b System 2

bands from the spectroscopic data making the PLS model more effective. Some of these pretreatments reduce the offset between spectra due to scattering, instrumental noise, and non-desired spectral artifacts not related to the sample’s chemical composition. We compared the signals and their intensities using both systems. Figure 18.6b shows the spectra for C-4 collected using System 2. The RAIRS phenomenon is more prominent for thin films deposited on substrates, and this behavior is more prominent at the lowest surface concentrations compared to the others. The vibrational signals in the 1200–1300 cm−1 range have an improved resolution in the region where –NO2 modes are present.

18.3.2 Partial Least Squares (PLS) Regression Analysis of Standards All spectra used in this analysis were transformed to –log(R/Ro ) to provide a quantification model using PLS regression based on Beer-Lambert-Bouger’s law. The PLS models correlate changes in the spectroscopic data with the concentration of the samples. Unscrambler® software X 2018 (CAMO Software, Oslo, Norway) version 10.5.1. was used to develop the PLS models. Several combinations of preprocessing methods were applied to the spectroscopic data to highlight the vibrational signatures of RDX from the spectra of C-4 and minimize the undesired physical effects associated with the sample chemical complexity, deposition method, and substrate roughness. For each preprocessing step combination, a PLS model was developed and evaluated using figures of merit of predictability. The PLS model transforms the data into a new spatial domain described by eigenvectors (principal components). The principal components explain trends in the data. The software split the data for calibration and prediction to optimize the parameters of the model. First, we investigated the model

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Fig. 18.7 Scores plot for C-4 on Al substrate of a Factor 2 versus Factor 1 for System 1 and b Factor 3 versus Factor 1 for System 2. Preprocessing steps applied were detrending and second derivative 15 (pts.) for System 1 and first derivative (15 pts.) followed by standard normal variate (SNV) for System 2. The dotted line represents the threshold for discrimination and 95% confidence level for each clustering

performance when applying preprocessing methods to the data. After careful evaluation, we choose detrending and first derivative 15 pts. for the data acquired in System 1 and Savitzky-Golay first derivative, 15 pts., and standard normal variate (SNV) for the spectra in System 2. Some of the methods included multiplicative scatter correction (MSC), a combination of the first and second derivatives, each with SNV and moving average. Evaluation of unprocessed raw data was also performed. The scores plot for both systems is shown in Fig. 18.7. These are the models that best describe the behavior of the data. The spectral range of 950–1374 cm−1 for both models and a total of 24 spectra were acquired at twelve established positions across the Al substrate. The PLS score plots provide a better understanding of the similarities and differences between the spectra. Each element in the score plot represents a spectrum. The first principal component explains the primary source of variation on the spectra. It can be noticed that, for both systems, the highest concentration of C-4 is located at the right in both scores plots, and it is well defined as a separate cluster. The clusters that correspond to the lowest concentrations tend to overlap due to the limit of detecting the challenging low concentration of C-4. Figure 18.8 shows the loading plots for both systems. The loadings explain the scores plot’s meaning representing the signals that provide the highest variation, allowing the separation between the classes. A direct comparison between the RDX spectrum using the same pretreatments process used for the models and the models’ signals is presented. The dotted regions in the plots represent the range between 1200 and 1350 cm−1 used to classify the C-4 concentrations in the PLS models (Fig. 18.9). The accuracies of the models were determined based on the results of the rootmean-square error of estimation (RMSEE), the root-mean-square error of calibration curves (RMSECV), and the coefficient of determination for the calibration curves

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Fig. 18.8 Loadings plot for PC-1 for C-4 on Al performed for data analysis in the range of 950– 1375 cm−1 . a Mini-QCL, b QCL-GAP

a

b

Fig. 18.9 PLS regression plots of the predicted versus measured surface concentrations for C-4 deposited on Al substrate: a System 1, b System 2. Spectral range, 950–1374 cm−1

(R2 CV). Each of the mentioned values is shown in Tables 18.2 and 18.3 for each of the systems. The evaluation criteria for the models’ performance are explained in terms of the predicted versus calibration curves (Table 18.4).

18.4 Conclusion This contribution presents two optical systems using MIR laser spectroscopy for classifying traces of C-4 explosives deposited on reflective Al plates. Optical setups using a QCL in each system were set to detect at the grazing angle of incidence with

18 Trace Detection of C-4 on Aluminum Using Mid-Infrared … Table 18.2 PLS parameters using the detrending + SG2 pretreatment for System 1

Table 18.3 PLS parameters using the SG1 + SNV pretreatment for System 2

237

PLS parameters

Value

Concentration range

(μg/cm2 )

0.107–11.096

Wavenumber range (cm−1 )

950–1374

Number of LVs

5

RMSEC

1.129

RMSECV

2.171

R2 CV

0.8067

PLS parameters

Value

Concentration range

(μg/cm2 )

0.107–11.096

Wavenumber range (cm−1 )

950–1374

Number of LVs

7

RMSEC

1.01

RMSECV

1.695

R2 CV

0.8623

Table 18.4 Processing, accuracy, and LV for System 1 and 2 QCL

Pre processing

RMECV

R2

LV

System 1

Detrending + SG2

2.172

0.8067

5

System 2

SG1 + SNV

1.695

0.8623

7

differences in the laser’s optical path on the sample plane. This study demonstrated the systems’ capability to detect the HEs at low concentrations when MVA routines are applied. The best performing PLS regression was used to generate models that evidence the analyte’s presence on the surfaces while comparing the expected concentration to the experimental using the acquired spectra. Differences in the sampling area in both systems were associated with the characteristics of the mirrors used to steer the MIR laser beam. System 2 had a large sampling area due to the usage of flat mirrors. System 1, on the other hand, had a smaller sampling area because concave mirrors were used to collimate the laser beam to a single spot. These differences make System 1 ideal for point detection and System 2 for large area screening and spatial averaging of samples. In general, the potential of QCL spectrometers coupled to MVA routines for developing screening methodologies for HE detection was demonstrated. The methodologies developed are not limited to reflective surfaces. The routines allow the user to identify and remove interferences due to scattering, particle size, surface IR signals, and any effects that produce signals not related to the analyte. Therefore, the combination of PLS regression models with spectral data acquired in the analysis serves as a pipeline to enrich the detection of traces of a given threat or surface contaminant.

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18. Castro-Suarez, J.R., Hidalgo-Santiago, M., Hernández-Rivera, S.P.: Detection of highly energetic materials on non-reflective substrates using quantum cascade laser spectroscopy. Appl. Spectrosc. 69, 1023–1035 (2015). https://doi.org/10.1366/14-07626 19. Castro-Suarez, J.R., Pollock, Y.S., Hernandez-Rivera, S.P.: Explosives detection using quantum cascade laser spectroscopy. In: Fountain, A.W. (ed.) Chemical, Biological, Radiological, Nuclear, and Explosives (CBRNE) Sensing XIV. Proceedings of SPIE, vol. 8710 (2013) 20. Pacheco-Lodoño, L., Aparicio-Bolaño, J., Galán-Freyle, N., Román-Ospino, A., RuizCaballero, J., Hernández-Rivera, S.: Classical least squares-assisted MIR laser spectroscopy detection of high explosives on fabrics. Appl. Spectrosc. 73, 17–29 (2018). https://doi.org/10. 1177/0003702818780414 21. Ortega-Zuñiga, C., Reyes-Maldonado, K., Méndez, R., Romañach, R.J.: Study of near infrared chemometric models with low heterogeneity films: the role of optical sampling and spectral preprocessing on partial least squares errors. J. Near Infrared Spectrosc. 25, 103–115 (2017). https://doi.org/10.1177/0967033516686653 22. Figueroa-Navedo, A.M., Galán-Freyle, N.J., Pacheco-Londoño, L.C., Hernández-Rivera, S.P.: Chemometrics-enhanced laser-induced thermal emission detection of PETN and other explosives on various substrates. J. Chemom. 29, 329–337 (2015). https://doi.org/10.1002/cem. 2704 23. Chong, S., Long, B., Maddry, J.K., Bebarta, V.S., Ng, P.C.: Acute C4 ingestion and toxicity: presentation and management. Cureus 12 (2020). https://doi.org/10.7759/cureus.7294 24. Villanueva-López, V., Pacheco-Londoño, L., Haibach, F., Hernández-Rivera, S.: LabVIEW based virtual instrument system for mid infrared laser spectroscopy measurements. J. Instrum. Accepted for Publication (2021) 25. Karpowicz, R.J., Brill, T.B.: Comparison of the molecular structure of hexahydro-1,3,5-trinitros-triazine in the vapor, solution, and solid phases. J. Phys. Chem. 88, 348–352 (1984). https:// doi.org/10.1021/j150647a005 26. Prasad, R., Prasad, R., Bhar, G., Thakur, S.: Photoacoustic spectra and modes of vibration of TNT and RDX at CO2 laser wavelengths. Spectrochim. Acta Part A Mol. Biomol. Spectrosc. 58, 3093–3102 (2002). https://doi.org/10.1016/S1386-1425(02)00071-9 27. Lewis, I.R., Daniel, N.W., Griffiths, P.R.: Interpretation of Raman spectra of nitro-containing explosive materials. Part I: group frequency and structural class membership. Appl. Spectrosc. 51, 1854–1867 (1997). https://doi.org/10.1366/0003702971939686

Chapter 19

Nanomaterials, Energy Devices and Defense: Metal Oxides and Supercapacitors Izabella Helena Werneck Soares Rezende , Felipe Silva Semaan , Luiz Eduardo Pizarro Borges , and Robson Pacheco Pereira Abstract The present work is an approach to the use of nanomaterials and energy storage and conversion devices—mainly supercapacitors—for the Defense area, aiming to describe, in its more general scope, aspects related to the concepts, tools and methods of nanotechnology related to such devices and their application. In particular, the development of nanomaterials (especially metal oxides and their nanocomposites), which are optimized and applied in devices according to their functionalities, has been pointed out as one of the most promising tools improvement of energy devices, focusing on the area of Defense.

19.1 Introductions 19.1.1 Defense and Nanotechnology Among the areas considered strategic in a national and international geopolitical scenario, Defense technologies area has prominence and relevance without comparison, due to the complexity and extent of its relations and implications with all levels of society, including international relations. National Defense is characterized as “the actions of the State, with emphasis on military expression, for the territory Defense, sovereignty and national interests against predominantly external threats, potential or manifest” and has, as some of its objectives, the guarantee of sovereignty and national integrity; the Defense of national interests and people, goods and resources;

I. H. W. S. Rezende · L. E. P. Borges · R. P. Pereira (B) Instituto Militar de Engenharia—IME/RJ, Praça Gen. Tibúrcio, 80, Urca, Rio de Janeiro, RJ, Brazil e-mail: [email protected] F. S. Semaan Instituto de Química, Universidade Federal Fluminense—UFF, Campus Valonguinho, Niterói, RJ, Brazil © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_19

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as well as contributing to the maintenance of international peace and security, among others. The current international geopolitical panorama is defined by uncertainty, in which it is possible to identify, in certain cases, trends and general scenarios, but not to accurately predict events. Considering the need for a posture that guarantees the ability to deal with unforeseen issues, a strategy must be established that is capable of adapting to unexpected events and circumstances outside of previous planning. This strategy must also be sufficient to guarantee national sovereignty in the face of new events. Chemistry and its technologies have a close relationship with the Defense area, in the identification of chemical and biological agents with offensive potential, in the manufacture of explosives and war devices, in the production of armor materials, or even in the analysis and control of materials used by the armed forces. Particularly, great interest has been shown in scientific articles on the development of sensors for detecting explosives based on nanostructured materials. Another approach includes the collection of air samples containing the substances to be determined (using a cyclone-type condensation equipment) for subsequent quantification by electrochemical techniques [1]. Also, the development of materials and devices for the energy area can be highlighted. In particular, the investments in fuel cells, capacitors, supercapacitors and photovoltaic cells are presented as a strategic interest in Brazil, being subject of research institutes and networks. The development of energy conversion devices, in addition to the necessity of the energy economy sector in general, is also an important strategic aspect for the Defense area, considering the possibility of energy units in remote locations to supply troops and the use of portable (or vehicular) units for their displacement. As mentioned, nanotechnology has been presented as an indispensable tool in the development of new materials and devices for different applications, in the most diverse fields of action, in particular to meet the demands of the Defense area [2].

19.1.2 Nanomaterials and Devices The term nanomaterial is generally used to designate a material in which there is some structural order (spatial organization) of units up to a few hundred nanometers. However, many researchers understand this spatial limit as only one of the relevant aspects to understand such materials. A more comprehensive approach includes the relationship between the functionality of organized nanostructures and their size, which is the most relevant aspect for the applications of these materials. More directly, nanomaterials are systems in which there are functional nanostructures which can be used in technological applications. Aiming application of nanoparticles as functional materials in devices and systems in general, a number of requirements must be considered, especially regarding the synthesis method and its influence on structure and properties [3]. Additionally,

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among a wide variety of materials used in the fabrication of systems and devices, nanomaterials (both nanostructured solids and nanoparticles) have shown, in general, optimized properties compared to conventional bulk materials [4, 5]. Among the different areas of technological interest related to Defense, the efforts in energy are gaining more attention from researchers, mainly in energy conversion and storage devices. These devices, sometimes referred to in the literature as power generation devices, play a vital role in creating systems with scalability of power, voltage and current [6]. Capacitors, batteries, fuel cells and supercapacitors are some of the most common examples that make up the conversion devices and energy storage. These devices have several applications such as: smart grids, transport, smart filtering systems, vehicle systems, home appliances, electronic products, solar panels; among others [7]. Nevertheless, these devices still have different shortcomings, such as maintaining energy density, efficiency in a wide temperature range and preservation of power density. In order to overcome these deficiencies, new materials have been widely studied, especially those capable of combining to be energetically efficient and environmentally friendly [8]. Among other advantages, the use of energy conversion devices based on nanomaterials will allow a significant change in which energy is distributed and utilized.

19.2 Supercapacitors Among the most studied energy conversion and storage devices in the last decade, supercapacitors are a promising technology that combines the power characteristics of a capacitor and the specific energy of a battery [9]. In particular, supercapacitors have been studied and implemented in Defense applications [10]. The efficiency of a supercapacitor is a direct consequence of the materials used in its fabrication, as they determine the surface area, conductivity and general resistance of each component and, therefore, the efficiency of the device. Therefore, it is of great interest to develop materials that mainly combine high capacitance (to improve the charge and discharge cycle of the device), long durability and fast charge and discharge kinetics with low-material cost [11, 12]. Several studies show that different materials combinations, such as metallic oxides, porous carbon-based matrices and intrinsically conducting polymers can increase the performance of a supercapacitor [8, 13]. These composite materials have interesting properties, such as different oxidation states, low toxicity, high power, high capacitance, increased load storage efficiency and long-life cycle [11, 14].

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Fig. 19.1 Simple scheme representing a general capacitor device; a anode, b electrolyte and c cathode

19.2.1 Supercapacitor Design and Components A supercapacitor is an electrochemical device composed of a battery-type electrode as anode and a capacitor-type electrode as cathode [15, 16]. One of the most relevant characteristics of this device is its larger surface area, compared to independent systems such as batteries and capacitors, resulting in a more efficient charge storage and conversion [17]. A schematic representation of such device is shown in Fig. 19.1. Supercapacitors possess advantages over other energy conversion and storage devices, such as greater current stability, absence of cooling requirements, high voltage and capacitance. In addition, they have a high-energy density, longer life cycles, lower-internal resistance and a wide range of working temperatures [18]. Supercapacitors are classified in two categories according to the energy storage and conversion mechanism. They can be classified as double-layer electrochemical capacitors (EDLCs) and pseudocapacitors, according to the charge storage mechanism and the material used in the electrodes [18, 19]. The main difference between these classifications is that EDLCs have non-faradaic electrochemical processes and pseudocapacitors have faradaic electrochemical processes [6, 11, 20]. In order to produce a supercapacitor with optimized properties, it is necessary it has a high-potential interval between the cathode and the anode, as this will provide a higher-energy density. Therefore, the proper combination of cathode and anode is extremely important for the manufacture of a supercapacitor with a high-energy density [21]. For this reason, several nanostructured carbon materials, conductive polymers and metal oxides are being implemented to manufacture the most diverse types of supercapacitors [22]. In an attempt to optimize supercapacitors characteristics, metal oxides, intrinsically conducting polymers and carbon-based matrices, they tend to provide improvements to the system when implemented simultaneously. This is possible, because each of the implemented components manages to keep its chemical nature, its crystalline structure, its physical and electrochemical properties unchanged [20]. The use of metal oxides in such devices is becoming more frequent, since they can present several oxidation states. For this reason, they have several structures that directly contribute to cargo storage and have fast and efficient oxide-reduction reactions. In addition, the implementation of metal oxides provides improvements in the final characteristics of these devices [23]. Metal oxides with different oxidation state, such as molybdenum oxide and bismuth oxide, for example, have properties suitable for application as material in

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supercapacitor electrodes, while nanoparticles of these oxides are able to act as “electronic nanowires” resulting in improvement in electron transfer between the active centers and the electrodes. This property, in particular, influences the electrochemical reactions and, consequently, the optimization of the device’s capacitance [23–25]. The number of publications describing the synthesis of nanomaterials has been growing in recent years due to the interest in its implementation in several areas and the improvement caused in the implemented systems [26, 27]. It is possible to note that metal oxides are commonly used as a support or active material for electrocatalysts in the construction of electrodes, in conductive materials, catalytic processes and electrochemical systems [22, 28]. These oxides can be synthesized in different ways, such as single crystals, polycrystalline or non-crystalline particles, and the determinant of their shape and size being the purpose in the system that will be implemented. Each oxide has specific properties (electrical, optical, magnetic, among others) that when combined, enable the effectiveness of these materials in various technologies, mainly in the area of energy storage and conversion [22, 28]. Metal oxide nanoparticles have distinct properties when compared to chemically similar monocrystalline materials, so they are used as a “filler” for various systems. Its characteristics are directly related to its high-specific surface area, therefore, when properly implemented, they provide significant changes in the system in which they are employed [29]. Different nanocomposites and their production methods have been described in the literature, such as the chemical precipitation of metal oxides and a carbon-based matrix [30]; in situ formation of iron oxide (Fe2 O3 ) nanoparticles in nanotubes and carbon sheets suspensions, mediated by ultrasound [31]; syntheses using autoclave [32]; acidic functionalization of carbon matrices, followed by deposition of MnFe2 O4 [33], among several other studies. Each of these works aimed to make a contribution to the synthesis method, the properties of the materials obtained or even, the efficiency of these materials when applied to supercapacitors. According to some authors, the key point for the development of high-efficiency supercapacitors is the design and preparation of the electrodes that make up the anode and cathode with materials optimized so that they can achieve a differentiated electrochemical performance. For this reason, the use of metal oxide nanoparticles has been gaining attention in the scientific world, in particular, oxides with lamellar structure that provides easy access of intercalating ions and storage of a large amount of ions in its network [16, 34].

19.3 Final Remarks The development of nanomaterials has shown sensitive impacts in several areas that directly impact technologies applied to Defense and, in particular, materials for energy conversion and storage. Obtaining these nanomaterials and their application

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in devices has leveraged a significant advance in Defense technologies and, despite this, there is still much to be achieved and optimized. The supercapacitor is a promising technology due to its high-specific power (characteristic of the capacitor) combined to a high-specific energy (characteristic of the battery). Such devices would have application in countless situations, mainly in the replacement of batteries in electric cars and other electrical systems. However, current technology still has some important shortcomings, such as low efficiency over wider temperature ranges, preserving power density and maintaining energy density. In order to achieve commercial viability, new materials are being developed and optimized, due to the close relation between such materials and the device efficiency. In particular, the implementation of metal oxides, intrinsically conducting polymers and carbon-based matrices are pointed as the most promising materials for a next generation of efficient and commercially viable supercapacitors. Acknowledgements Authors would like to thank CNPq for fellowships and FAPERJ for partial support of this work.

References 1. Kumar, V.V., Gayathri, K., Anthony, S.P.: Synthesis of α-MoO3 nanoplates using organic aliphatic acids and investigation of sunlight enhanced photodegradation of organic dyes. Mater. Res. Bull. 76, 147–154 (2016) 2. Amaral, T.B.S., Soares, I.H.W., Semaan, F.S., Pereira, R.P.: Nanomateriais e dispositivos para a área Defesa. RISTI E18, 409–420 (2019) 3. Werneck, I.H.S.R., Assis, M.B.S., Pereira, R.P.: Molybdenum oxide micro- and nanorods: structure and thermal properties dependent on perturbation during synthesis. Mater. Res. Express 5(105009), 1–16 (2018) 4. Chen, C., Fan, Y., Gu, J., Wu, L., Passerini, S., Mais, L.: One-dimensional nanomaterials for energy storage. J. Phys. D Appl. Phys. 51(11), 113002 (2018) 5. Assis, M.B.S., Werneck, I.H.S.R., Moraes, G.N., Semaan, F.S., Pereira, R.P.: Citrate-capped iron oxide nanoparticles: ultrasound-assisted synthesis, structure and thermal properties. Mater. Res. Express 6(045064), 1–13 (2019) 6. Jagadale, A., Zhou, R., Dubal, D.P., Xu, J., Yang, S.: Lithium ion capacitors (LICs): development of the materials. Energy Storage Mater. 19, 314–329 (2019) 7. Nobile, L., Nobile, S.: Recent advances of nanotechnology in medicine and engineering. Am. Inst. Phys. 020058, 1–4 (2016) 8. Oca, L., Guillet, N., Tessard, R., Iraola, U.: Lithium-ion capacitor safety assessment under electrical abuse tests based on ultrasound characterization and cell opening. J. Energy Storage 23, 29–36 (2019) 9. Ho, M.Y., Khiew, P.S., Isa, D., Tan, T.K.: A review of metal oxide composite electrode materials for electrochemical capacitors. Nano Brief Rep. Rev. 9(6), 1430002 (2014) 10. Chen, D., Wang, Q., Wang, R., Shen, G.: Ternary oxide nanostructured materials for supercapacitors: a review. J. Mater. Chem. A 3, 10158–10173 (2015) 11. Parnell, C.M., Chhetri, B.P., Mitchell, T.B., Watanabe, F., Kannarpady, G., RanguMagar, A.B., Zhou, H., Alghazali, K.M., Biris, A.S., Ghosh, A.: Simultaneous electrochemical deposition of cobalt complex and poly(pyrrole) thin films for supercapacitor electrodes. Sci. Rep. 9, 5650 (2019)

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12. Hamnett, P.A.C.: Techniques and Mechanisms in Electrochemistry, 2nd edn. Black Academic & Professional, London (1994) 13. Wang, F., Liu, Z., Mo, J., Li, C., Fu, L., Zhu, Y., Wu, X., Wu, Y.: A quasi-solid-state Li-ion capacitor with high energy density based on Li3 VO4 /carbon nanofibers and electrochemicallyexfoliated graphene sheets. J. Mater. Chem. A 5, 14922–14929 (2017) 14. Zhang, H.J., Wang, Y.K., Kong, L.B.: A facile strategy for the synthesis of three-dimensional heterostructure self-assembled MoSe2 nanosheets and its application as an anode for highenergy lithium-ion hybrid capacitors. Nanoscale 11, 7263–7276 (2019) 15. Yu, P., Cao, G., Yi, S., Zhang, X., Li, C., Sun, X., Wang, K., Ma, Y.: Binder-free 2D titanium carbide (MXene)/carbon nanotube composites for high-performance lithium-ion capacitors. Nanoscale 10, 5906–5913 (2018) 16. Liu, W., Li, J., Rasenthiram, L., Feng, K., Liu, Y., Lim, L., Lui, G., Tijandra, R., Chiu, G., Yu, A.: Advanced Li-ion hybrid supercapacitors based on 3D graphene-foam composites. Appl. Mater. Interfaces 8(39), 25941–25953 (2016) 17. Zuo, W., Li, R., Zhou, C., Li, Y., Xia, J., Liu, J.: Battery-supercapacitor hybrid devices: recent progress and future prospects. Adv. Sci. News 1600539, 1–21 (2017) 18. Mombeshora, E.T., Nyamori, V.O.: A review on the use of carbon nanostructured materials in electrochemical capacitors. Int. J. Energy Res. 39, 1955–1980 (2015) 19. Brousse, T., Bélanger, D., Long, J.W.: To be or not to be pseudocapacitive? J. Electrochem. Soc. 165(5), A5185–A5189 (2015) 20. Dubal, D.P., Ayyad, O., Ruiz, V., Gómez-Romero, P.: Hybrid energy storage: the merging of battery and supercapacitor chemistries. R. Soc. Chem. 44, 1777–1790 (2015) 21. Li, B.L., Zheng, J., Zhang, H., Jin, L., Yang, D., Lv, H., Shen, C., Shellikeri, A., Zheng, Y., Gong, R., Zheng, J.P., Zhang, C.: Electrode materials, electrolytes, and challenges in nonaqueous lithium-ion capacitors. Adv. Mater. 30(17), 1705670 (2018) 22. Sk, M.M., Yue, C.Y., Ghosh, K., Jena, R.K.: Review on advances in porous nanostructured nickel oxides and their composite electrodes for high-performance supercapacitors. J. Power Sources 308, 121–140 (2016) 23. Marandi, F., Hashemi, L., Morsali, A., Krautscheid, H.: Sonochemical synthesis and characterization of three nano zinc(II) coordination polymers; precursors for preparation of zinc(II) oxide nanoparticles. Ultrason. Sonochem. 32, 86–94 (2016) 24. Luo, X., Morrin, A., Killard, A.J., Smyth, M.R.: Application of nanoparticles in electrochemical sensors and biosensors. Electroanalysis 18(4), 319–326 (2006) 25. Gopalsamy, K., Xu, Z., Zheng, B., Huang, T., Kou, L., Zhao, X., Gao, C.: Bismuth oxide nanotubes-graphene fiber-based flexible supercapacitors. R. Soc. Chem. 6, 8595–8600 (2014) 26. Ketenoglu, D., Spiekermann, G., Harder, M., Oz, E., Koz, C., Yagci, C.M., Yilmaz, E., Yin, Z., Sahli, C.J., Detlefs, B., Yavas, H.: X-ray Raman spectroscopy of lithium-ion battery electrolyte solutions in a flow cell. J. Synchrotron Radiat. 25, 1–6 (2018) 27. Mendes, T.M., Hotza, D., Repette, W.L.: Nanoparticles in cement based materials: a review. Rev. Adv. Mater. Sci. 40, 89–96 (2015) 28. Kefeni, K.K., Msagati, T.A.M., Mamba, B.B.: Ferrite nanoparticles: synthesis, characterization and applications in electronic device. Mater. Sci. Eng. B 215, 37–55 (2017) 29. Nowak, A., Szade, J., Talik, E., Zubko, M., Wasilkowski, D., Dulski, M., Blain, K., Mrozik, A., Peszke, J.: Physicochemical and antibacterial characterization of ionocity Ag/Cu powder nanoparticles. Mater. Charact. 117, 9–16 (2016) 30. Sayahi, H., Mohsenzadeh, F., Darabi, H.R., Aghapoor, K.: Facile and economical fabrication of magnetite/graphite nanocomposites for supercapacitor electrodes with significantly extended potential window. J. Alloys Compd. 778, 633–642 (2019) 31. Chen, S., Bao, P., Wang, G.: Synthesis of Fe2 O3 -CNY-graphene hybrid materials with an open three-dimensional nanostructure for high capacity lithium storage. Nano Energy 2(3), 425–434 (2013) 32. Xiong, P., Huang, H., Wang, X.: Design and synthesis of ternary cobalt ferrite/graphene/polyaniline hierarchical nanocomposites for high-performance supercapacitors. J. Power Sources 245, 937–946 (2014)

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Chapter 20

Cellulose Acetate/ABS Blends as Insulating Phases for 3D Printing of Carbon-Based Composite Sensors Pedro Henrique Oliveira Amorim , Fernando Quirino Oliveira, Henrique Cardoso dos Santos , Robson Pacheco Pereira , Rafael Machado Dornellas , and Felipe Silva Semaan Abstract This work aims to evaluate the use of cellulose acetate (CA) as a modifier for the acrylonitrile–butadiene–styrene/graphite (ABS/GR) composite electrode, intending the use of renewable sources in the manufacture of sustainable filaments for the direct FDM sensors construction. ABS/CA blends were prepared in different proportions by casting method, replacing pure ABS in the 65% w/w ABS/GR composite electrodes. The blends were characterized by FTIR and TGA/DTG. The modified ABS/CA/GR electrodes were evaluated for surface by AFM, and electrochemically by cyclic voltammetry (CV). FTIR and TGA/DTG curves showed satisfactory proportions, with emphasis on the proportions of 5 and 10% w/w, whose thermal decomposition profiles did not differ substantially from pure ABS, up to 10% w/w blends. The presence of CA in the electrode composition promoted an increase in the surface smoothing (lower roughness) due to the CA gelation effect on dissolution in acetone. The CV data interestingly demonstrated an increase in the electroactive area and heterogeneous electron transfer rate constant (k°), demonstrating that there was an improvement in the load transfer kinetics, with electrocatalysis evidence.

20.1 Introduction While trying to overcome limitations observed on the anodic potential regions, Adams proposed for the first time a new “dropping carbon electrode,” starting a brand new category of sensors currently known as composite electrodes [1, 2]. This material is very versatile, allows surface renewal by polishing, acts in a wide range of potential and pH, and has satisfactory chemical and mechanical resistance [3–5]. P. H. O. Amorim · F. Q. Oliveira · H. C. dos Santos · R. M. Dornellas · F. S. Semaan (B) Laboratório Peter Sorensen de Química Analítica, Instituto de Química, Universidade Federal Fluminense—UFF, Niterói, Brazil e-mail: [email protected] R. P. Pereira · F. S. Semaan Instituto Militar de Engenharia—IME, Rio de Janeiro, Brazil © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_20

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Carbon-based composites are obtained by dispersing conductive components in insulating phases, by different procedures [6]. In such context, the main carbonaceous phases used such as graphite, carbon black, graphene, and carbon nanotubes, among others, may alter or even degrade those properties found for the insulating phases used [7–11]. Aiming to overcome such drawbacks and to couple possibilities of use for some common thermoplastic polymers, such as acrylonitrile–butadiene–styrene (ABS), polylactic acid (PLA), and glycol-modified poly (ethylene terephthalate) (PETG), the development of carbon-based filaments for 3D printing by fusion deposition modeling (FDM) stands for a promising strategy for the sensors prototyping [12–15]. Keeping in mind the development of composite electrodes and the manufacture of conductive filaments that feed 3D printers with sustainable and biodegradability bias, the use of cellulosic compounds is promising because it gives such characteristics to the material [16–19]. Cellulose acetate (CA) is one of the most valuable cellulose derivatives, derived from the reaction of cellulose with acetic anhydride in the sulfuric acid medium. Due to its excellent mechanical activity and high surface activity, works well as membrane material, besides being cheap, easy to manufacture, non-toxic, and renewable [20]. Despite some reports in the literature on the use of CA in composite electrodes such as film [21, 22] or insulating phase [23], it had never been used as a bulk modifier for electrodes in 3D context. Herein, the present work aims to evaluate the use of cellulose acetate as a modifier for the ABS/Gr electrode, intending the use of renewable sources in the manufacture of sustainable filaments for the direct construction of sensors by 3D printing.

20.2 Materials and Methods 20.2.1 Materials and Blends Preparation The pelletized ABS used in blends with cellulose acetate was obtained from filaments used in 3D printing, supplied by 3DLab® from Brazil. Powdered cellulose acetate was supplied by Sigma-Aldrich® . All the reagents were of analytical grade (AG) and used as received without further purification. The blends were prepared according to Oliveira [24], dissolving ABS together with AC at room temperature acetone PA (casting) in the following proportions: 2.5, 5, 10, and 25% w/w. Such mixtures were stirred for approximately 48 h on a stirring table until total dissolution and homogenization of the components. After this step, each sample was poured onto a smooth glass surface for complete evaporation of the solvent and formation of the film. Then the samples were kept in an oven at 50 °C for 6 h.

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20.2.2 Composite Electrodes Preparing The composite electrodes were prepared with a proportion of graphite of 65% w/w, according to the reports of Trijueque and coworkers about electrical percolation in graphite composites, considering the characteristics of its components [25, 26]. For this step, the casting method was also adopted with acetone PA, according to Oliveira and coworkers [27]. ABS was then replaced by the prepared blends. Blends at 5, 10, and 25% w/w cellulose acetate in ABS were used, which generated ABS/graphite/cellulose acetate composite electrodes in the proportions of 1.75, 3.5, and 8.75% w/w cellulose acetate for each composite electrode. Such modified electrodes will hereinafter be called ABS/G/AC1, ABS/G/AC2, and ABS/G/AC3. The electrode body consists of 1.0 mL insulin syringes with an internal diameter of 4.5 mm; and the electrical contact between the composite and the potentiostat is established with a copper wire, reused from wiring for network interconnections.

20.2.3 Characterization Details Electrochemical measurements were performed in an Ivium CompactStat potentiostat/galvanostat (Ivium Technologies® , Netherlands) model B09118, coupled to a notebook and controlled by the Ivium Soft software. It was used in a three electrodes system, in which the composite electrodes acted as working electrodes; a handmade electrode from Ag|AgCl|KCl(sat) [28] as a reference electrode and a surgical steel needle as a counterelectrode. Measurements of atomic force microscopy (AFM) images were acquired from Nanosurf FlexAFM C3000 Controller (NanoSurfs® , Switzerland) with gold tips. The vibrational spectra in the infrared region were obtained using a Thermo Nicolet® model iS50 FTIR spectrophotometer, in the region between 4000 and 500 cm−1 . The analyses of the sprayed samples were made using the attenuated total reflectance (ATR) accessory with diamond crystal, with 34 scans per point. The thermal characterization was performed on a Shimadzu® thermogravimetric analyzer model TGA-60. Approximately 20.0 mg of sprayed sample of each composite was analyzed at a heating rate of 20 °C min−1 , between room temperature and 900 °C, under N2 atmosphere at 40 mL min−1 , on α-alumina sample support.

20.2.4 Measurement Details The electroactive area evaluation and the heterogeneous electron transfer rate constant (k°) were determined by CV measurements, in potassium (III) hexacyanoferrate 5.0 mmol L−1 in 0.5 mol L−1 potassium chloride medium. As voltammetric conditions, cyclic sweeps were performed in the potential range between −0.2 and

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0.8 V, with 10 mV potential increments, at the following sweep speeds: 10, 20, 30, 50, 75, and 100 mV s−1 , with 3 cycles per speed, for the calculations the Randles–Sevcik ratio was used, which among other variables, relates the peak current to the square root. In addition to the measurements for the determination of the electroactive area by voltammetry, measurements were made in a 1000 μmol L−1 dopamine solution in 0.1 mol L−1 perchloric acid (model molecule of electrochemical behavior) whose oxidation reaction is between 0.01 and 1.0 V, at 50 mV s−1 , with a potential increase of 5.0 mV.

20.3 Results and Discussions The spectra of pure species show bands characteristic of their respective functional groups. In the case of ABS, a low-intensity band at 2237 cm−1 referring to the nitrile group in the polymer chain, in addition to bands between 1602 and 1259 cm−1 , referring to the axial deformation of the aromatic ring CC, and between 900 and 675 cm−1 referring to axial deformations of CH also in an aromatic ring [29, 30]. In the case of cellulose acetate, a band was observed at 1735 cm−1 of a stretch at the C=O ester bond, at 1216 cm−1 for the stretch of the CCO acetate bond, and 1032 cm−1 for CO acetylated compounds. Besides, bands between 1432 and 1367 cm−1 , referring to the symmetrical and asymmetric deformation of CH2 , respectively, and 3480 cm−1 , referring to the stretching of the O–H bond, reduced by cellulose acetylation [31–33]. The blends have the same bands, with no evidence of chemical reaction between the components. It is observed a gradual disappearance of the bands related to nitrile and the bonds in the aromatic ring while the bands related to the acetylated groups increase, as the proportion of cellulose acetate in the mixture increases. On the other hand, when evaluating the ester carbonyl absorption band and the acetate group absorption band (Fig. 20.1a, b) shifting is observed from 1735 to 1709 cm−1 and from 1215 to 1221 cm−1 , respectively. Such displacements can represent miscibility between the polymers due to the specific interactions in this functional group [31, 33]. Such acetylated functional group incorporation is expected to improve the performance of sensors made with these blends [34]. Figure 20.1c, d presents the TG em DTG curves for blends and pure components, respectively. ABS has two stages of decomposition; the first and main loss of 87.5%, between 349 and 506 °C, can be related to the decomposition of the butadiene and styrene domain of the chain, which is more vulnerable to thermal degradation. While the second, 9.6%, between 506 and 689 °C may be related to the carbonization of the rest of the polymer chain [35]. Cellulose acetate, in turn, has three stages of decomposition: (1) the first, of about 6.5%, from room temperature to 68.2 °C suggests volatilization of waste in the chain or of adsorbed residual water; (2) the second stage, which represents the largest mass loss, of 81.0%, between 296 and 420 °C refers to the decomposition of the cellulose acetate main chain with loss of acetyl groups that may precede the volatilization of acetic acid, which can catalyze

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Fig. 20.1 FTIR spectra of pure components and ABS/AC blends in carbonyl group region (a); and acetate group region (b); c TG curves of blends and the pure components; and d DTG curves from this data

the decomposition of AC; (3) the third and last stage, of 10.5%, between 470 and 630 °C refers to the carbonization of products in ash [36–38]. The blends have intermediate thermal decomposition profiles between the pure components, with the superposition of mass losses in line with the expected behavior for physical mixtures. For all blends, two degradation steps can be observed, indicating that PPC and CAB degrade separately in the blends. It is observed that the presence of cellulose acetate decreases the thermal stability of ABS, a fact that must be treated with care in future perspectives of inserting such biopolymer in blends for the manufacture of filaments for 3D printing since the blender at 25% w/w of cellulose acetate in ABS significantly alters the thermal decomposition profile. Although such thermal decomposition events appear on TG curves at higher temperatures than those practiced in 3D printing regimes using ABS filament (between 220 and 240 °C), it must be considered that the tests were carried out in a controlled system, with an inert gas flow (N2 ) at a heating rate of 20 °C min−1 . Taking into account that in the printing process, the filaments are subjected to an extrusion regime, in which shear stresses are applied concomitantly with the increase in temperature, such degradation processes can occur to be accelerated and occur over the use of a 3D printer, which justifies the use of thermogravimetric analysis (TG) in such an extrapolated evaluation. By the thermal evaluation of the blends, the ABS/G/AC2 electrode must present a profile closer to ABS/G, compared to ABS/G/AC3, and as the gain in electroactive terms was not significant concerning both, if you choose to use the proportion of the ABS/G/AC2 electrode (blending 10% m/m of AC in ABS)

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in future applications, taking into account the use in filaments manufacturing of for 3D printing. About AFM data, roughness was calculated using the mean square root (RSM) of the deviations from the height profile from the midline for each measured AFM image, in a total of three images for each electrode surface electrode. For the ABS/G electrode, it was (0.409 ± 0.009) μm; for ABS/G/AC1, it was (0.065 ± 0.007) μm; for ABS/G/AC2, it was (0.059 ± 0.004) μm, and finally for ABS/G/AC3, it was (0.052 ± 0.006) μm. It is observed that the roughness decreases significantly when comparing the electrode of ABS and graphite with the others, falling more gently between the electrodes made with the blends. This effect can be explained by the gelation process of cellulose acetate when dissolved in acetone, which causes coverage and smoothing of the roughness due to the dispersion and occupation of the possible gaps or pores of the rough surface, thus reducing the roughness. Concerning to Randles–Sevcik [39] relationships, there is an improvement in the voltammetric profile for the electrodes prepared with the blends, compared to the ABS/graphite electrode was: The linear relationship observed between the anodic and cathodic peak currents of the mentioned equation in all cases shows that the redox process is governed by diffusion. Furthermore, the proximity between the slopes of the straight lines (in the module) suggests that the oxidation and reduction kinetics are quite adjusted, and the increase of such slopes with the proportion of acetate in the blend may indicate the action of the oxygenated groups available on the surface of the electrode, coming from cellulose acetate, in the sensitivity of the relationship between peak current and scanning speed. With the results obtained for Ep (the difference between the anodic and cathodic peak potentials) in the determination of the electroactive area, applying the Nicholson method it was possible to evaluate the heterogeneous electron transfer rate constant (k°) for the tested electrodes [40, 41]. The voltammograms obtained for each electrode are presented in Fig. 20.2. It is observed that with the increase in the amount of cellulose acetate in the blend, the voltammograms present a decrease in Ep, which may show an electrocatalytic action since this decrease is related to the decrease in the activation energy of the oxy-reduction process on the electrode surface, something that may be linked to the presence of acetate and hydroxyl groups along the cellulose acetate chain, providing oxygenated groups that corroborate the redox process. This observation agrees with the work of Seredych and coworkers and Park and coworkers, in which they reported on the fact that the presence of specific heteroatoms or functional groups in different types of carbon (with significantly improving the electrochemical performance of carbonaceous materials), with emphasis on the use of supercapacitors [42, 43]. The results for roughness, electroactive area, and k° are shown in Table 20.1. It is observed that the electroactive area increases with the proportion of cellulose acetate in the blend, as in the case of k°; however, the roughness does not follow this trend possibly due to the gelation process of cellulose acetate in acetone. It can be inferred from these results that the increase in the quantity/availability of active sites on the surface of the electrodes, demonstrated by the increase in the electroactive area, is due to the increased availability of oxygenated groups on the surface of the

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Fig. 20.2 Cyclic voltammograms in dopamine system for the ABS/AC/Gr 65% w/w electrode

Table 20.1 S1: data summary obtained by AFM, electroactive area measurement, and heterogeneous electronic transfer coefficient k 0 Sensors

Roughness (μm)

Electroactive area (cm2 )

k 0 (10–4 cm s−1 )

ABS/G

0.409 ± 0.009

0.061 ± 0.006

1.94 ± 0.61

ABS/G/AC1

0.065 ± 0.007

0.111 ± 0.009

7.22 ± 0.14

ABS/G/AC2

0.059 ± 0.004

0.136 ± 0.002

14.0 ± 0.37

ABS/G/AC3

0.052 ± 0.006

0.147 ± 0.006

15.1 ± 0.30

electrodes, and not due to the roughness, which in the case decreased by the gelling action that made the electrode surface smoother.

20.4 Conclusions This report presented the results related to obtaining ABS blends with cellulose acetate, because of the future inserts of biopolymers in the matrix used in 3D printing, and its use as a modifier for the ABS/graphite electrode 65% w/w. It was possible to verify that there was an interaction (but not reaction) between ABS and cellulose acetate through the differences in the infrared bands, and also that the presence of cellulose acetate decreases the thermal stability of ABS, according to the thermal analysis. It was also possible to verify the increase in the electroactive area and k° for the electrodes formed according to the addition of acetate to ABS, and that the roughness is not a differential factor for the gain of electroactivity,

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according to the AFM analyzes and voltammetric calculations, but the addition of oxygenated/acetylated groups in the composites. Therefore, it was notable that there was an improvement in the electrochemical behavior involving ABS electrodes with the addition of cellulose acetate, considering the gain of the electroactive area as well as the possibility of inserting a biodegradable and renewable component in the process of manufacturing filaments for 3D printing and bring both economic and ecological advantages, thus becoming a simple and promising line in the production of sensors.

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Part VIII

Health Informatics in Military Applications

Chapter 21

Stress Biomarkers Detection Using Non-invasive Methods for Textiles Integrated Sensors Development Cristina M. Cordas, M. João Nunes, Gabriel N. Valério, Alejandro Samhan-Arias, Ludwig Krippahl, José J. G. Moura, Gilda Santos, João P. Sousa, and Carlos Rouco Abstract Human emotions study through biomarkers is a recent field with high importance to all modern society. Imbalanced physiological parameters to external stimuli induce stress both physical as psychological that has been related to several diseases and discordant social behavior. This is particularly important for the military in order to attain better missions’ performance and the adjustment of operational conditions minimizing avoidable risks and undesirable post-operations psychological disorders. The current study is part of a project where civilian, military and business’ association researchers are united with the common goal to study and early detect stress biomarkers, through non-invasive methodologies (using sweat as target biological fluid), and able to operate in field with real-time monitoring and integrated in wearables. The military forces’ volunteers take part of a case-of-study that will allow making the proof-of-concept of the new proposed medical methodology. The current results were attained in the first phase of the project where sampling protocols and analytical techniques were optimized previously to a major sampling (with more individuals). From the attained results, it was possible to detect multiple potential stress biomarkers, including some already known (e.g. cortisol) in sweat and blood. C. M. Cordas (B) · M. João Nunes · G. N. Valério · J. J. G. Moura LAQV-REQUIMTE, Department of Chemistry, NOVA School of Science and Technology, Universidade Nova de Lisboa, Campus de Caparica, 2829-516 Caparica, Portugal e-mail: [email protected] A. Samhan-Arias Departamento de Bioquímica, Universidad Autónoma de Madrid e Instituto de Investigaciones Biomédicas ‘Alberto Sols’ (CSIC-UAM), C/Arturo Duperier 4, 28029 Madrid, Spain L. Krippahl NOVA LINCS, Departamento de Informática, Faculdade de Ciências e Tecnologia, Universidade NOVA de Lisboa, 2829-516 Caparica, Portugal G. Santos CITEVE, Centro Tecnológico das Indústrias Têxtil e do Vestuário de Portugal, Rua Fernando Mesquita, nº 2785, 4760-034 Vila Nova de Famalicão, Portugal J. P. Sousa · C. Rouco (B) CINAMIL, Academia Militar, Rua Gomes Freire, 1150-244 Lisboa, Portugal © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_21

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The correlation between results attained in both fluids seems promising to continue to a larger sampling with statistical relevance.

21.1 Introduction The human emotions’ study through detection of biomarkers is a recent research field. An emotion can be summarized as an individual’s physiological and physical reaction to external stimulation [1]. Physical and psychological imbalances may induce stress which has been related to physiological and psychological adverse effects. This field is, consequently, of great importance and transversal in the modern society and some studies have tried to correlate emotions and physical stress’ influence on the behavior and health of individuals [2]. Besides, its clear importance in medicine, high competition sports and social behavior, the emotions/stress control is also essential for military forces (and others such as fireman). In the case of military forces, currently, the majority of the operations differs from conventional war scenarios and includes diversity as stabilization/peace imposition operations, crisis fast responses, anti-terrorism actions, and civilians’ evacuation, amongst others. These operations are usually conducted in urban and high population density terrains, which are physically, psychologically and emotionally very exhausting, promoting an after-operation high percentage of individuals suffering from some kind of psychological disorder (in American Report about Marine Actions in Beirut and Grozny, U.S. Army, 2009). The control of the physical and emotional stress of military is of great interest in order to successfully accomplish their missions, maintaining the troops moral, avoid bilateral undesirable casualties and maintain the health of the operational. The results presented in the current manuscript are part of a project that brings together civilian and military researchers with the goal of study and early detect stress biomarkers, through non-invasive methodologies, able to operate in field with real-time monitoring, integrated in wearables. Biochemical compounds found to be stress-related, both physical (e.g., extreme fatigue) and emotional, and that can be used as biomarkers are wide. The most commonly stress-addressed molecules are serotonin, free-tryptophan (TRF, serotonin precursor), dopamine (DA), free tyrosine (TYR) and phenylalanine (PHE), ratios between free amino acids, cortisol, c-reactive protein, amongst others [3–7]. Although knowledge on the stress-related biomarkers exist, there is a need to detect biomarkers using non-invasive techniques and to correlate the gathered information with the physical and emotional individual daily conditions which is still not fulfilled. The biological fluids to be used may be saliva, sweat or urine, but for real-time monitoring, in field, sweat seems to be ideal [8]. The levels of the above-mentioned biomarkers, its metabolites or precursors, in sweat are usually low, and its detection requires complex, expensive and time consuming analytical procedures, e.g., liquid and gas chromatography, etc., with tandem mass spectrometry detection. Recently, some sensors aiming speedier and lower cost analysis have emerged leading to new approaches and materials,

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e.g., surface-enhanced Raman scattering (SERS)-based sensing [9]. Electrochemical techniques-based sensors seem to present gains comparing to others due to its fast and reliable responses, ability to detect multiple biomarkers, high sensibility, use of portable equipment, disposable low-cost electrodes and possible miniaturization allowing integration in wearables [10–12]. Multiple sensing detecting simultaneously different compounds and physiological parameters stress related, require powerful electronics, signal-processing and data correlation to infer the individual condition at real time and few studies have been started for this next generation of human–computer interfaces [13, 14]. In this manuscript, preliminary results of potential stress biomarkers detection non-invasively in sweat and its correlation with results attained in blood are presented. The study has an important goal which is to optimize the sampling procedures and the analytical tools to be used, namely by liquid chromatography with tandem mass spectrometry detection (LC-MS/MS) and electrochemistry (cyclic voltammetry (CV)) aiming a larger sampling campaign with more volunteers in order to have statistically relevant results.

21.2 Materials and Methods 21.2.1 Chemicals All chemicals used were of p.a. grade. Analytical solvents used in LC-MS/MS, namely methanol and acetonitrile solvents were of UHPLC-MS grade. Ultrapure water was used in all the preparations.

21.2.2 Sampling Biological samples were attained from three healthy military cadet students as volunteers (males, ages 22–23 years). Information of the procedures was previously provided, and an informed consent was signed. The collected data is anonymous, in agreement with the protocols submitted to the Universidade Nova de Lisboa Ethics Commission and the Portuguese Army. Samples of blood were collected by the Portuguese Army clinical personnel and sent to analysis in the Portuguese Army Hospital and in a certified analysis clinic. Sweat samples were attained using patches for sampling in rest and during exercise (running and marching sequences); sterile glass vials for direct sampling of sweat (immediately after exercise) were also used. The skin was previously cleaned before placing the patches and before exercise.

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21.2.3 LC-MS/MS The sweat samples were analyzed by LC-MS/MS using a Dionex® Ultimate 3000 System UHPLC+ focused system coupled to a TSQ QuantisTM triple-stage quadrupole mass spectrometer (Thermo Scientific, Waltham, MA), using parameters previously selected [15, 16].

21.2.4 Electrochemistry The electrochemistry of sweat samples was attained using a potentiostat µAUTOLAB type III, with the software GPES. Screen-printed carbon electrodes (C-SPE) were used (Dropsens). Cyclic voltammetry was used with the following parameters: potential range 0.05–1.9 V versus NHE, scan rate 50 mV s−1 .

21.3 Results and Discussion 21.3.1 Blood Results The attained results of the blood samples taken in rest and exercise (for the 3 volunteers), considering the main selected biomarkers, namely Dopamine (DA), Serotonin (5-HT), Norepinephrine (NE), Phenylalanine (PHE), Tyrosine (TYR), Tryptophan (TRYP), Cortisol (COR) and Creatinine (CREAT), are presented (Fig. 21.1). From the results shown in Fig. 21.1 is possible to confirm that variations between the rest and the exercise states using blood analysis, for the selected biomarkers, are observed. The above variations are consistent with an increase level of biomarkers in the stress state, in particular for 5-HT, the amino acids precursors of biogenic amines PHE, TYR, TRYP and creatinine. Some inconsistencies were found the results for DO, NE and COR. It should be highlighted, though, that these results from the levels variations cannot be considered conclusive at this time, due to the limited number of volunteers, being necessary a larger sampling that can allow reaching conclusions with statistical relevance.

21.3.2 LC-MS/MS Results From the results of the sweat samples attained, several potential stress biomarkers were identified, in agreement with previous results [15], namely: (a) NTs: Acetylcholine (Ach); biological amines and their metabolites, Dopamine (DA), 3,4Dihydroxyphenylacetic acid (DOPAC, DA metabolite), Homovanillic acid (HVA,

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Fig. 21.1 Blood analysis results by clinical analysis laboratory of DA, 5-HT, NE, PHE, TYR, TRYP, COR and CREAT biomarkers for each volunteer

DA metabolite), 3-Methoxytyramine (3-MT, DA metabolite), Epinephrine (E), Norepinephrine (NE), Serotonin (5-HT), and 5-Hydroxyindol-3-acetic acid (5-HIAA, 5-HT metabolite); Amino acids, Glutamic Acid (Glu); Purines, Adenosine (Ade) and (b) other identified molecules: Amino acids precursors of biogenic amines, L-Phenylalanine (Phe), L-Tyrosine (Tyr) and L-Tryptophan (Trp); Amino acids, Creatine (Crea), L-Glutamine (Gln), L-Histidine (His), L-Isoleucine (Ile), L-Leucine (Leu) and L-Lysine (Lys); Carboxylic acids, Ascorbic Acid (Asc) and Lactic Acid (Lacta); Carbohydrates, D-Glucose (Gluc); Breakdown products, Creatinine (Creat); Steroid hormones, Cortisol (or hydrocortisone) (Cor) and Cortisone (Cort). The identified molecules and the families at which they belong are better represented (Fig. 21.2).

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Fig. 21.2 Biomarkers identified in sweat and families (adapted from [15, 16])

21.3.3 Comparison Between Blood and Sweat Results The results obtained from the blood and sweat samples taken in rest and in exercise can only be compared in qualitative terms in the current study. The levels of potential stress biomarkers attained are, however, in line with previous results [15, 16] shown below (Fig. 21.3). A correlation was observed for the qualitative variations of the metabolites 5-HT, PHE, TRYP, and TYR attained from sweat (using LC-MS/MS; individual results not shown) and blood. However, it should be highlighted, once again, that a more extended sampling, with more volunteers is needed to attain a detailed variation study for each biomarker.

21.3.4 Electrochemistry Analysis The electrochemical results attained with the sweat samples have shown that patterns and differences between rest and exercise/stress states can be detected using electrochemical techniques, namely CV and low-cost C-SPE. These are promising results

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Fig. 21.3 Biomarkers identified in sweat and respective families (adapted from [15, 16])

to build a sensor based on differentiated levels of biomarkers. Again, these are preliminary results and an extensive study with more volunteers is needed to do the proof-of-concept. However, the used methodology seems suitable for future studies. Figures 21.4 and 21.5 are shown representative examples of the voltammograms attained and the trend when considering the rest and exercise/stress states. It can be observe a significant current response difference between the voltammograms obtained immediately after exercise and in rest. Also, when amplifying the response attained in Fig. 21.4b, individual responses/redox processes can be detected in sweat. These findings demonstrate that the technique is suitable for attaining patterns and response levels between the rest and exercise/stress states. From the results shown (Figs. 21.4 and 21.5), it can be inferred that the major differences should be in the more positive potential values in agreement with the individual electrochemical responses of several biomarkers, such as DA, 5-HT, TYR and COR [17].

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Fig. 21.4 Representative cyclic voltammograms attained with the sweat samples in C-SPE, a difference between the response immediately after exercise and the rest and b subtraction of the control to the response immediately after exercise and inset: amplification

Fig. 21.5 Cyclic voltammograms of the three volunteers in rest (light blue lines) and in exercise (light red lines) and comparison with the average for each state (rest: darker blue line, exercise: darker red line); potentials are not referred to NHE but to pseudo-electrode of reference of the C-SPE which is silver

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21.4 Conclusion From the results, it can be concluded that the sampling and analytical methodologies are suitable for the qualitative analysis of the different levels of potential stress biomarkers in sweat. It should also be emphasized that electrochemically it is possible to detect not only patterns but also individual biomarkers’ responses, which is pertinent for future sensors development Also, the successful use of carbon SPE demonstrates that the method can be mimic in fabrics (printing the carbon electrodes) and opens the route to build the stress sensors in wearables. There is, however, the need of studies with an enlarged number of volunteers in order that the results attained could be considered statistically relevant and to achieve the proof-of-concept of the proposed methodology, which will be the next step of the current project. Acknowledgements This work was supported by the Associate Laboratory for Green ChemistryLAQV, with national funds from FCT/MCTES (UIDB/50006/2020). The authors acknowledge Fundação para a Ciência e Tecnologia for financial support through Project PTDC/SAUSOC/28390/2017 (STRESSSENSE). The authors also acknowledge the volunteers for participating in the current study and the military clinical staff for the blood sampling.

References 1. Lee, J.-H., et al.: Emotion-on-a-chip (EOC): evolution of biochip technology to measure human emotion using body fluids. Med. Hypotheses 79(6), 827–832 (2012) 2. Marshall, G.D., Jr.: The adverse effects of psychological stress on immunoregulatory balance: applications to human inflammatory diseases. Immunol. Allergy Clin. North Am. 31(1), 133– 140 (2011) 3. Wright, H.E., et al.: Peripheral markers of central fatigue in trained and untrained during uncompensable heat stress. Eur. J. Appl. Physiol. 112(3), 1047–1057 (2012) 4. Bruehl, S., et al.: What do plasma beta-endorphin levels reveal about endogenous opioid analgesic function? Eur. J. Pain 16(3), 370–380 (2012) 5. Hellhammer, D.H., Wüst, S., Kudielka, B.M.: Salivary cortisol as a biomarker in stress research. Psychoneuroendocrinology 34(2), 163–171 (2009) 6. Black, P.H., Garbutt, L.D.: Stress, inflammation and cardiovascular disease. J. Psychosom. Res. 52(1), 1–23 (2002) 7. Simeunovic, D., et al.: Evaluation of oxidative stress markers and catecholamine changes in patients with dilated cardiomyopathy before and after cardiopulmonary exercise testing. Hellenic J. Cardiol. 56(5), 394–401 (2015) 8. Nunes, L.A.S., Brenzikofer, R., Macedo, D.V.: Reference intervals for saliva analytes collected by a standardized method in a physically active population. Clin. Biochem. 44(17–18), 1440– 1444 (2011) 9. Yuan, Y., et al.: SERS-based ultrasensitive sensing platform: an insight into design and practical applications. Coord. Chem. Rev. 337, 1–33 (2017) 10. Lin, C., et al.: Feasibility in the development of a multi-marker detection platform. Biosens. Bioelectron. 89, 743–749 (2017) 11. Khan, M.S., et al.: Paper-based analytical biosensor chip designed from graphene-nanoplateletamphiphilic-diblock-co-polymer composite for cortisol detection in human saliva. Anal. Chem. 89(3), 2107–2115 (2017)

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12. Singh, A., et al.: Electrochemical sensing of cortisol: a recent update. Appl. Biochem. Biotechnol. 174(3), 1115–1126 (2014) 13. Sanz-Robinson, J., et al.: Large-area electronics: a platform for next-generation humancomputer interfaces. IEEE J. Emerg. Sel. Topics Circuits Syst. 7(1), 38–49 (2017) 14. Lai, S., et al.: Ultra-conformable organic field-effect transistors and circuits for epidermal electronic applications. Org. Electron. 46, 60–67 (2017) 15. Nunes, M.J., et al.: Screening of potential stress biomarkers in sweat associated with sports training. Sports Med. Open 7:8 (2021) 16. Nunes, M., et al.: Optimisation of a liquid chromatography with tandem mass spectrometry methodology for the identification of human stress biomarkers in sweat. Anal. Bioanal. Chem. (submitted) (2021) 17. Nunes, M.J., et al.: Screen-printed electrodes testing for detection of potential stress biomarkers in sweat. Electrocatalysis (submitted, ECAT-D-21-00039) (2021)

Chapter 22

Detecting Autism Spectrum Disorder Using Data Mining Ana C. Guisasola, Diana Ferreira, Cristiana Neto, António Abelha, and José Machado

Abstract Autism spectrum disorder (ASD) is a set of neurodevelopmental disorders that affect cognitive development, social and communication skills, and behavior of affected individuals. The faster traces of ASD are identified, the faster the stimulation will begin and the more effective the gains in neuropsychomotor development will be. That being said, the earlier the diagnosis of ASD, the easier it is to control the disorder. Therefore, this study aims to classify the cases of ASD as “yes” if a patient has been diagnosed with ASD or “no” if a patient has not, using data mining (DM) models with classification techniques. The methodology of cross-industry standard process for data mining (CRISP-DM) was followed, and to induce the data mining models, the Rapidminer software was used. The results were quite promising reaching a level of accuracy of 97%, specificity of 95.45%, sensitivity of 100%, and precision of 95.65%.

22.1 Introduction Autism spectrum disorder (ASD) is a condition related to brain development that affects communication and behavior and impacts how someone perceives and socializes with others [1]. ASD belongs to a range of five childhood conditions called pervaA. C. Guisasola University of Minho, Campus of Gualtar, Braga 4710, Portugal e-mail: [email protected] D. Ferreira · C. Neto · A. Abelha · J. Machado (B) Algoritmi Research Center, University of Minho, Campus of Gualtar, Braga 4710, Portugal e-mail: [email protected] D. Ferreira e-mail: [email protected] C. Neto e-mail: [email protected] A. Abelha e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_22

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sive developmental disorders (PDD). The three most common are autism, Asperger’s syndrome (milder symptoms of autistic disorder, social challenges, and unusual behaviors), and pervasive developmental disorder (childhood disintegrative disorder and Rett syndrome are the other pervasive developmental disorders) [2]. There is no vague reason why ‘spectrum’ is part of the name of the disease, as there is a wide variation in the range of symptoms experienced by patients. Generally, ASD patients experience signs and symptoms related to issues concerning social interaction skills, speech, and communication. ASD-associated symptomatology is characterized with varying degrees of severity by speech and language deficits (e.g., repetition of words/phrases and delayed speech), impaired social functioning (e.g., isolation, eye contact avoidance, and restricted interests), and unusual behavioral manifestations (e.g., repetitive behaviours, hyperactivity and sensory sensitivity) which ultimately leads to lack of ability to function properly in school, work, and social life [1, 3]. It is important to note that ASD symptoms start to appear usually in the first two years of life. The faster the traces of ASD are identified, the faster the stimulation will begin and the more effective the gains in neuropsychomotor development will be. Stimulation can reach the optimum timeframe defined by the so called “window of opportunity” of the children’s brain, and an early detection can help to train skills that could no longer be achieved if the diagnosis was delayed [4]. The vast amount of data generated by healthcare transactions is too complex and voluminous to be processed and analyzed using traditional methods. Data mining (DM) provides a methodology and technology for converting these amounts of data into useful information for decision-making [5]. DM is an analytical process designed to explore large amounts of data, to search for consistent patterns or relationships between variables, and later to validate them by applying the patterns detected to new data [6]. Hence, the main goal of this study is to develop different DM models to attempt to classify cases of ASD, following the cross-industry standard process for data mining (CRISP-DM) methodology and using the RapidMiner software. The present document is organized into five sections. Following the introduction, some of the works developed in the context of the problem addressed in this paper are highlighted. The different phases of the methodology are then described in detail. Subsequently, the results and the discussion are presented. Finally, the conclusions outlined in this study, and some suggestions for future work are addressed.

22.2 Related Work Throughout the years, several studies have been conducted in order to improve and facilitate the diagnosis of ASD both in children and in adults, using machine learning (ML) and DM techniques. In 2014, Mythili and Shanavas [3] conducted an ASD study that compares the effectiveness of two popular ML techniques, namely J48 and support vector machine

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(SVM), in the WEKA software. They concluded that the best technique proposed for ASD classification in children was SVM with a Kappa statistic of 0.9234, a mean absolute error of 0.0233, and a root mean squared error of 0.2154. A study conducted in 2019 by Omar et al. [7] developed a prediction model by merging Random Forest-CART (Classification and Regression Trees) and Random Forest-Id3 (Iterative Dichotomiser 3) to predict autism traits with 92.26%, 93.78%, and 97.10% accuracy in case of children, adolescents and adults, respectively. Lastly, in 2020, Raj and Masood [8] used Naïve Bayes, SVM, logistic regression (LR), k-NN, neural network (NN), and convolutional neural network (CNN) in three datasets for predicting ASD in adults, children, and adolescents. The study strongly suggests that CNN works better on all these datasets with an accuracy of 99.53%, 98.30%, 96.88% for ASD screening in adults, children, and adolescents, respectively.

22.3 Methodology As mentioned before, the DM process conducted in this study followed the CRISPDM methodology, which is used to define a structure for a DM project [9]. It defines a non-rigid sequence of six phases that allows the construction and implementation of a DM model to be used in a real context, helping to support business decisions [6]. This method is a cyclical process in which several iterations can be used to allow the end result to be more tailored to the business objectives [10].

22.3.1 Business Understanding Autism is a complex developmental disability that can cause severe social, communication, and behavioral challenges [1]. As time passes without a patient being diagnosed, it is more difficult to identify the disease because individuals affected by autism often develop other mental disorders as they grow up, making the patient’s clinical picture worse, and masking the ASD diagnosis. The faster ASD traits are identified, the faster the stimulation will begin and the more effective the gains in neuropsychomotor development will be. There is, therefore, an urgent need to develop time-efficient and effective ASD screening methods to help health professionals and inform individuals whether they should pursue formal clinical diagnosis. Hence, an analysis of the ASD screening data will be made to understand which are the most important features and algorithms for the identification of autistic disorders with the aim of making better and faster diagnosis, so that those affected by ASD can receive proper care as soon as possible in order to have a better quality of life. The business focus of the study is, therefore, the classification of ASD cases, based on clinical and demographic information, following a DM approach to provide means for early detection of this disease and to help clinicians make medical decisions on its diagnosis.

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22.3.2 Data Understanding The dataset used in this study is related with autism screening of adults and contains 704 instances and 20 features relevant for determining influential autistic traits and improving the classification of ASD cases [11]. The dataset contains ten behavioral characteristics resulting from the screening questions (A1_Score to A10_Score) plus ten individuals characteristic that have proven to be effective in detecting ASD cases. A detailed description of the attributes of the dataset is presented in Table 22.1. The ASD attribute works as the label for classifying the subjects as yes (has ASD) or no (doesn’t have ASD). While analyzing the data, it was found that there was an imbalance in the distribution of the target class, with only 27% (189 instances) of autism cases and 73% (515 instances) of individuals without autism. In these cases, the algorithm receives significantly more examples from the majority class (NO), which makes it skewed for that specific class. Due to the disparity of classes, the algorithm is then prone to categorize instances of the majority class and does not learn what makes the other class different, nor does it understand the underlying patterns that make it possible to distinguish the classes. This problem will be addressed in the data preparation stage.

22.3.3 Data Preparation This phase involves the selection and preparation of the data to be used by the DM models and includes data integration, data cleaning, data transformation, data reduction, and data sampling. To begin with, the age description attribute was removed from the dataset because it was the same for all instances (18+) and therefore did not contribute to variability and could be removed. There were no duplicated instances found. As far as outliers are concerned, one outlier value was found in the age attribute of 383 years, which was later removed from the dataset. The missing values found in the age, ethnicity, and relation attributes were replaced with the RapidMiner operator Replace Missing Values, which replaces these values with the average or the mode of the attribute, depending on whether the attribute is numerical or nominal, respectively. In addition, a feature-weight analysis was conducted using the correlation and gain-ration criteria. This analysis will be used in the next stage to define different scenarios. Last but not least, due to the unbalanced distribution of the label attribute, oversampling was applied, using the Sample(Balance) operator, which replicates cases of the minority class until a balanced distribution is reached.

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Table 22.1 Description of the attributes of the dataset Attribute Description age gender ethnicity jaundice fam_PDD relation country_of_res used_app_before age_desc A1_Score A2_Score A3_Score A4_Score A5_Score A6_Score A7_Score A8_Score

A9_Score A10_Score result ASD

Age of the patient in years Gender of the patient (f = female, m = male) Patient’s ethnicity such as Asian, Latino, White-European, among others Whether the patient was born with jaundice (yes, no) Whether any immediate family member has a pervasive developmental disorder (PDD) (yes, no) Who is completing the test such as parent, self, caregiver, among others Patient’s country of residence Whether the user has used the screening app before (yes, no) Age description (18 and more) Answer to question 1 “I often notice small sounds when others do not” (yes, no) Answer to question 1 “I usually concentrate more on the whole picture, rather than the small details” (yes, no) Answer to question 1 “I find it easy to do more than one thing at once” (yes, no) Answer to question 1 “If there is an interruption, I can switch back to what I was doing very quickly” (yes, no) Answer to question 1 “I find it easy to read between the lines when someone is talking to me” (yes, no) Answer to question 1 “I know how to tell if someone listening to me is getting bored” (yes, no) Answer to question 1 “When I am reading a story, I find it difficult to work out the character’s intentions” (yes, no) Answer to question 1 “I like to collect information about categories of things (e.g., types of cars, types of bird, types of train, types of plant, etc.)” (yes, no) Answer to question 1 “I find it easy to work out what someone is thinking or feeling just by looking at their face” (yes, no) Answer to question 1 “I find it difficult to work out people’s intentions” (yes, no) Final score obtained by the sum of all A*_Score columns [0,10] Whether the patient has ASD (yes, no)

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22.3.4 Modeling In this stage, different DM models (DMMs) are used to determine patterns in previously treated data. A DMM can be defined as belonging to an Approach A, being composed by a Scenario S, a DM Technique DMT, a Sampling Method SM, a Data Approach DA, and a Target T, according to Eq. 22.1. DMM = {A, S, D M T, S M, D A, T }

(22.1)

As mentioned before, this study addresses a classification approach, and there is only one target, which is the ASD attribute that concerns the diagnosis of ASD cases. In addition, as mentioned in the data preparation stage, only one DA was tested—with oversampling. Different DMTs were selected, namely Random Forest (RF), Decision Tree (DT), Naive Bayes (NB), and k-Nearest Neighbor (k-NN). Using the RapidMiner’s Optimize Parameters operator, the model was tuned according to the best parameters for each of the models. For each DMT, two SMs were considered, cross validation using 10 folds where all data is used for testing, and split validation with 70% of the data used for training and the remaining amount for testing. Three scenarios were considered to evaluate which attributes were the most relevant to predict the diagnosis of ASD, according to the feature-weight analysis made in the data preparation stage. The first scenarios, S1 and S2, were defined on the basis of the correlation criteria, which provides a correlation with the label attribute (ASD) and in which very high correlation values could be detrimental to the results. Therefore, Relation was not considered for both scenarios and A9_Score was not considered for S2. On the other hand, the last scenario, S3, was defined based on the gain ratio criteria, where a threshold for weights >0.03 was defined. – S1 : {all attributes except Relation} – S2 : {all attributes except Relation and A9_Score} – S3 : {fam_PDD, country_of_res, A1_Score, A2_Score, A3_Score, A4_Score, A5_Score, A6_Score, A7_Score, A8_Score, A10_Score} To conclude, in the end, 24 models were induced using the data mining process described, as it can be seen from Eq. 22.2. DMM = {1(A) × 3(S) × 4(D M T ) × 2(S M) × 1(D A) × 1(T )}

(22.2)

22.3.5 Evaluation After testing the models, it is necessary to evaluate the results achieved, and to verify the impact, they have on the objectives initially defined. It is therefore important to

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define different evaluation metrics in order to assess the quality of the models previously induced [12]. These metrics were derived from the confusion matrix, which is a table containing four different combinations of predicted and actual values, showing the classification frequencies for each class, namely False Positives (FP), False Negatives (FN), True Positives (TP), and True Negatives (TN). These values were used to determine the following evaluation metrics: accuracy, precision, sensitivity, and specificity. Accuracy, Eq. 22.3, measures the model’s ability to capture true ASD cases as individuals having the disease and true not ASD cases as healthy individuals, i.e., individuals that do not have the disease. Accuracy =

TP + TN TP + TN + FN + FP

(22.3)

Precision, Eq. 22.4, measures the proportion of patients who have been labeled by the model has having ASD that actually have it. Precision =

TP TP + FP

(22.4)

Sensitivity, Eq. 22.5, measures the proportion of ASD patients that have been correctly identified as such by the model, i.e., it calculates how many of the TP (individuals that actually have ASD) the model captures as being positive. This metric should be given priority over others when there is a high cost associated with FN, as it is the case in this study, where a medical diagnosis is addressed. Sensitivity =

TP TP + FN

(22.5)

Specificity, Eq. 22.6, measures the proportion of patients without ASD that were correctly identified as such by the model, i.e., it calculates how many of the TN (individuals that in reality do not have ASD) the model captures as being negative. Specificity =

TN TN + FP

(22.6)

22.4 Results and Discussion The results obtained for each DMT using the different evaluation metrics for cross validation and split validation are presented in Tables 22.2 and 22.3, respectively. Two SMs were used in this study. Normally, cross validation models outperform split validation models in terms of performance because they use all of the data for training. Meanwhile, split validation only uses 70% of the data for training and tests with the other 30%. However, this did not happen with most of the models

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Table 22.2 Results for each S and DMT using the cross validation method S DMT Accuracy (%) Precision (%) Sensitivity (%) S1

S2

S3

RF DT NB k-NN RF DT NB k-NN RF DT NB k-NN

97.18 95.53 96.31 97.48 92.19 95.63 94.17 94.60 94.33 95.63 94.85 94.60

95.89 95.27 96.88 96.30 89.61 93.80 95.98 92.84 92.77 93.72 95.15 93.53

98.65 95.93 95.73 98.84 80.86 97.86 92.42 86.77 85.77 97.87 94.77 85.54

Table 22.3 Results for each S and DMT using the split validation method S DMT Accuracy (%) Precision (%) Sensitivity (%) S1

S2

S3

RF DT NB k-NN RF DT NB k-NN RF DT NB k-NN

97.73 94.48 97.08 95.45 97.73 94.16 94.16 96.10 95.45 93.51 97.08 97.73

96.82 93.63 97.39 91.67 95.65 92.50 96.58 92.77 94.87 90.85 97.39 96.82

98.70 95.45 96.75 100 100 96.10 91.56 100 96.10 96.75 96.75 98.70

Specificity (%) 95.73 95.14 96.89 96.1 96.31 93.39 95.96 97.47 97.48 93.40 94.94 97.87

Specificity (%) 96.75 93.51 97.40 90.91 95.45 92.21 96.75 92.21 94.71 90.26 97.40 96.75

constructed, and models which used split validation 70% obtained better results when compared to those which used cross validation. This can be explained because, firstly, all the results obtained were really good (>90%); secondly, the difference between the two sampling methods was very low, in almost all cases in the order of hundredths, lastly, the percentage used to train all models with split validation was 70% (high) not making a big difference at the end. Neither accuracy, precision, or specificity were considered the most relevant criteria when choosing the most suitable model, but sensitivity was. This is because it is more problematic, in this case, to predict that an adult does not suffer from

22 Detecting Autism Spectrum Disorder Using Data Mining Table 22.4 Best models DM Scenario technique RF RF k-NN

S2 S1 S3

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Sampling method

Accuracy (%)

Precision (%)

Sensitivity (%)

Specificity (%)

PS PS PS

97.73 97.73 97.73

95.65 96.82 96.82

100 98.70 98.70

95.45 95.65 96.75

ASD, when, in fact, it suffers that to predict that an adult has ASD when that is not true. Also, sensitivity was chosen to rank the model because in the dataset, the number of adult cases that had been diagnosed with the disease was very small, which made the task of identifying TP correctly difficult. Consequently, the models that can best identify TP should be prioritized. These models are the ones with the higher sensitivity results. In order to choose the most suitable model, a threshold was established, and the models were ranked according to their sensitivity results. The defined threshold was sensitivity >98% and specificity, accuracy, and precision >95%. Table 22.4 presents the best three models that achieved the threshold by their ranking order. The analysis of Table 22.4 allowed to conclude that between the three models, all achieved better results with split validation 70% as sampling method, 66% with RF as DMT, and the other 33% with k-NN. It is important to note that, as far as the different scenarios are concerned, none of the scenarios have specially stand out among the others, having each of the top three models used one of the three scenarios. In addition, it is observed that all the models used split validation 70% as the sampling method. It can also be seen that there was a tie on the accuracy values between all ranked models. Despite this tie, the first ranked model was, among these three, the one with the highest sensitivity value. Therefore, the most suitable model, from all the 24 induced models, is DMM = {classification, S2, RF, split validation 70%, oversampling, ASD}, achieving an accuracy of 97.73%, a precision of 95.65%, a sensitivity of 100%, and a specificity of 95.45%.

22.5 Conclusions DM is of great importance to the healthcare sector as the knowledge gained from the use of DMTs can be used to make successful decisions that will aid health professionals in the medical decision-making and improve the quality of the services provided to patients. This study mainly concerned the implementation of different DMTs to predict ASD cases and to determine which are the most important attributes in the diagnosis of ASD, thus providing insight into the aspects that require more attention in the diagnosis of autism, based on patient-related indicators (age, gender, ethnicity, etc.)

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and 10 questions about the behavior of the patient under certain circumstances. Some DMMs achieved sensitivity results of 100% and specificity, accuracy, and precision results higher than 97%. The best induced model used the RF algorithm, the S2 scenario, the one containing all attributes except Relation and A9_Score, and the split validation method, achieving a sensitivity of 100%, an accuracy of 97.73%, a precision of 95.65%, and a specificity of 95.45%. Hence, the present study proves that it is viable to use DMMs to detect ASD and assist healthcare professionals in the decision-making process regarding patient’s diagnosis. Although promising results have been achieved, some improvements and further testing are needed for the model to be implemented in a clinical environment and to be able to successfully assist health professionals. For instance, it was necessary, at the data preparation stage, to apply oversampling to the dataset, which means that in future work, a way to improve this study would be to collect more data from individuals diagnosed with ASD to achieve a balanced dataset without creating synthetic instances. In addition, different scenarios, evaluation metrics, and algorithms, such as neural networks, could be used for a more thorough assessment of the models and for improving the reliability of the results. Acknowledgements This work has been supported by FCT—Fundação para a Ciência e Tecnologia within the R&D Units Project Scope: UIDB/00319/2020.

References 1. Gurney, J.G., Fritz, M.S., Ness, K.K., Sievers, P., Newschaffer, C.J., Shapiro, E.G.: Analysis of prevalence trends of autism spectrum disorder in Minnesota. Arch. Pediatr. Adoles. Med. 157(7), 622–627 (2003) 2. Daniels, A.M., Mandell, S.D.: Explaining differences in age at autism spectrum disorder diagnosis: a critical review. Austism 18(5), 583–597 (2014) 3. Mythili, M.S., Shanavas, A.M.: A novel approach to predict the learning skills of autistic children using SVM and decision tree. Int. J. Comput. Sci. Inf. Technol. 5(6), 7288–7291 (2014) 4. Leroy, G.A., Irmscher, A., Charlop, M.H.: Data mining techniques to study therapy success with autistic children (2006) 5. Yoo, I., Alafaireet, P., Marinov, M., Pena-Hernandez, K., Gopidi, R., Chang, J., Hua, L.: Data mining in healthcare and biomedicine: a survey of the literature. J. Med. Syst. 36(4), 2431–2448 (2012) 6. Ferreira, D., Silva, S., Abelha, A., Machado, J.: Recommendation system using autoencoders. Appl. Sci. 10(16), 5510 (2020) 7. Omar, K.S., Mondal, P., Khan, N.S., Rizvi, M.R.K., Islam, M.N.: A machine learning approach to predict autism spectrum disorder. In: 2019 International Conference on Electrical, Computer and Communication Engineering (ECCE), pp. 1–6. IEEE Press, New York (2019) 8. Raj, S., Masood, S.: Analysis and detection of autism spectrum disorder using machine learning techniques. Procedia Comput. Sci. 167, 994–1004 (2020) 9. Martins, B., Ferreira, D., Neto, C., Abelha, A., Machado, J.: Data mining for cardiovascular disease prediction. J. Med. Syst. 45(1), 1–8 (2021) 10. Wirth, R., Hipp J.: CRISP-DM. In: Towards a Standard Process Model for Data Mining, pp. 29–39. Springer-Verlag, London, UK (2000)

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11. UCI machine learning repository: autism screening adult data set. https://archive.ics.uci.edu/ ml/datasets/AutismScreeningAdult 12. Neto, C., Senra, F., Leite, J., Rei, N., Rodrigues, R., Ferreira, D., Machado, J.: Different scenarios for the prediction of hospital readmission of diabetic patients. J. Med. Syst. 45(1), 1–9 (2021)

Chapter 23

Classification of Dementia in Adults Cristiana Neto, Diana Ferreira, João Nunes, Luís Braga, Luís Martins, Luís Cunha, and José Machado

Abstract Dementia is a broad term for a large number of conditions, and it is often associated with Alzheimer’s disease. A reliable diagnosis of this disease, especially in the early stages, may prevent further complications. As such, machine learning algorithms can be applied in order to validate and correctly classify cases of dementia or non dementia in adults, assisting physicians in the diagnosis and management of this clinical condition. In this study, a dataset containing magnetic resonance imaging comparisons of demented/non demented adults was used to conduct a Data Mining process, following the Cross Industry Standard Process for Data Mining methodology, with the main goal of classifying instances of dementia. Different machine learning algorithms were applied during this process, more specifically Support Vector Machines, Decision Trees, Logistic Regression, Neural Networks, Naïve Bayes and Random Forest. The maximum accuracy of 95.41% was achieved with the Naïve Bayes algorithm using Split Validation.

C. Neto · D. Ferreira · J. Machado (B) Algoritmi Research Center, University of Minho, Campus of Gualtar, Braga, Portugal e-mail: [email protected] C. Neto e-mail: [email protected] D. Ferreira e-mail: [email protected] J. Nunes · L. Braga · L. Martins · L. Cunha University of Minho, Campus of Gualtar, Braga, Portugal e-mail: [email protected] L. Braga e-mail: [email protected] L. Martins e-mail: [email protected] L. Cunha e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_23

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23.1 Introduction According to studies carried out by the World Health Organization (WHO) [1], around 50 million people worldwide suffer from dementia. Other studies also show that the number will grow to approximately 63 million people in the year 2030 [2]. Dementia is characterized by the inability of establishing proper communication between brain cells due to their damage. The lack of this communication affects the way the patient thinks, behaves and feels. Although dementia encompasses a variety of specific medical conditions, it is commonly associated with Alzheimer’s disease [3]. Due to its degenerative nature, both physically and mentally, dementia can be devastating in a patient’s life. Depending on the severity level of the disease, dementia can lead to memory loss and inability of performing every day tasks, such as paying bills and preparing meals [3]. In this sense, an early diagnosis and classification, followed by intervention measures, can often delay its manifestation and maintain quality of life for a longer period of time [4]. Accurate classifications of dementia are crucial, as this is a time sensitive condition [5]. The diagnosis of dementia often requires multiple pieces of information such as a neuropsychological test score, laboratory studies and MRI scans. These clinical data can be used in a Data Mining (DM) process in order to help in the classification of dementia. DM has the ability of discovering patterns in the data, through Machine Learning (ML) algorithms that can be used to help healthcare professionals in the diagnosis stage [6]. Hence, this study intends to find the best DM model to classify cases of dementia in patients. To achieve this goal, this work followed the Cross Industry Standard Process for Data Mining (CRISP-DM) methodology and used the Rapidminer software to visualize and prepare the data, as well as to apply the ML algorithms. The data used is related to MRI scans of both demented and non demented patients. The present paper is organized in five sections. After this introduction, some related work is presented. Then, the CRISP-DM methodology steps are described, followed by the results and its discussion. Finally, some conclusions are drawn, as well as some key points for future work.

23.2 Related Work Other works have been done and published in this field. This section highlights some of these works in order to contextualize and perceive the current state of the research in this topic. Battineni et al. [7] used Support Vector Machines (SVM) to predict dementia using the same dataset that was studied in this article. With this approach, the best values achieved were 68.75% of accuracy and 64.18% of precision. In this case, three different labels were used—Converted, Demented and Non Demented.

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Maroco et al. [8] tested several DM methods to predict Dementia, comparing accuracy, sensitivity and specificity using 5 folds Cross Validation. Linear discriminant analysis, Random Forest (RF), Logistic Regression (LR), Neural Networks (NN), classification trees and SVM were tested, comparing the different results. RFs and Linear Discriminant Analysis had the better accuracy (73% and 66%, respectively), specificity (73% and 66%, respectively), and sensitivity (73% and 64%, respectively). Another study [9] also uses data extracted from MRI scans and a NN classifier with back-propagation is then trained and consequently tested on this data, to detect the stage of the Alzheimer’s Disease. The approach of that study is to detect the disease as early as possible with the extracted features from the hippocampus region of MRI Scans, because this region is the first that will be affected if the patient has the Alzheimer’s Disease. The proposed system was able to achieve an average accuracy of 86.8%. Finally, Shahbaz et al. [10] also used classifiers similar to the ones that will be used in this study, such as Naïve Bayes (NB) and Decision Trees (DT) in order do correctly classify five different stages of the Alzheimer’s Disease, which showed good albeit not ideal results on that dataset. The evaluation of the classifiers on that paper was made using a cross validation with 10 folds. Overall the classifier that was able to produce the best results was the Generalized Linear Model, with an average accuracy of 88.24%.

23.3 Methodology As mentioned before, the methodology selected to perform this study was CRISPDM. This methodology encompasses six stages, represented in Fig. 23.1, and it provides a structured approach to plan a DM project [11]. Each one of these steps will be described in the next subsections.

23.3.1 Business Understanding The business goal of the work presented in this paper is to achieve an accurate classification of dementia in patients, considering different clinical and demographic attributes. Also, this classification must be highly sensitive due to the nature of the problem, which fits in the scope of medical diagnosis, where false negatives should be avoided at all costs. The ultimate goal of this work is to build a predictive model capable of assisting health professionals in the detection of the disease at early stages.

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Fig. 23.1 CRISP-DM methodology stages

23.3.2 Data Understanding Visualizing the data is one of the most important steps in the process due to the possibility to provide a better understanding of the attributes and their distributions, which can reveal useless attributes, missing values and data inconsistencies. The used dataset was obtained by the Open Access Series of Imaging Studies (OASIS), a project aimed at making MRI datasets of the brain freely available to the scientific community [12]. It contains 373 instances and 15 attributes regarding demographic and MRI information. Table 23.1 contains the description of each feature of the dataset. The target attribute of this dataset is the Group attribute, which indicates if the patient has dementia or not. In this phase, the distribution between the target attribute and the other attributes was analyzed. For example, Fig. 23.2 shows the histogram obtained for the proportion between the Age attribute and the target, commonly associated. Thus, it is possible to check that the large portion of the demented patients ages vary from 70 to 85 years old, and that the oldest demented patient is 98 years old. Also, it can be observed that, in the original dataset, the target was divided into three classes: Demented, Nondemented and Converted. During this phase, missing data and outliers were found in some attributes. These issues will be addressed in the Data Preparation phase.

23.3.3 Data Preparation In this stage of the CRISP-DM pipeline it was necessary to prepare the data in order to remove any inconsistencies. First, the target attribute Group contained the value

23 Classification of Dementia in Adults Table 23.1 Attributes in the dataset Name Description Subject ID MRI ID Group

Visit MR delay M/F Hand Age EDUC SES

MMSE CDR

eTIV nWBV ASF

Identification of the patient MRI exam identification Mental state of the patient (demented, non demented, converted) Visit order MRI delay time Gender of the patient Dominant hand of the patient Age in years Years of education Social Economic Status (0 is the lowest and 5 the highest status) Mental state examination (30=best and 0=worst) Clincial dementia rating (0 = no dementia and 2 = moderate AD) Estimated intracranial volume Normalized whole brain volume Atlas scaling factor

Fig. 23.2 Histogram of group and age attributes

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Type Polynomial Polynomial Polynomial

Integer Integer Polynomial Polynomial Integer Integer Integer

Integer Real

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Converted, which indicated that the first diagnostic of the adult showed that he/she didn’t have dementia, and that in a later diagnostic signs of dementia were discovered. Thus, this type of value was converted simply to Demented which end up balancing the target attribute. The target attribute was then converted to binomial, where true = Demented and false = Non-demented. Then, attributes that were considered irrelevant for the prediction were removed, namely the IDs (Subject ID and MRI), the Visit attribute, and, finally, the Hand attribute which had the same value for all instances. After balancing the target attribute, and since the dataset contained numeric missing values, these missing values were dealt with by replacing them with the average of the respective attribute. Regarding the analysis of outliers, they can be seen as data anomalies; therefore, they are not useful and quite harmful (in large quantities) in the prediction made by the model. Hence, 10 outliers were removed from the dataset, which reduced its size to 363 instances. Afterward, the numeric attributes were normalized to values between 0 and 1, in order to have a common scale between all attributes. Finally, a correlation analysis between the attributes and the target was carried out in order to prepare different scenarios in the Modeling phase.

23.3.4 Modeling In this phase of the pipeline, it is important to consider which ML algorithms to use, given the prepared data. In order to include different families of algorithms and due to the nature of the problem, which is classification, 6 supervised algorithms were selected. The first classifier to be used was DT, which uses a tree like graph to model decisions and their possible outcomes. A variant of the DT algorithm that was also used was the RF where a large number of individual decision trees are used in order do predict the outcome. LR is a simple approach and it is a technique often used in binary classification problem. Another algorithm to be used, that is also suitable in classification problems, is the NB classifier, which is based on the Bayes probabilistic theorem. The last classifier considered was the NN, which, as the name suggests, tries to replicate the connection and inner workings of the neurons, creating an artificial neuron capable of processing data. In order to assess the influence of the features in the prediction of demented and non demented individuals, two different scenarios were prepared. In the first scenario, all attributes resulting from the Data Preparation phase were considered. Thus, S1 = {Group, MR Delay, M/F, Age, EDUC, SES, MMSE, CDR, eTIV, nWBV, ASF}. In the second scenario (S2), the attributes that had a correlation superior to 80% (identified by a RapidMiner operator) were removed, because higher correlation can mean a nature similarity between them. Therefore keeping these attributes in

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the dataset can lead to redundancy. In this sense, S2 = {Group, Age, EDUC, SES, MMSE, CDR, eTIV, nWBV}. Finally, two different sampling methods were used to train and test the models. First, it was used the Split Validation method with a 70% split for training and 30% split for testing. Next, cross validation was also set up in order to get a more complete understanding of the algorithm and the results it provides, since it splits the dataset into multiple groups (folds), where one fold is used to test, and the rest are used to train the algorithm. This processes is repeated until each fold is used for test and train. In this study, a 10-fold cross validation was used.

23.3.5 Evaluation In order to make an accurate analysis of the different models, several evaluation metrics derived from the Confusion Matrix were selected. This matrix, includes the values of True Positives (TP), True Negatives (TN), False Positives (FP) and False Negatives (FN). Hence, the metrics used to evaluate the performance of the classifiers were: Accuracy (Eq. 23.1), which calculates the ratio between the instances correctly classified by the model and all the classified instances; Precision (Eq. 23.2), which measures the exactness of a classifier; Sensitivity (Eq. 23.3), measures the completeness of a classifier; and Specificity, which measures how well a model can identify TN (Eq. 23.4) [13]. TP + TN ∗ 100 (23.1) Accuracy(%) = TP+TN+FP+FN Precision(%) =

TP ∗ 100 TP+FP

(23.2)

Sensitivity(%) =

TP ∗ 100 TP+FN

(23.3)

Specificity(%) =

TN ∗ 100 TN+FP

(23.4)

23.4 Results and Discussion Apart from applying each classifier using both sampling techniques, Split Validation and Cross Validation, they were also applied in both scenarios that were described previously.

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Table 23.2 Results obtained for S1 using the Split Validation method, with a 70% split for training and 30% split for testing Classifier Accuracy (%) Precision (%) Sensitivity (%) Specificity (%) DT RF (100 trees) LR SVM NB NN

88.99 94.50 94.50 94.50 95.41 94.50

86.27 100.00 100.00 100.00 100.00 100.00

89.80 87.76 87.76 87.76 89.80 87.76

88.33 100.00 100.00 100.00 100.00 100.00

Table 23.3 Split Validation Technique, with a 70% split for training and 30% split for testing, using the dataset with a correlation feature selection Classifier Accuracy (%) Precision (%) Sensitivity (%) Specificity (%) DT RF (100 trees) LR SVM NB NN

91.74 93.58 93.58 93.58 94.50 93.58

91.30 95.45 95.45 95.45 95.56 95.45

89.36 89.36 89.36 89.36 91.49 89.36

93.55 96.77 96.77 96.77 96.77 96.77

The results from each DM model can be observed in Table 23.2 for the S1 and Table 23.3 for the S2, using the Split Validation method. As it can be observed both in Tables 23.2 and 23.3, overall the results were satisfactory in every algorithm and very similar in both scenarios, which can be explained by the lack of instances of the dataset, where only 109 (30%) instances were used to test the model. The best model for S1 with Split Validation was obtained applying the NB algorithm, achieving an accuracy of 95.41%, a precision of 100.00%, a sensitivity of 89.80% and a specificity of 100.00%. For S2, the best classifier was also the NB, with an accuracy of 94.50%, a precision of 95.56%, a sensitivity of 91.49% and a specificity of 96.77%. Looking at these results, it is possible to infer that S1, for the Split Validation technique, in general, obtained the best results. The classifier that had the worst performance overall in both scenarios was the DT classifier, achieving the worst accuracy, 88.99% for S1 and 91.74% for S2, as well as the worst precision, 86.27% for S1 and 91.30% for S2. The results obtained using 10 folds Cross Validation are presented in Tables 23.4 and 23.5. For S1 (Table 23.4), in terms of the accuracy, the best classifiers by a small margin were the RF and NN classifiers with 94.49%. In terms of the precision metric, the classifier that had the best result with Cross Validation was the NN algorithm, with a precision of 98.78%. The best sensitivity belongs to the DT, RF and NB classifiers, which obtained 90.56% each. The best specificity was reached using the NN algorithm with 98.91%. Therefore, the best overall algorithm for S1 was the NN classifier.

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Table 23.4 Results obtained for S1 using 10 folds Cross Validation Classifier Accuracy (%) Precision (%) Sensitivity (%) DT RF (100 trees) LR SVM NB NN

94.21 94.49 93.66 94.21 94.21 94.49

97.60 98.19 97.01 97.56 97.60 98.78

90.56 90.56 90.00 90.40 90.56 90.00

Table 23.5 Results obtained for S2 using 10 folds Cross Validation Classifier Accuracy (%) Precision (%) Sensitivity (%) DT RF (100 trees) LR SVM NB NN

93.66 94.21 94.49 94.49 94.21 94.21

95.29 97.56 98.76 98.76 97.56 98.15

91.53 90.40 89.83 89.83 90.40 89.83

Specificity (%) 97.81 98.36 97.27 97.85 97.81 98.91

Specificity (%) 95.70 97.85 98.92 98.92 97.85 98.39

For S2 (Table 23.5), the best classifiers were either the SVM or the LR classifiers, both achieving an accuracy of 94.49%, which is the same accuracy that was produced by the RF and NN classifiers in S1. In terms of the best precision, once again SVM and LR were the best ones, which means these two classifiers are the ones that are capable of predicting cases of dementia with more certainty. In its own turn, the DT classifier beats all other algorithms when it comes to measuring sensitivity, with a value of 91.53%. Once again, LR and SVM reached a higher standard when it comes to specificity, which measures the proportion of people who don’t have dementia and got predicted correctly, with 98.92% in this metric. Hence, when using Cross Validation with 10 folds, the best classifier for S2, is either the SVM or the LR classifier. Finally, the best overall results obtained in this study were achieved with S1, the scenario that contains the MR Delay, Age, EDUC, SES, MMSE, CDR, eTIV, nWBV attributes, the Split Validation technique and the NB classifier. Observing these results, one can conclude that the features removed in S2, namely MR Delay, M/F, and ASF, are very important predictors for forecasting the cases of dementia. Comparing the results obtained with the work mentioned in Sect. 23.2, this study achieved significantly higher accuracy values, the most common evaluation metric among the studies.

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23.5 Conclusion and Future Work Using real data about MRI scans on patients, it is possible to conduct a DM process in order to classify whether an adult suffers from dementia or not, as this study attempts to prove. This work consisted in the application of several DM classifiers to predict the mental condition of a person using clinical and demographic attributes. The Alzheimer’s disease has several particular characteristics that can be good predictors of this condition, and can be useful to develop a forecasting model capable of assisting health professions in the medical decision-making process. In order to study the influence of some features in this prediction, different scenarios were tested. Every model developed proved to be efficient in this case, whether using Split Validation or Cross Validation, or even considering both scenarios, the accuracy of the classifiers was always higher than 89%. Overall, the NB algorithm obtained the highest accuracy of 95.41% using Split Validation on the dataset with all features (S1). It also achieved a precision of 100.00%, a sensitivity of 89.80% and a specificity of 100.00%. Finally, since the dataset was already small and even 10 instances smaller after the data preparation, more data should be collected in order to test and train the classifiers more adequately, before deploying it in a real world situation. Also, the Hand attribute was useless in this study, so it is important, in the future, to collect data from individuals with a dominant left hand in order to analyze the effects of that attribute in the prediction. The family history is also an interesting feature to take into account, as it can be a good indicator of the risk of developing the disease. In addition, a more in depth investigation on the subject of dementia, including a partnership with medical personnel, should be carried out. Finally, classifiers should suffer some kind of hyper parameter tuning, in order to find and use the best parameters for the given data, instead of executing the classifier with the standard parameters. Overall, the results presented in the last section were satisfactory and prove that the steps taken in the data preparation were adequate. Hence, the whole process came together and achieved good results for the problem at hand. Acknowledgements This work has been supported by FCT – Fundação para a Ciência e Tecnologia within the R&D Units Project Scope: UIDB/00319/2020.

References 1. WHO: Last accessed: 2021/01/22. www.who.int/news-room/fact-sheets/detail/dementia 2. Wimo, A., Winblad, B., Aguero-Torres, H., von Strauss, E.: The magnitude of dementia occurrence in the world. Alzheimer Disease & Associated Disorders 17(2), 63–67 (2003) 3. What Is Dementia? In: Alzheimer’s Disease and Dementia. Last accessed 2021/11/21, www. alz.org/alzheimers-dementia/what-is-dementia 4. Arvanitakis, Z., Shah, R. C., Bennett, D. A.: Diagnosis and management of dementia. Jama, 322(16), 1589–1599 (2019)

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5. Robinson, L., Tang, E., Taylor, J. P.: Dementia: timely diagnosis and early intervention. Bmj 350, h3029 (2015) 6. Neto, C., Rodrigues, C., Mendonça, E., Sartori, L., de Pinho, R., Ferreira, D., Abelha, A., Machado, J.: Data Mining approach to understand the association between mental disorders and unemployment. In: International Conference on Information Technology & Systems, pp. 70–79. Springer, Cham (2021) 7. Battineni, G., Chintalapudi, N., Amenta, F.: Machine learning in medicine: Performance calculation of dementia prediction by support vector machines (SVM). Informatics in Medicine Unlocked 16, 100200 (2019) 8. Maroco, J., Silva, D., Rodrigues, A., Guerreiro, M., Santana, I., de Mendonça, A.: Data mining methods in the prediction of Dementia: A real-data comparison of the accuracy, sensitivity and specificity of linear discriminant analysis, logistic regression, neural networks, support vector machines, classification trees and random forests. BMC research notes 4(1), 1–14 (2011) 9. Raut, A., Dalal, V.: A machine learning based approach for detection of alzheimer’s disease using analysis of hippocampus region from MRI scan. In: 2017 International Conference on Computing Methodologies and Communication (ICCMC), pp. 236–242. IEEE (2017) 10. Shahbaz, M., Ali, S., Guergachi, A., Niazi, A. Umer, A.: Classification of Alzheimer’s disease using machine learning techniques. In: DATA, pp. 296–303 (2019) 11. Neto, C., Brito, M., Lopes, V., Peixoto, H., Abelha, A., Machado, J.: Application of data mining for the prediction of mortality and occurrence of complications for gastric cancer patients. Entropy 21(12), 1163 (2019) 12. Boysen, J.: MRI and Alzheimers—magnetic resonance imaging comparisons of demented and nondemented adults, Version 1. (2017). www.kaggle.com/jboysen/mri-and-alzheimers 13. Martins, B., Ferreira, D., Neto, C., Abelha, A., Machado, J.: Data Mining for Cardiovascular Disease Prediction. Journal of Medical Systems, 45(1), 1–8 (2021)

Chapter 24

VR-test ViKi: VR Test with Visual and Kinesthetic Stimulation for Assessment Color Vision Deficiencies in Adults Sonia Cárdenas-Delgado, Mauricio Loachamín-Valencia, and Bryan Rodríguez-Reyes Abstract Visual color perception in humans is produced in the sensitive cells of the retina, which are called cones. There are three types of cones: those that capture red, green, and blue light. The deficiency of color perception implies that the person sees different colors from other people, and “confuses” or interchanges some of them, or that sees directly in black and white. Some professions such as pilots, surgeons, electricians, dentists, designers, among others, require an accurate perception of color to be able to safely perform their functions. There are several traditional test for diagnosing color vision deficiencies and applications using conventional devices. In this work, we propose a new approach to assess the color vision deficiencies using VR devices. We are developing a visual color test (VR-test ViKi) based on the Ishihara test including visual and kinaesthetic stimulation. It includes a virtual environment, ten 3D objects, a predetermined short path, a bridge, four circular figures with numbers, 3D objects, a hummer modeled on the inside and outside, and a virtual task. Also, the virtual environment shows three conditions: sunny, rainy, and night. Two types of HMDs will be used. Assessment methods will include two questionnaires (SSQ and PQ), the Ishihara test, remember the numbers seen, and time task. Also, we will compare the performance between the Ishihara test and VR-test ViKi. This research will contribute to improve the visual evaluation process in access to aviation schools. We will contribute with a complementary tool to assess color vision deficiency.

S. Cárdenas-Delgado (B) · M. Loachamín-Valencia · B. Rodríguez-Reyes Departamento de Ciencias de la Computación, Universidad de Las Fuerzas Armadas ESPE, Av. General Rumiñahui S/n, 171-5-231B Sangolquí, Ecuador e-mail: [email protected] M. Loachamín-Valencia e-mail: [email protected] B. Rodríguez-Reyes e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_24

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24.1 Introduction Virtual reality technology can simulate and generate a 3D virtual world that provides military personnel with visual, auditory, and tactile simulations, allowing users to be introduced to 3D space as in a real world. This is why, the prototype scenario developed and simulated through virtual reality technology can be so well-known by people and achievable through tools, and it can also be so difficult and even impossible to be felt by people. VR systems are also being applied in clinical, educational and research purposes as well. Recent studies using virtual reality have shown an increase in responsiveness, immersion, interaction, perception and understanding. The realism can be perceived with various conditions [14]. Vision is a fundamental function for learning, working, reading, driving, piloting aircraft, as well as for carrying out different activities in daily life. People with visual disabilities could have useful vision for their daily life (travel, housework, reading, work, etc.); however, it could affect in many aspects, especially because of the considerable effort that this requires even when they are used technical help. Most visual impairments are the result of damage to one or more structures of the eye, for example, reduced ability to see color or contrast, or difficulty with lighting and glare, reduced visual fields, tunnel vision, or spots blind, absence of stereoscopic vision, difficulty for the brain to receive and process visual information, or some combination of these [22]. Visual color deficiency can be caused by various factors such as eye disease, medication, strokes, or physiological processes. People who are visually impaired in color may experience challenges with activities of daily living that require color discrimination. In addition, some professions as pilots, surgeons, electricians, dentists, among others, require an accurate perception of color to be able to safely perform their functions [23]. Of all affected people with color deficiency, there is a higher prevalence in men up to 8% and at least the 0.5% in women [3, 8, 25]. Red-green color deficiency is the most common form of this deficiency and refers to protanopia (red deficiency), protanomaly (red weakness), deuteranopia (green deficiency) and deuteranomalia (green weakness) [11]. For the diagnosis of color problems, there are several methods which are determined with pseudoisochromatic plates, among them the Stilling and Ishihara test 6 [3], Farnsworth-Munsell 100 Hue Color Test Vision (FM 100 Hue Color Test Vision) [13] and HRR [2]. In previous works related to ophthalmology and optometry, different traditional tests have been used, online applications using conventional monitors or displaying images through a projector. However, to our knowledge, virtual reality devices and converging technologies have not been used to assess visual impairments such as color vision. Our hypothesis consists of a virtual reality system with visual and kinaesthetic stimulation that could be a useful and complementary tool in the process of assessing

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color vision in adults. It is intended to mitigate incidents during air operations carried out by pilots on their missions due to these visual deficiencies. We will use two HMDs to visualize the environment and objects. For interaction and exploration in the virtual environment, we will use two devices with motion control technology. Participants will also evaluate usability and interaction after using the VR-Test ViKi. The paper is structured as follows. Section 24.2 a review of related studies with different visualization systems, VR head-mounted displays, color perception, and standard tests widely used for this type of studies. Section 24.3 describes research proposal, approach to development involved in this work, hardware, software, measures and a brief description of the procedure that will be carried out. Finally, Sect. 24.4 presents the conclusions and future work of research.

24.2 Background Recently, VR technology has received special attention thanks to the development of a variety of technological tools and devices which allow exploring and interacting with virtual worlds, especially the head-mounted displays (HMD), have extended the accessibility of virtual reality (VR) to a wide segment of the population and the research community [5, 9, 12, 18, 19]. The advantage of using virtual reality (VR) environments and HMDs is that they help to generate real scenes seen in first person from different angles, navigate, interact and manipulate it, and create a sense of presence [6]. Furthermore, there are several advances in terms of simulators using virtual reality (VR), which can train safely and profitably to drivers, pilots and surgeons. Also, the use of virtual reality helps to assess visual deficiencies related to the perception of color and depth of objects [6, 12, 26]. In the field of ophthalmic diagnosis, significant advances have been made in the development of computer applications and devices; however, only LCD screens, tablets, and projectors are used to diagnose some visual functions [7, 24, 27]. Color vision is the ability of human to distinguish objects based on frequencies of the light energy, the absorption of light by photosensitive pigments in the cone cells of the retina and their neural interpretation within the visual system. A person’s perception of colors is a sensitive and subjective process performed by the brain based on incoming light stimuli, the reaction with the various types of photoreceptor cells in the retina, and signals that are sent to the occipital cortex [7, 11]. People with color vision deficiency see fewer separate hues in their environment; therefore, they confuse the colors that would normally be easily distinguishable by people with normal color vision. Color perception is made possible by cone photoreceptor cells found in the retina. There are three types of cone photoreceptors, each with a different spectral sensitivity and containing a different photo pigment. There are three types of cones: the long-wavelength cones (L-cones), which corresponding to a greater sensitivity to red; the medium-wavelength cones (M-cones),

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which responsive to green; and the short-wavelength cones (S-cones); which relates to color sensitivity to blue [11, 16]. In previous work, different types of color vision tests have been used. They are performed monocularly when an acquired color deficiency is suspected or when monitoring the possible progression of an ocular disease [1]. Simple manual tests and computer-generated color tests have been used for the evaluation of color vision. Among the computerized tests are the Cambridge color test, ECV, Rabin’s cone, Ishihara, HRR, City University, and others [4, 10, 20, 21]. The Ishihara test is the world’s best-known color vision deficiency test and is the most widely used test today (Dr. Shinobu Ishihara from Japan, 1917). It consists of three different widely used test kits that are based on pseudoisochromatic plates [15, 28]. In this work, we develop a visual color test using visualization devices based on the Ishihara test, including movement and exploration. It is intended to mitigate incidents during air operations carried out by pilots on their missions due to these visual deficiencies. The visual kinaesthetic VR test (VR-test ViKi) could be a useful and complementary tool in the vision assessment process in adults.

24.3 Approach to Develop the VR-test ViKi 24.3.1 Motivation As far as it is known, visual evaluation protocols are applied in aviation schools for the admission of aspiring pilots; however, the visual perception of color and depth is not evaluated. Furthermore, so far no technological tool and VR devices has been implemented for this purpose.

24.3.2 Development Proposal and Research Using computer-generated color tests allow testing of neural processing in specific locations on the retina, to detect and monitor congenital or acquired color vision deficits. Color vision deficiency occurs when one or more cones are absent or have abnormal function. The Ishihara test is commonly used to diagnose color deficiency. The test consists of pseudoisochromatic plates and has been shown to be a reliable detection method for visual color deficiency. A technological tool based on the Ishihara test will be developed. We will use two HMDs to visualize the environment and objects, which will allow us to assess visual attention. For interaction and exploration in the virtual environment, we will use

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two devices with motion control technology, motor coordination and displacement. Participants also will evaluate usability and interaction after using the VR-TestViKi. The visual kinaesthetic VR test (VR-test ViKi) could be a useful and complementary tool in the vision assessment process in candidate pilots. This test is intended to contribute to the visual assessment protocol for admission to aviation schools. This work proposes to develop a visual test using visual and kinaesthetic stimulation, and VR devices. This research will contribute to: (a) to improve the visual evaluation process in access to aviation schools; (b) to have a useful and complementary tool to assessing color vision deficiency in pilot candidates; (c) to guarantee the occupational safety of pilot personnel to mitigate incidents during air operations.

24.3.3 Design and Development We propose to develop a VR test with visual and kinaesthetic stimulation (VRtest ViKi). The development of this VR-test includes hardware and software. The components of the hardware are the VR engine, the input and output devices. The software is the application and database. The application involves tools and software for modeling, designing, and developing. The database will be a repository where the task data is stored. Furthermore, it will include a virtual environment, 3D objects and a virtual task for the evaluation of the elements related to color vision. The scheme of the proposed VR-test ViKi. It can be see in Fig. 24.1. The virtual environment includes ten 3D objects, a predetermined short path, a bridge, four circular figures with numbers based on the Ishihara test (see Fig. 24.2), and a hummer modeled on the inside and outside. In addition, the hummer has a steering wheel, lever and pedals virtual, which are synchronized with the physical

Fig. 24.1 Scheme of the VR-system

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(a)

(b)

(c)

Fig. 24.2 Hummer Navigation Route. a sunny environment, b night environment, c rainy environment

(a) External View

(b) Internal View

Fig. 24.3 Designs environments

elements for better interaction and feeling of realism. In Fig. 24.3 the elements of the virtual environment can be seen. The virtual task consists of driving and keep the vehicle on the road, to see the numbers that are randomly displayed during the journey. The participant must say and remember the numbers seen. Also, the virtual environment shows three conditions: sunny (see Fig. 24.4a), night (see Fig. 24.4b), and rainy (see Fig. 24.5). The VR-test ViKi is being developed on a computer with an Intel Core i7 processor, 32GB of RAM and with a Windows 10 operating system, the equipment includes a 4GB NVIDIA GeForce GTX-1080 video card. The visualization devices are an HMD Oculus Rift and HTC vive. These VR device includes motion sensors, surrounding sound and 360◦ vision, these elements allow to feel immersion within the virtual environment. The interaction with the virtual environment will use a steering wheel, lever, and pedals. The virtual scenes were developed using Unity Personal and programs with C# and Javascript. To model the 3D objects, we used Blender.

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(b) Night environment

Fig. 24.4 Task environments

Fig. 24.5 Rainy environment

We will analyze and compare three experimental conditions of visualization and navigation inside a same virtual environment. The experimental conditions will be: sunny, rainy, and night. Each condition will use two types of HMDs. These devices will display the virtual environment with the 3D objects, while experiencing the visual and kinaesthetic stimulation.

24.3.4 Measurements To carry out the experiment, the following protocol will be applied. Before each session, all participants will receive an explanation and written information about the purpose and procedures to be performed in the study. Participants filled out a personal data questionnaire and signed an informed consent form. The whole study

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Fig. 24.6 Experimental validation protocol

will be carried out in accordance with the principles established in the Declaration of Helsinki. The proposed protocol for the experimental validation can be seen in Fig. 24.6. In our experiment, we will apply: the Personal Data Questionnaire (PDQ), the Simulator Sickness Questionnaire (SSQ), and the Ishihara test. The Personal Data Questionnaire (PDQ) will be applied first before the exhibition. The second questionnaire applied will be the Simulator Sickness Questionnaire (SSQ) [17] to evaluate the symptoms of motion sickness. This questionnaire will be applied twice, before the exposure (SSQ Pre-test) and once after the exposure (SSQ Post-test). Afterward, we will use the Ishihara test. The test consists of pseudoisochromatic plates that allow reliable detection of color deficiencies. Pseudoisochromatic plates consist of a figure or pattern made up of colored dots of different sizes embedded in a background of different colored dots [1, 6]. Then, the third questionnaire that will be applied we will applied the Presence Questionnaire [29], the questions these are related to the depth of objects, sense of moving around inside the virtual environment, the interaction, and perception of the participants about the immersive experience. Also, two questions about satisfaction will be employed.

24.3.5 Procedures Participants performed two stages in each experimental task. Each participant will be instructed about how to use the devices, such as the HMD, steering wheel, pedals and lever. The participant will be also urged to pay attention at each stage of the task, as well as, to remember the objects of the environment. The first questionnaire

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administered will be the Personal Data Questionnaire (PDQ) and filled out per each participant previous to the task. Afterward, they will assess for color vision using the Ishihara-test cards. Then, the participants will perform the virtual task. Furthermore, the assess variables will be recorded. Finally, when they finish the task, they answer the questionnaire to know their perceptions about usability and interaction.

24.4 Conclusions and Future Works The aim of this work is assessing the color vision deficiencies. The proposal consists of a virtual reality system with visual and kinaesthetic stimulation. To perform the study, we propose developing a VR-test ViKi. It will include a virtual environment, 3D objects and a virtual task for the evaluation of the elements related to color vision. We will use two HMDs to visualize the environment and objects, which will allow us to assess visual attention. For interaction and exploration in the virtual environment, we will use two devices with motion control technology, motor coordination, and displacement. To collect the data, we will establish a protocol and apply specialized questionnaires to assess the motion sickness before and after of exposure. With regards to assess for color vision, we will use the Ishihara-test cards. Also, participants will evaluate usability and interaction after using the VR-test ViKi. Furthermore, we will compare the result obtained with the Ishihara-test cards and the data collected in the virtual task. This research will contribute to improve the visual evaluation process in access to aviation schools. In addition, this work will contribute with a useful and complementary tool to assess color vision deficiency in pilot candidates. This technological tool could be a useful and complementary tool in the process of visual assessing for admission to pilot schools. Our future work is oriented to carry out the experimental validation of our VR-test ViKi, to perform the comparison and analyses of the results with the Ishihara test, and to verify the hypothesis of our research. Acknowledgements This work was mainly funded by the “VisioStereo-Diagnostic PIS-10” project researchers of Universidad de las Fuerzas Armadas ESPE. We appreciate to Mr. Major COM. Pablo Albán Ruiz, who is the director of CICTE, for his support for the development of this work.

References 1. Birch, J., Chisholm, I., Kinnear, P., Pinckers, A., Pokorny, J., Smith, V., Verriest, G.: Clinical testing methods. In: Congenital and acquired color vision defects, pp. 83–135 (1979) 2. Birch, J.: Identification of red-green colour deficiency: sensitivity of the Ishihara and American Optical Company (Hard, Rand and Rittler) pseudo-isochromatic plates to identify slight anomalous trichromatism. Ophthalmic Physiol. Opt. 30(5), 667–671 (2010) 3. Birch, J.: Worldwide prevalence of red-green color deficiency. J. Opt. Soc. Am. A 29(3), 313– 320 (2012)

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4. Birch, J., Barbur, J.L., Harlow, A.: New method based on random luminance masking for measuring isochromatic zones using high resolution colour displays. Ophthal. Physiol. Opt. 12(2), 133–136 (1992) 5. Cárdenas-Delgado, S., Juan, M.C., Méndez-López, M., Pérez-Hernández, E.: Could people with stereo-deficiencies have a rich 3d experience using HMDs? In: Lecture Notes in Computer Science, vol. 10513, pp. 97–116 (2017) 6. Cárdenas-Delgado, S., Loachamín-Valencia, M., Calderón, M.: VR-system ViPoS: VR system with visual and postural stimulation using HMDs for assessment cybersickness in military personnel. In: Smart Innovation, Systems and Technologies, pp. 71–84. Springer, Berlin (2018) 7. Chaparro, A., Chaparro, M.: Applications of color in design for color-deficient users. Ergon. Des. 25(1), 23–30 (2017) 8. Deeb, S.S.: The molecular basis of variation in human color vision (2005) 9. Hadjidimitrakis, K.: Coupling of head and hand movements during eye-head-hand coordination: there is more to reaching than meets eye. J. Neurophysiol. 123(5), 1579–1582 (2020) 10. Hasrod, N., Rubin, A.: Colour vision: a review of the Cambridge colour test and other colour testing methods. Afr. Vis. Eye Health 74(1), 7 (2015) 11. Hasrod, N., Rubin, A.: Defects of colour vision: a review of congenital and acquired colour vision deficiencies. Afr. Vis. Eye Health 75(1), 1–6 (2016) 12. Helmreich, R.L., Merritt, A.C.: Culture at Work in Aviation and Medicine: National, Organizational and Professional Influences. Routledge (2019) 13. Hoffmann, A., Menozzi, M.: Computer-basierte bestimmung von rot/grün-farbanomalien— computer-based assessment of red/green colour vision deficiencies. Biomed. Eng./Biomedizinische Technik 43(5), 124–132 (1998) 14. Huang, S., Bailenson, J.: Close relationships and virtual reality. In: Mind, brain and technology, pp. 49–65. Springer, Cham (2019) 15. Ishihara, S.: Tests for colour-blindness. Handaya, Tokyo (1917) 16. Kalloniatis, M., Luu, C.: Color perception. In: Webvision: The Organisation of the Retina and Visual System. WordPress (2011) 17. Kennedy, R.S., Lane, N.E., Berbaum, K.S., Lilienthal, M.G.: Simulator sickness questionnaire: an enhanced method for quantifying simulator sickness. Int. J. Aviat. Psychol. (1993) 18. Kushner, D.: Virtual reality’s moment. IEEE Spectrum 51(1), 34–37 (2014) 19. McGill, M., Boland, D., Murray-Smith, R., Brewster, S.: A Dose of Reality, pp. 2143–2152. ACM Press (2015) 20. Niwa, Y., Muraki, S., Naito, F., Minamikawa, T., Ohji, M.: Evaluation of acquired color vision deficiency in glaucoma using the Rabin Cone contrast test. Invest. Ophthalmol. Vis. Sci. 55(10), 6686–6690 (2014) 21. Rabin, J., Gooch, J., Ivan, D.: Rapid quantification of color vision: the cone contrast test. Invest. Ophthalmol. Vis. Sci. 52(2), 816–820 (2011) 22. Sapp, W.: Visual impairment. In: International Encyclopedia of Education, 3rd edn, pp. 880– 885. Elsevier, Oxford (2010) 23. Sehlapelo, R., Oduntan, A.: Effect of optical defocus on colour perception. Afr. Vis. Eye Health 66(2), 77–81 (2007) 24. Semary, N., Mandour, S., Marey, H.: Ishihara electronic color blindness test: an evaluation study. Ophthalmol. Res. 3, 67–75 (2014) 25. Sharpe, L.T., Stockman, A., Jägle, H., Nathans, J.: Opsin genes, cone photopigments, color vision and colorblindness. In: Color vision: From Genes to Perception. Cambridge University Press (1999) 26. Taheri, S.M., Matsushita, K., Sasaki, M.: Development of a driving simulator with analyzing driver’s characteristics based on a virtual reality head mounted display. J. Transp. Technol. (2017) 27. van Staden, D., Mahomed, F.N., Govender, S., Lengisi, L., Singh, B., Aboobaker, O.: Comparing the validity of an online Ishihara colour vision test to the traditional Ishihara handbook in a South African University population. Afr. Visi. Eye Health 77(1) (2018)

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28. Web: Ishihara’s test for colour deficiency: 38 plates edition. www.color-blindness.com/ ishiharas-test-for-colour-deficiency-38-plates-edition/ 29. Witmer, B.G., Singer, M.J.: Measuring presence in virtual environments: a presence questionnaire. Presence Teleoper. Virt. Environ. 7(3), 225–240 (1998)

Chapter 25

Cardio Monitoring and Geolocation Control System for Guards of the Armed Forces with LoRa Technology Víctor Mora, Enrique Guzmán, David Ruete, Jairo R. Coronado-Hernández, and Gustavo Gatica Abstract Guards permanently secure military dependences. However, the availability of personnel requires ensuring their cardiac health and location. To know, the current status of the guards are required to have updated health status data. In this context, the design, hardware, and software architecture of a device using the LoRa protocol are presented. The system monitors, controls, and registers the personnel’s position, and using a button allows requesting help in the case is required. The measured statistics validate if every guard has an appropriate heart rate, is in the assigned position, and requires collaboration. The results at the prototype level are satisfactory. Tests have been carried out in the Chilean Air Force. The project is in the process of validation by the responsible entities.

25.1 Introduction The result of implementation with LoRa technology, used in the Internet of Things (IoT) [1], and WebSocket for bidirectional communication [2], is presented. A system for georeferencing and monitoring the heart rate of guards of the Chilean Air Force in perimeter areas within military bases is presented. This system will increase the V. Mora · E. Guzmán · D. Ruete · G. Gatica Universidad Andres Bello, Santiago, Chile e-mail: [email protected] E. Guzmán e-mail: [email protected] D. Ruete e-mail: [email protected] G. Gatica e-mail: [email protected] J. R. Coronado-Hernández (B) Universidad de La Costa, Barranquilla, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_25

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knowledge base on the status of the guards of the guard company. Also, it will allow the experimental validation of low-cost technology that does not alter other types of communications used by guards. In this way, it is possible to know the sentry’s alert status, reduce the time of uncertainty of the current status of the guards, and increase the protection of the sentry in critical sectors. The success measures will be based on the CVM, which refers to the current value of the metric, and the SCM, which is the success criterion of the metric.

25.2 Materials and Methods A robust technological architecture is implemented at the minimum viable product level under development, based on hardware/software layers. The hardware architecture design considers a unit to capture data through a heart rate sensor, GPS position, and a manual activation button for alerts. This data is transmitted by a LoRa wireless module through a Gateway, with a LoRa transmitter to be forwarded to the messaging server (Broker) and finally, processed by the application server, as shown in Fig. 25.1.

Fig. 25.1 Software/Hardware architecture design

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Fig. 25.2 Mobile device assembly

25.2.1 Mobile Device A 3.7 V 1000 mA-h battery powers the mobile unit. The GPS module has a serial connection to a SAMD 21 board [3]. The heart rate sensor is a max-30102 pulse rate sensor using the I2C interface of the board, and the button is connected to the digital pin. The LoRa device’s transmission is integrated into the board with an external 915 MHz antenna, as shown in Fig. 25.2.

25.2.2 Gateway For the mobile device gateway, a Dragino LG01 Gateway is used, which has a LoRa transmitter, which can be connected to an IP network via MQTT protocol [4]. MQTT is used for the Internet of Things [5]. It is powered with a 16 dBm outdoor antenna, as presented in Fig. 25.3.

25.2.3 Application Server The Message Queuing Telemetry Transport (MQTT) protocol is used for the data coming from the Gateway. Thus, employing a messaging Broker (Moska) [6], it connects to an application server developed in NodeJS for the Backend and Angular for the Frontend [7]. They communicate via WebSocket protocol, as shown in Fig. 25.4.

25.2.4 Integration of Map Module The map module is hosted in the Frontend of the monitoring system. The free, opensource Leaflet API is used to make the map component available [8]. The API allows

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Fig. 25.3 Gateway with external antenna

Fig. 25.4 Communication between components

making sensor locations available in real time, with customized information in its icons as presented in Fig. 25.5.

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Fig. 25.5 Geolocation module

25.2.5 Integration Cardiac Monitor Module For the implementation of the graphic module, the Chart.js library will be used; the library designed in Javascript allows to display of graphics dynamically in real time [9]. Through the WebSocket connection located in the presentation layer of the monitoring system. Notifications are displayed when a user presses a button to alert about an unusual situation. The cardiac monitor is responsible for real-time notification of the sentinel’s heart rate and alerts if measurements reach stress and rest threshold values, as shown in Fig. 25.6.

Fig. 25.6 Cardiac monitor module

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25.3 Results The results are presented in two stages. The first considers the connectivity tests performed from the mobile device to the Gateway and the second from the Gateway to the application server. Two metrics are considered, current measured value (CVM) and success criterion of the metric (SCM) as presented in Table 25.1.

25.3.1 Mobile Device Connectivity to Gateway The obtained results are the tests performed in an urban area, with a bandwidth (BW) of 125 kHz (the minimum allowed by LoRa devices) [10]. The Spreading Factor (SF) configuration presents the most significant results in the 7 to 10 configurations for received values (VR), as shown in Table 25.2 and Fig. 25.7. Table 25.1 Success criteria and metrics Metric

CVM

SCM

Time taken to know the alertness of a sentinel

t > 40 min

t < 2 min

Time to know if sentry is under stress and if sentry is on the move

t > 40 min

t < 2 min

Time to report sentry threats to the guard force

t > 1 min

t < −10 seg

Table 25.2 Scoping and values test results

SF

Distance (m)

VR

7

580

300

8

730

491

9

800

241

10

760

278

Fig. 25.7 SF versus distance and VR graph

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Fig. 25.8 Gateway to Broker testing

Fig. 25.9 Connection from Backend to Frontend

25.3.2 Gateway Connectivity to the Application Server Twenty clients are replicated in a simulated way from the Gateway to the Broker [4] to subsequently access the NodeJs server, all through the MQTT protocol. The expected result is to generate communication in less than 1 s per message received, as shown in Fig. 25.8. Regarding the data sent from the Backend server to the Frontend of the application, the delay reaches only milliseconds and without corrupted messages of the alert notification, heart rate, and GPS coordinates. The schematic shows that the web server sends the data obtained by all the sensors through a permanent virtual channel provided by the WebSockets protocol, which is sent to the Frontend developed in Angular and presented in the browser with the Google Chrome console, as shown in Fig. 25.9.

25.4 Discussion In the following, the analysis of the preliminary test results obtained will be presented. According to the Semtech manual [10], as the Spreading Factor increases, it increases

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directly to the distance, achieving a maximum range of 800 m; however, the configuration depends on where the signal is deployed. As for the number of received values, as the Spreading Factor increases, it also decreases to the number of values; however, the variation of values is not directly proportional due to the number of obstacles at the test site. There were no significant delays from the Gateway to the Broker for the connection to the application servers when communication was established with the MQTT protocol at the network layer. The same happened from the Broker to the Backend server; the same results were obtained using WebSocket technology to communicate the Backend with the Frontend.

25.5 Conclusions According to the results obtained from the preliminary studies, LoRa and WebSocket technology have the potential to fulfill the task of a monitoring system at the level of the armed forces, since the measurements exceed the requirements of the proposed metrics by a wide range because the messages received by the system are less than 2 s. Security testing of message transmission is still to be generated, as LoRa and Websocket technology are not encrypted like the MQTT protocol and therefore require an extra layer of security in the architecture. The project is currently in progress, given the Chilean social situation [11] and the Pandemic. Acknowledgements This research was part of a Master’s thesis in Computer Science, supported by the Research Management of Universidad Andres Bello and the Chilean Air Force.

References 1. Muthanna, M.S.A., Wang, P., Wei, M., Abuarqoub, A., Alzu’bi, A., Gull, H.: Cognitive control models of multiple access IoT networks using LoRa technology. Cognit. Syst. Res. 65, 62–73 (2021) 2. Pani, S.K., Rautaray, S.S., Pandey, M.: IoT: the theoretical fundamentals and practical applications. In: Internet of Things: enabling technologies, security and social implications. Springer, Singapore, pp. 1–16 (2021) 3. SparkFun Pro RF-LoRa, 915MHz (SAMD21). https://www.sparkfun.com/products/15836 4. LG01 LoRa Gateway User Manual. https://www.dragino.com/downloads/downloads/UserMa nual/LG01_LoRa_Gateway_User_Manual.pdf 5. Saini, J., Dutta, M., Marques, G.: Sensors for indoor air quality monitoring and assessment through Internet of Things: a systematic review. Environ. Monit. Assess. 193(2), 1–32 (2021) 6. Bansal, M.: Performance Comparison of MQTT and CoAP protocols in different simulation environments. in inventive communication and computational technologies. Springer, Singapore, pp. 549–560 (2021) 7. Jung, K., Gascon-Samson, J., Goyal, S., Rezaiean-Asel, A., Pattabiraman, K.: ThingsMigrate: Platform-independent migration of stateful JavaScript Internet of Things applications. Softw. Pract. Exp. 51(1), 117–155 (2021)

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8. Sang, K., Piovan, S., Fontana, G.L.: A WebGIS for visualizing historical activities based on photos: the project of yunnan-vietnam railway web map. Sustainability 13(1), 419 (2021) 9. ChartJS. https://www.chartjs.org/docs/latest/developers/updates.html 10. Semtech. Datasheet SX1276 LoRa. https://semtech.my.salesforce.com/sfc/p/#E0000000JelG/ a/2R0000001Rbr/6EfVZUorrpoKFfvaF_Fkpgp5kzjiNyiAbqcpqh9qSjE 11. Valenzuela, H.C., Sáez, J.B.: ¿Revolución, revuelta, despertar de un pueblo o “estallido social”? A un año de la crisis de octubre de 2019 en Chile. Revista F@ ro 2(32) (2020)

Part IX

Defense Engineering

Chapter 26

A Methodological Proposal for Managing Operational Risk by Integrating Agility Eduardo Recabarren-Domínguez, Felipe A. López, Fermín Ferriol, and Gustavo Gatica

Abstract Today’s processes are dynamic, in particular how customers purchase products and/or services from financial institutions. Therefore, organizations face the challenge of establishing business strategies focused on the customer and building long-lasting relationships. This implies accelerating the needs of a digital transformation both toward the customer and in internal processes. A framework for risk management, applicable to digital transformation projects, is presented under an agile approach to manage and manage operational risks. Thus, through a methodology based on the application of a set of Scrum best practices, it is integrated into the current risk management tools of a banking institution. The results are scalable and extensible to Financial and Governmental Institutions. Resumen Hoy los procesos son dinámicos, en particular, el cómo los clientes adquieren productos y/o servicios de las instituciones financieras. Por ello, las organizaciones se enfrentan al desafío de establecer estrategias de negocio focalizadas en el cliente y en construir relaciones duraderas. Lo anterior, implica acelerar las necesidades de una Transformación digital tanto hacia el cliente como en los procesos internos. Se presenta un marco para la gestión de riesgos, aplicable a proyectos de transformación digital, bajo un enfoque ágil, para administrar y gestionar los riesgos operacionales. Así, mediante una metodología basada en la aplicación de un conjunto de buenas prácticas de Scrum, se integran a las herramientas actuales E. Recabarren-Domínguez Engineering Faculty, Universidad de Santiago de Chile, Santiago, Chile e-mail: [email protected] F. A. López Risk Consulting, Rheoli, Santiago, Chile e-mail: [email protected] F. Ferriol Education Faculty, Universidad Internacional Iberoamericana, México City, México e-mail: [email protected] G. Gatica (B) Engineering Faculty, Universidad Andres Bello, Antonio Varas 880, Providencia, Santiago de Chile, 7500971 Santiago, Chile e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_26

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de gestión de riesgos de una Institución Bancaria. Los resultados son escalables y extensibles a Instituciones Financieras y Gubernamentales.

26.1 Introduction Banks, as a result of the pandemic, have accelerated their digital transformation processes to give customers with better technological products and services, with the use of digital channels being a fundamental part of this strategy [1]. In the current operational risk management model of the banking industry in Chile, detailed in Fig. 26.1, it is observed that to cover the digital transformation processes, the main challenges to improve the operational risk methodology consider the following five (5) aspects: • • • • •

Risk assessments are perceived as compliance activities; It focuses efforts on events that have occurred without identifying emerging risks; Lack of cooperation/coordination between the second line of defense functions; Tools that do not comprehensively support management; Confusion about first and second-line responsibilities related to risk management.

On the other hand, the regulation of the banking industry regarding cybersecurity and information security requires these organizations to implement adequate risk management from the development of financial products [2]. This impacts the management to comply with the institution’s risk level. In turn, risk management is part of a set of regulations that must be considered when developing products. This applies to internal relations as well as relationships with suppliers and customers. In this way, proper safeguards can be implemented and legal requirements, including data privacy, can be met.

Fig. 26.1 Operational risk governance model Source Own elaboration

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However, projects under agile methodology are generally less prone to internal or individual project risks, thanks to their integrated quality measures and responsiveness to change. Independent of the project, external risks must be identified, assessed, monitored, and reviewed similarly to traditional projects [3, 4]. Without clear risk management policies, procedures and roles, it is the responsibility of the agile team (and stakeholders) to agree on the scope and granularity of risks to be managed in the development of the project [5]. Therefore, an assessment of the impact on the current levels of operational risk should be carried out. Besides, new risks involving the operation of the project should be identified and assessed, whether due to new threats, vulnerabilities, or attack vectors, not excluding cybersecurity risks.

26.2 Problem While the operational risk role is an internal, second-line consulting function [6], this does not exempt it from aligning its processes to value generation by coordinating and managing the various risks to support the cybersecurity and information security investment strategy. Operational risk methodologies need to be updated, associating them with agile models and enabling the support required for digital transformation processes and projects. A fundamental point is to generate indicators, characteristics, and factors that allow defining and validating the operational risk management methodology under this agile approach. To this end, a methodology is proposed and validated that integrates good Scrum practices with current risk management tools. To implement timely operational risk management in digital transformation processes.

26.3 Methodology The following project was implemented in a banking institution in Chile. For this purpose, it was structured in two (2) blocks of work, by the objectives set: Review of the organizational structure for operational risk management. This includes the evaluation of the operational risk, cybersecurity, and information security functions. To review their working methodologies about risks. Design and adaptation of risk management methodology in agility: the participation of risk functions (operational, cybersecurity, and information security) in digital transformation processes are reviewed. The participation of these functions in project management as suggested by the Scrum methodology is compared. The aspects that

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facilitate the effective management and protocols of action of the function are identified. Finally, the methodology of effective and agile participation was designed, tested, and corrected based on the findings. Different instruments and artifacts are generated for implementation purposes.

26.4 Results Considering the two (2) blocks of work, the following results are achieved. In relation to the analysis of the current involvement of the operational risk function in the transformation processes, it was observed: the need for the “internal consulting” functions to be involved prior to the “Product Backlog” to identify and assess risks at an early stage. One of the main artifacts developed relates to the implementation of a first assessment that includes operational risks, cybersecurity, information security, and business continuity risks. The risks initially identified should be part of the entire product stack and should therefore be reviewed in conjunction with the project sprint and generate projectspecific artifacts, as shown in Fig. 26.2 operational risk participation in Agile Projects. Likewise, it was observed the need to incorporate early on the requirements of banking regulations, as well as those regulations that will affect the final project, and to include the requirements of privacy and personal data protection. This implies a review at compliance level, where the requirements are included and are part of

Fig. 26.2 Operational risk involvement in Agile projects. Source Own elaboration

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Fig. 26.3 Process of new initiatives and services. Source Own elaboration

the product backlog, to measure the impact that can be generated in the process of assessing compliance with the operational risk under the requirements of the ISO 31000 standard [7–14]. With regard to the identification of drivers of participation that facilitate effective change and the function’s action protocol, the new products, and services committee was redefined. It should incorporate artifacts that allow early identification and assessment of risks, as visualized in Fig. 26.3: New Initiatives and Services Process. On the other hand, given the size of the operational risk (OR) function and considering that in the short term it is complex to consider the growth of the organizational structure, the participation of the different areas specializing in OR is recommended, in specific milestones for monitoring projects under the agile risk management methodology. The participation of the specialists allows us to evaluate the results of the application of the methodology for integrating operational risk management in an Agile operating model in organizations that are more mature in the digital transformation process. At the same time, this early involvement of RO allows for training and the pooling of methodological criteria for identifying risks. Support is essential for the initial risk assessment, as this will consider the risks identified by the organization (RO corporate matrix), new risks, and vectors of attacks and threats specific to the project. A positive externality observed from this participation is the training provided to those involved in the projects, who were unaware of the risk methodologies and language to be used. Additionally, in this part of the process, Secure Development methodologies were adopted, following the most recognized standards and recommendations worldwide, for example, the OWASP standard. In order to integrate into the agility methodology, it was necessary to incorporate the requirements for controls into the risks identified as part of the Product Stack.

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Finally, the Key Risk Indicators (KRIs) identified at the beginning of the process must be in accordance with those present in the organization, thus identifying the risk appetite, as well as the different service level requirements and regulatory operational compliance. There are measurements that are dependent on each sprint and that correspond to the quality of the resulting software, i.e., vulnerability findings, hard coding, application of good programming practices.

26.5 Conclusions This research concludes that operational risk management under the requirements of ISO 31000, the Basel regulations for banking, and the regulations of the Financial Market Commission in Chile (particularly Chaps. 1–13 of the Updated Compilation of Standards “RAN”) in a changing environment and also driven by a process of digital transformation, require the need to implement an agile model for operational risk management. It is noted during the research that no other management is going to “invite” the operational risk role to participate in digital transformation processes and therefore it is this function that should consider implementing an agile operational risk management methodology, as outlined above. The application of the methodological changes in the product that served as a pilot allowed us to determine the positive impact on the implementation of this methodology, i.e., according to the results of its application, the findings were corrected in time and there was no deviation from the sprints, complying with the implementation in production in due time and form, but also giving timely feedback to the operational risk areas, including information security and cybersecurity of the new threats and vulnerabilities that the new processes included. It should be noted that, during the process of validity and reliability of the proposed artifacts, a result between “good and excellent” was obtained for their application, thus allowing the proposed methodology to be considered as valid and to be considered an improvement within the agile model for the definition, monitoring, and control of new products and services. Concerning the hypothesis that the methodology of operational risk assessment in banking in Chile under an agile approach facilitates flexibility, speed, and efficiency in the delivery of digital transformation projects, this hypothesis was confirmed as a result of the validation of the artifacts that were incorporated as part of the flow of the evaluation of new products and services. The changes in the methodology to propose concrete actions well in advance of the implementation of systems allowed us to demonstrate and obtain results without untreated identified risks, as well as correct incorporation into the information assets and adequate integration with the organization’s BCP and DRP.

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References 1. The Global Risks Report 2020: Recuperado 18 de noviembre de 2020, de (2020). http://www3. weforum.org/docs/WEF_Global_Risk_Report_2020.pdf 2. CMF: RAN 20–10 Requerimientos de Gestión de riesgos de Ciberse-guridad y Seguridad de la información (2020) 3. Aven, T.: The Science of Risk Analysis Foundation and Practice. Routledge, New York (2020) 4. Olson, D., Wu, D.: Enterprise Risk Management Models. Berlin: Springer, Berlin (2020). https://doi.org/10.1007/978-3-662-60608-7 5. Martel, A.: Gestión práctica de proyectos con Scrum: Desarrollo de software ágil para el Scrum Master: 1 (3.a ed.). Createspace Independent Publishing Platform (2014) 6. The IIA: The IIA’s Three Lines Model. The Institute of Internal Audit Global (2020). https://global.theiia.org/about/about-internal-auditing/Public%20Documents/ThreeLines-Model-Updated.pdf 7. ISO 31000:2018(es) Gestión del riesgo—Directrices. Recuperado 18 de noviembre de 2020, de (2018). https://www.iso.org/obp/ui#iso:std:iso:31000:ed-2:v1:es 8. What is Scrum?: Recuperado 18 de noviembre de 2020, de https://www.scrum.org (2019). https://www.scrum.org/resources/what-is-scrum 9. Göstl, P.: Risk Profile Contingent Analysis of Management Control Systems. Springer Gable, Vienna (2019). https://doi.org/10.1007/978-3-658-28091-8 10. Koh, E.: Risk Management Competency Development in Banks: An Integrated Approach. Palgrave Macmillan, Singapore (2019). https://doi.org/10.1007/978-981-13-7599-6 11. Chapelle, A.: Operational risk management: best practices in the financial services industry. Wiley, West Sussex (2019) 12. Comité de Supervisión Bancaria de Basilea. Buenas prácticas para la gestión y supervisión del riesgo operativo. Banco de Pagos Internacionales, febrero de 2003. Disponible en https:// www.bis.org/publ/bcbs96esp.pdf 13. Comité de Supervisión Bancaria de Basilea: Convergencia internacional de medidas y normas de capital. Banco de Pagos Internacionales, junio de 2006. Disponible en http://www.bis.org/ publ/bcbs107esp.pdf. 14. Romero, L.R.: Riesgo Operacional: Implementación del Método Estándar y Estándar Alternativo en Basilea II, (2009). Documento de trabajo Consultivo: SBIF

Part X

Leadership and e-Leadership

Chapter 27

Chosen Aspects of Cultural Awareness Training in the Military. Case Study of Polish Troops’ Training in the years 2003–2020 Marta Nowakowska , Kornel Kantoch ´ , João Reis , and Aneta Kazanecka Abstract The aim of the article is to present the changes that took place in training in the subject of cultural awareness in the years 2003–2020. The authors take into account the national training that took place during the Iraqi Freedom and the latest NATO Mission Iraq training in which they took part of. Using the example of the Polish army, they are showing what differences and why they occurred in the cultural education of soldiers on foreign missions.

27.1 Introduction The subject of culture, cultural awareness, and protection of cultural heritage in the context of military missions began to be noticed in Poland and noticed until the twenty-first century in connection with the military operations in Iraq and Afghanistan. The idea goes back to ancient times. Already the first great strategists, as Sun Tzu, emphasized the awareness of the importance of getting to know the culture of the enemy’s cultural space in order to achieve success in the conducted military operations. In order to meet new challenges, the US Army created the so-called Human Terrain System, which consisted of cooperation between cultural anthropologists and the military. US soldiers write bluntly: “Conducting military operations in low-intensity conflicts without ethnographic and cultural intelligence is like building a home without using your thumbs: at best it is a wasteful, clumsy, and unnecessarily long process where frustration and failure are likely to arise is very big. However, while construction losses usually mean a loss of time and material, losses on the battlefield mean the loss of lives of both civilians and military, and the possibility of failure, with profound geopolitical consequences for the losing side” [1]. The above M. Nowakowska (B) · K. Ka´ntoch · J. Reis · A. Kazanecka Military University of Land Forces, u. Czajkowskiego 109, 51-147 Wrocław, Poland e-mail: [email protected] Lusófona University, Campo Grande 376, 1749-024 Lisboa, Portugal © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_27

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quotation indicates that the conduct of military operations means living and deep interactions with the civilian population today. And taking into account that these activities take place in culturally “alien” areas, the knowledge of this culture becomes the primary goal. In recent times, there has been a clear change in the content of military sciences, interdisciplinary has therefore become an element of cultural sciences and military sciences, and in the common space of both disciplines, the science of culture has become an interdisciplinary science, and from the perspective of military sciences, an important issue intercultural education. One of the main researchers of the subject, Dariusz Stanisław Kozerawski, notes: “contacts and intercultural relations between representatives of different cultures (as part of international contingents or in contacts with local people) may have a significant impact on the effectiveness of the implementation of stabilization tasks and security in the area of a given mission” [2]. The effectiveness of tasks performed by soldiers from Western countries, including Poland, depends on the ability to respect cultural differences. As Hanna Schreiber claims, while conducting research among NEC on the concept of intercultural awareness, it has a dual nature. On the one hand, it is purely utilitarian, i.e., it is about getting to know the opponent’s culture, and on the other hand, it is cooperative, or conscious, in which the main goal is to increase the effectiveness of activities for the local population. The first approach can be attributed to the American army, while the second one is mainly represented by the armies of European countries [3].

27.2 Literature Review on Cultural Awareness in the Military Nowadays, assailed as we are by plenty of images, by permanent and rapid change, as well as a strong need for self-determination and identity, cultural competence has become of paramount importance. It is difficult to overemphasize the importance of this competency in a period in which openness, optimism, and tolerance are placed under such strain all over the world. Because of that new demands have forced the military to assume totally new roles generated by technology, natural disasters as well as globalization which has created a totally new and unprecedented character of twenty-first century combat. There is no other place where these changes have been more evident than in efforts by the military over the past decades to increase its cultural understanding and to incorporate cultural knowledge into its operations in multiple ways [4]. Before the “cultural turn” in the military, it is most often them many arguments were used of merits or failures of culture-centric counterinsurgency. The war in the Middle East put the military’s attention to culture, set in a broader context. Culture is considered a central concept in anthropology of culture, encompassing a range of phenomena that are transmitted through social learning in human societies.

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The rise of cultural anthropology took place within the context of the late nineteenth century when questions regarding which cultures were “primitive” and which were “civilized” occupied the minds of Europeans. Colonialism and its processes increasingly brought European thinkers into direct or indirect contact with “primitive” others [3]. The relative status of various humans, some of whom had modern advanced technologies that included engines and telegraphs, while others lacked anything but face-to-face communication techniques and still lived a Paleolithic lifestyle, was of interest to the first generation of cultural anthropologists. The term “cultural competence” is based on a great deal of research and scholarly thinking and requires not only learning but also practicing [4]. It can sound like an overwhelming concept to take in, particularly considering how many different cultures there are worldwide, and the fact that each individual within a culture is just that: one person, with unique feelings and perspectives on their own cultural beliefs and values. Some aspects of human behavior, social practices such as culture, expressive forms such as art, music, dance, ritual, and religion, and technologies such as tool usage, cooking, shelter, and clothing are said to be cultural universals, found in all human societies. The concept of material culture covers the physical expressions of culture, such as technology, architecture, and art, whereas the immaterial aspects of culture such as principles of social organization (including practices of political organization and social institutions), mythology, philosophy, literature (both written and oral), and science comprise the intangible cultural heritage of a society [4]. Someone’s cultural awareness “is their understanding of the differences between themselves and people from other countries or other backgrounds, especially differences in attitudes and values”. According to Winkelman, awareness of cultural differences and their impact on behavior is the beginning of intercultural effectiveness. He states that “cultural self-awareness includes recognition of one’s own cultural influences upon values, beliefs, and judgments, as well as the influences derived from the professional’s work culture” [5]. Cultural awareness is the first step in becoming proficient in working well with people from a variety of cultures. Analyzing Iraq and all military missions since 2003 we should take into account: tribal/ethnicity/nation identity determinants, traditions, customs, lifestyles and beliefs of others, cultural norms and differences, awareness of verbal and non-verbal communication, human dignity, equality, and non-racism, local history. When conducting research on cultural awareness in the military, there is no single comprehensive publication or research devoted to the topic of special training that is typical for cultural awareness studies due to the fact that the topic is divided into multiple issues. Lauren MacKenzie and Megan Wallace wrote a paper about cultural communication and distance learning (an interesting subject considering the current situation with the COVID pandemic) [6]. There are books about the role of culture in the military, especially from a historical perspective (colonialism, Vietnam War, Balkan Conflict) and military culture as an organizational culture—a unique culture that includes many subcultures within their own military society [7]. Clementine Fujimura in the paper Cultural Awareness in the Military draws attention to changes

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in military cultural values. It underlines the fact that they are worth getting to know in depth. In younger generations, the “don’t ask, don’t tell” approach is evolving in the direction of appreciation of intercultural competences and adaptability [8]. Military people must be able to step outside of their military culture and develop cross-cultural competence that is grounded in cultural self-awareness. As for cultural awareness training, many articles have been devoted to this topic for the US military. Since losing in Vietnam, Americans have spent a lot of time studying cultural awareness to create training programs for soldiers fighting in culturally linked regions. The most important publications in this thematic area should be considered The Role of Human Terrain and Cultural Intelligence in Contemporary Hybrid and Urban Warfare by Dostri and Michael [9]. The concept of the “human terrain system” was developed in the American military back in 2006, as a result of difficulties with which the military forces faced in the Iraqi and Afghani theaters of war.

27.3 The Aim of the Article This article deals with training in preparation for military missions beyond the boundaries of a given cultural circle. Polish contingents were sent to Iraq as part of the NATO Training Mission in Iraq beginning 2012 NATO Mission Iraq. Training from 2003 and 2020 differs in terms of the location of the training as well as the organizing entities. In 2003, the Polish Military Contingent was sent to Iraq as part of the Iraqi Freedom mission. It was a combat mission. On the other hand, since 2004, on the basis of a resolution, NATO first introduced NATO Training in Iraq, i.e., a stabilization mission, and then, from 2012, NATO Mission Iraq, i.e., a security and logistics mission. PMC Iraq took part in all editions. From the beginning of sending soldiers on foreign missions, the preparatory training contained elements of cultural education, but they differed, and in important matters. The aim of the research was to identify the differences and try to explain both their origins and the consequences of the changes. The authors of the article explored the topic of field training in preparation for military missions beyond the borders of a given cultural circle. The content of the training of Polish soldiers participating in the Iraqi Freedom (2003) was analyzed in detail. It should be noted that Polish commanders took command of multinational divisions. Changes were analyzed in terms of the interesting subject, the training content changing with the experience of soldiers and general knowledge of the region. which changed when Polish contingents were sent to Iraq as part of NATO’s Training Mission. The article aims to explain the changes that were introduced in the content of the training of Polish Military Contingents between the beginning of the involvement of Polish soldiers in Iraq (2003) and the last training sessions in the Covid 19 pandemic (2020), that is throughout the entire period of the intervention in Iraq (2003–2020). The authors focus on the content of cultural awareness, analyzing by examining the thematic scope of training from the point of view of cultural security. They realize

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that it is one of the elements of preparation for military missions, while intercultural awareness also translates into military success. The article is only a prototype of the research carried out by the authors, carrying out a research project in a project aimed at analyzing changes in the content of training courses at the national and international level. The project covers the explanation of the reasons for the changes introduced and their effects. The conducted analyzes are to contribute to a more effective risk analysis and to the identification of new research methods that will increase the effectiveness of the training. The content of the training referred to in the article belongs to non-classified information.

27.4 Methodology Cultural awareness is based on what is known as cultural education. During military missions, one should talk about intercultural communication, which concerns the process of exchanging ideas, customs, and behavior patterns between people of different cultures. It involves looking relativistically at other cultures and makes us aware of ethnocentric attitudes, i.e., the fallacy of the assumption that our principles and values are the only and best, and that one can live and act effectively following many other principles and norms [10]. These assumptions are needed to establish a fruitful relationship with local people on missions. The development of the ability to communicate with other cultures consists of three phases: • realizing that people from different cultures were brought up differently and their mental programming is different; • gaining knowledge without which intercultural understanding is practically impossible. While we may not understand the values of other cultures, we should get to know them, for only through such knowledge can we see our differences; • skills acquired as a result of becoming aware of cultural differences and gaining knowledge. These skills include the ability to recognize and use the symbols of a given culture, its myths, and rituals, which leads to “gaining satisfaction” from being in a new environment and the ability to solve increasingly complex problems related to living in a new environment [11]. • Hofstede argues that intercultural communication can be learned. The teaching process implies, among other things, the ability to distance oneself from the views one professes. Cultural competences or cultural awareness include: • knowledge about the culture of a given country, i.e., history, geographic location, customs, norms, orders and prohibitions, religion • awareness of cultural differences and their essence • learning the language spoken by people in a given country [11]. Taking into account the above guidelines, the authors analyze the materials on education about cultural awareness, which include preparatory training for foreign missions among the Polish army. They also try to indicate changes that have occurred

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in the training, explain why such changes occurred and what are the consequences of these changes.

27.5 Research Due to the compressed formula of the article, the authors decided to present the comparative analysis of the two training courses. This article focuses on operations in Iraq. The Polish army was chosen as the case study. The analysis covers the first training that was carried out before sending the PMC to Iraq in 2003 (even before the sending the NATO forces to Iraq), along with a manual containing the necessary information about the country of the mission [12], and NATO from 2020, in which the authors took part [13]. It should be emphasized that the changes that we observe in the content and approach to culture in training have changed with subsequent editions, however, in order to emphasize the differences, it was decided to present in the article an analysis of the cultural content of the first and last training used in preparation for missions in Iraq. The authors are aware of the differences in the nature of the missions, but this has been highlighted in the conclusions and discussions. At this point, the question should be asked whether, depending on whether the army is prepared for a combat or stabilization mission, it has a significant impact on cultural education. Both trainings contain similar content, at least in terms of general characteristics. There is a summary of the history of the country from 1991, the basics in Arabic, cultural savoir-vivre, a discussion of civil-military cooperation, the situation of women in society, and Islamic terrorism. In this article, a comparative analysis was made of selected examples: the situation of women, cultural behavior and norms, various religious issues. It should be emphasized that in 2003 the topic of terrorism was not discussed. It was then a topic related to missions in Afghanistan, the terrorist organization appeared as a threat in Iraq only in 2006, when the so-called Islamic State (ISIS), otherwise known as Daesh, was established. Since then, NATO training has devoted a day of training separately to the history and threats related to the said organization. The topic was divided into four categories: • Emergence of Daesh. Daesh, also known as the Islamic State, ISIL, or ISIS, emerged as a Sunni extremist group from the remnants of al-Qaeda in Iraq (AQI) in 2006. Over the next eight years, Daesh grew and took advantage of the Syrian civil war and the withdrawal of US troops from Iraq to gain and consolidate power and territory. • Formation of Operation Inherent Resolve. In June 2014, after effectively defeating the Iraqi Armed Forces (IAF), Daesh leader Abu Bakr al-Baghdadi announced the formation of a Caliphate stretching from Aleppo in Syria to Diyala in Iraq. Iraqi Grand Ayatollah Ali al-Sistani declared a Fatwa against Daesh (then known as ISIS), leading to the establishment of the Popular Mobilization Forces (PMF).

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In September 2014, the US formed an international coalition to defeat Daesh and named the operation Inherent Resolve. • Dash Defeated as a Military Force. With the assistance of the international coalition, Iraqi Security Forces (ISF) (IAF and PMF) defeated Daesh as a military force and captured the last of the Caliphate’s territory on 23 March 2019. Abu Bakr al-Baghdadi was killed by US SOF on 26 October 2019. • Daesh as an Insurgency. As of April 2020, Daesh exists as an insurgency in Iraq and Syria. While no longer holding territory, Daesh enjoys some limited freedom of movement and still maintains attack capabilities. Daesh’s current goal appears to be maintaining or increasing logistic capabilities and freedom of movement [13]. In the GBA, Daesh almost exclusively directs their attacks against ISF and the Iraqi civilian population. These attacks have included improvised explosive devices, targeted assassinations and kidnappings, and hit-and-run direct attacks against soft targets. The topic itself is very important, but it requires placing it in an appropriate cultural and political context in a separate article. Because the subject of terrorism and terrorist threats in field training for missions in the Middle East has continually changed depending on the situation. Here, it is advisable to demonstrate the variability and adaptation of training materials from Iraq and Afghanistan.

27.5.1 Cultural Savoir-Vivre The training materials and handbook from 2003 contain descriptions of the most important behaviors in the Arab world. Not only is the appendix to the handbook devoted to it, but practically the entire book also covers the topic of culture. Arab behavior is discussed as something completely separate from the European cultural circle. In the chapter entitled First contact, attention is drawn to the traditional Arabic greeting, emphasizing the fact that such behavior should arouse sympathy [12]. It is emphasized that in Arab culture it is normal for people known to each other to greet, hug, grab a hand or a knee during a conversation, this should be understood and respected. The greeting part is very important and must not be omitted. Only after completing the greeting procedure can you proceed to the rest of the conversation. When negotiating or trading, you should always bargain, while “haste is unwelcome and usually does not allow you to make friends and settle things in a positive way [12].” Another important cultural aspect is the knowledge of the social hierarchy, and in particular “special respect should always be given to the elderly (an older person, regardless of social status, has the right to the highest respect” and high in the social hierarchy (spiritual, local leaders—sheikhs and their family In the part devoted to the hospitality, the authors of the Vademecum emphasize the respect and gratitude to the host and to give a small gift best associated with Poland. The things that are the host’s pride should be praised. However, it is strictly forbidden to speak about the

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host’s wife, but praise. Children are not welcome. The explanation about the dress was generalized: In Middle Eastern culture, clothing—as wide as possible—should cover a person as much as possible. In the case of women, only hands and eyes can be exposed—tight-fitting clothes, especially T-shirts and shorts are simply indecent (as in Poland, you don’t wear briefs around the city). Keep this in mind. The appearance of Arabs may be surprising, walking the streets in pajamas, which in the Middle East are not used for sleeping, but are a kind of “casual clothing” [12]. In the training in which the authors of the article participated in 2020, cultural issues are already discussed differently. On the basis of previous editions of the missions in Iraq, certain issues were separated and activities devoted to them separately. Participation in the lesson entitled Iraq cultural overview, which was designed to familiarize future mission participants with the basic principles of behavior in order to avoid basic mistakes that could disrupt the course of the mission. In contrast to the first training in 2003, this one presents the principles while referring them to the cultural context. A similar situation took place during language teaching—in the 2003 edition, only the basic language phrases were presented, with a focus on tourist phrases, such as “have a pleasant trip”, “thank you for the information,” “can I ask for…,” “unfortunately I do not speak Arabic” Or “the waiter, please give me the card.” [12]. In the 2020 edition, there was training in basic polite forms along with the translation of the cultural context, rules, and norms applicable in society and the social hierarchy. Only at the very end of the training, each participant received the basic dos and don’ts: The so-called “do’s” included mainly: Lock eyes when addressing someone. Do not look at the interpreter; Learn a few Arabic phrases, especially greetings; Initiate the handshake, if in a group, start with the eldest, or most important; Pay special attention to elderly people and clergymen. There are much more bannings: While sitting, cross or extend legs, or show the sole of your shoes; Interrupt—if you have to start with an apology; Laugh loudly or excitedly; Raise your voice; Talk standing up to the seated (unless addressing meetings); Point or waive your index finger; Ogle at women [12].

27.5.2 Gender Perspective The issue of contact with women and behavior toward women are the basic rules that were introduced into the training in 2003. Due to the sensitivity of the subject and the possibility of threatening the mission, special emphasis was placed on this element of the training. The subject of relations with women and their treatment also runs through the entire handbook for participants in the 2003 mission in Iraq. An entire section is devoted to the attitude toward women, which practically repeats the topics that appear throughout the textbook. She emphasizes that any contact with women is forbidden. He describes that in the Iraqi tradition, any conversation between the sexes is not welcome. In the more radical part of Iraq, failure to comply with this rule may lead to a conflict situation. “The family of such a woman is an insult to the honor of the whole family and requires purification.” For illegal sexual contacts of an

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infidel with a Muslim woman, stoning, flogging, conversion to Islam, and marriage are foreseen. The prohibition on photographing women is emphasized many times [13]. As you can see in the attached example, the topic of women is treated very objectively, rather as a warning against making a mistake than an attempt to explain the cultural situation. Over the years, the perception of women in society changed. Not only in Muslim countries, but also in the broad sense of Western culture. The sporadic subject matter, i.e., gender, has entered the general canon of public debate. In this context, the topic of women was treated in 2020. A gender perspective is much more than a female member in a team. It is about having and using knowledge about gender roles and situations of both men and women in all the activities of the mission. It was pointed out that Iraq has long been subject to chronic instability and conflict during which women have been largely excluded from the public sphere. Gender disparity exists across a range of literacy, workforce, health, and violence indicators. The cumulative effects of these factors continue to limit girls and women’s participation in political, economic, and social systems affecting their livelihoods, prosperity, and health. These conditions are exacerbated by cultural and social norms, as well as institutional and legal barriers. Combined, this inhibits progress toward greater gender equality in Iraq and thereby it’s contribution to stability [13]. Women’s political activism in Iraq has a long and rich history very much intertwined with the evolution of Iraq’s social, political and economic realities. Contemporary Iraqi women’s political activism has been shaped by various experiences of nationhood, the nature of the different political regimes and by the existence of social movements from leftists, nationalists to Islamists. Since the 1980s, the country has been in a state of constant war and has experienced a decade of harsh economic sanctions that have deeply affected its social and economic realities. The US-led invasion and occupation of the country in 2003 exacerbated the deterioration of the very social fabric of the Iraqi society provoked by authoritarianism, wars, and UN economic sanctions [13]. Since then, armed violence and identity-driven conflicts have characterized the everyday life of Iraqis. Women have paid a very harsh price in this context in which the normalization of armed violence and the militarization of public spaces have impacted their everyday realities. The issue of gender has not only been presented in the context of the treatment of women and the position of women in Iraqi society. Additionally, observation activities were conducted, showing scenarios of events and reacting to them in terms of social behavior in the villages. An example is the situation of patrolling the area. If there are men, women, and children in the village, you know the neighborhood is safe. On the other hand, if, while patrolling the streets, you cannot see women outside the buildings, and children are playing outside, it should be assumed that an attack is planned [13]. The problem of women—terrorists, who are much more ruthless than men, was also outlined. Such a woman usually lost everything that was of value to her in

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culture (husband, children, family, community) and treats her mission as the final one, regardless of religious beliefs. The NMI 2020 training allows for a much deeper understanding of the topic of gender in relation to the local community. He pays attention to similarities and differences in culture, trying to explain the possible behavior and repercussions related to making a mistake. It also teaches how to comprehend the Iraqi culture, not only fragmentarily, as at the beginning of the training.

27.5.3 Religion The subject and characteristics of the religion of Islam appear as the main topic in the 2003 training. During the lectures on the history of the country, information appeared on various stages of the Islamization of the area: Islam enters Iraq, Iraq under Turkish rule, the times of Saddam Hussein. A separate chapter on religion is devoted to the Vademecum, including: basic information about Islam, the main assumptions of Islam and its pillars, prayer times, division into Shiites and Sunnis, as well as the Muslim calendar and holidays. The topic of religion was also included in the chapter on contacts with local people, or in the principles of building respect and trust, including in a mosque or during religious holidays. Religious topics are heavily fragmented—for example, we can find a section titled Alcohol and Pork, in which we learn that Islam forbids Muslims from drinking alcohol. In practice, this prohibition covers everyone. It is absolutely forbidden to drink alcohol or be under the influence of alcohol in public places! Nor should Muslims be persuaded to drink. The problem of pork forbidden by Islam is similar—this type of meat is ritually unclean and is generally perceived as disgusting. Even as a joke, you must not treat a Muslim with pork, it should not be mixed with other meats. It is good to use separate place settings and cutlery [12]. Soldiers, apart from receiving a manual and a short training, also received behavioral guidelines before going to the mission area. Most of them were related to religious issues: only Muslims are allowed to enter some mosques; these include Mausoleums where imams are buried—spiritual leaders of Shi’ites; “You must not walk in front of a person praying”; “In important places and at times sacred to Muslims, avoid intrusive photography”; “When dealing with your physiological needs, don’t do it in the direction of mecca” [12]. The subject of religion was treated as the most important one, determining the “strangeness” of the country in which the army found itself. Training 17 years later presents a completely different perspective. There are no separate classes during the training that only cover religious issues. The distinctiveness of Iraqi culture due to the prevailing religion is not emphasized. It was treated as a cultural element without discussing the differences in detail. The best example can be exercised in Arabic, during which the differences in phases depending on the status of the person are explained and the role of Allah in the everyday life of Iraqis is emphasized.

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27.6 Conclusions Globalization means that people more often than not have to work and function in different time zones, climates, in different political systems, economic systems, and different cultures. The globalization process has not bypassed the military sphere. The two training discussions show how the view of the world has changed, especially from the perspective of the so-called Western cultures on non-European cultures. The analyzed elements of training indicate a change in the perception of cultural diversity by the Armed Forces of the West rather than the changeability of Iraqi culture over time. Some issues, such as gender, are expanded as required by the current world public debate, while others, such as religion, are reduced. The article is not intended to explain the reasons for the changes in detail. The socio-political context of the last twenty years should be presented here, which is not allowed by the volume of the article. The authors decided to analyze the following elements of intercultural competences: cultural savoir-vivre, gender perspective, and religion. When it comes to cultural savoir-vivre, there are significant similarities in both trainings. Particular attention is paid to the respect of elderly people, basic phrases and expressions in Arabic, as well as relations with women. The difference is due to global changes in the approach to cultural phenomena and the way they are translated. As for the gender issue, it does not appear until the 2020 training. It is also the result of global changes and the emergence of the idea of gender in the world circulation. The NMI training focuses on women not only in terms of prohibitions related to contacts with women, but also on women’s behavior and relations with terrorism, as well as on women’s liberation movements and their impact on the country’s culture. The issue of Islam is dealt with differently. In 2003, religion became the main behavioral guideline in the Muslim world. Cultural differences were put on, without trying to explain them. The 2020 NMI training treats religion as an element of the whole, penetrating all spheres of life, which seems to be a much better approach. However, the authors pay attention to general changes. Preparatory training for foreign missions has changed in character. From the brief description, which is to prepare people going on missions from the stage of “culture shock” and the lack of irrational reaction to the stage of education aimed at trying to understand the local culture. The first textbooks for training resemble descriptions from the colonial period, the so-called “Image of a good savage.” Any cultural element that is different from Western culture is emphasized. There was no attempt to explain why something was happening, but rather to make the event/norm/behavior exotic. When exploring the content of 2003, one can get the impression of a generalization of the culture of the Middle East and its unification. This can be seen, for example, when describing the applicable dress code. It is similar to linguistic issues. The authors of the training tried to teach those arriving on the mission as many expressions as possible, important in a foreign place, but from the point of view of a Westerner. On the other hand, in the following years, a different approach to culture was established. They began to emphasize the similarities, not the differences in order

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to civilize this “good savage.” The 2020 training focuses not on the assessment of cultural distinctiveness, but on cultural relativism. This can be seen very clearly in the description of women in Iraqi culture. The cultural identity of Muslim women with that of women of the West is emphasized. There is an attempt to explain behavior and reactions using concepts from Western discourse. The culture of Iraq, not the Middle East, is written and talked about, showing that the West is just as diverse as the Middle East. Language courses in Arabic, primarily emphasize specific gestures or phrases typical of Muslim society and teach greetings depending on the social hierarchy, because one of the foundations of cultural education is language, and in it, an appropriate greeting is given first. In both trainings, the cultural content presented is similar, taking into account the time period. They fulfill the required educational requirements to acquire cultural competences. The difference is in the way they are presented. From an evolutionary approach to a relativistic one, It is very important for the success of foreign missions, especially in the non-combat formula, which requires close contact with the local population. The ongoing changes in the twenty-first century require additional training in cultural education. People need to broaden their range of skills in verbal and nonverbal communication. More effective communication ensures the ability to recognize and make the right decisions in various situations. Cultural awareness allows you to understand and control the stress associated with conducting activities in a culturally different environment, it also allows you to learn about the influences of your own culture, thanks to which it is easier to find yourself in the environment of activity and anticipate reactions that may negatively affect the tasks set. Cultural awareness also allows you to understand these “others,” reducing the fear of “strangers.” A culturally aware person understands how representatives of other cultures think and act, thanks to which he is able to adjust his own standards to those in force and achieve success. The analysis of training, presented randomly in the article, aims to show the changes that have occurred not only in the societies of the twenty-first century, but also how these changes influenced the military. At the same time, it should be emphasized that the mere intercultural awareness in the armed forces, regardless of the quantity and quality of training, without a well-thought-out strategy and adequate political solutions, is by no means a guarantee of success. It should be remembered that the postmodern approach conducting military operations requires a strategy that goes beyond the existing conventional actions. On the other hand, training in cultural education should be conducted not only among soldiers participating in missions on the ground, as well as at the level of politicians and strategists.

References 1. Klipp, J., Grau, L., Prinslow, K., Smith, D.: The human terrain system—a CORDS for the 21st century. Mil. Rev. 3, 4–10 (2006)

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2. Kozerawski, D.: Wielokulturowo´sc´ w działaniach stabilizacyjnych Mi˛edzynarodowej Dywizji Centrum-Południe. In: Kozerawski, D. (ed.) Mi˛edzynarodowe działania stabilizacyjne w s´wietle do´swiadcze´n X zmiany PKW Irak w 2008 roku. AON, Warszawa, pp. 33–34 (2010) ´ 3. Schreiber, H.: Swiadomo´ sc´ mi˛edzykulturowa. Od militaryzacji antropologii do antropologizacji wojska. Wydawnictwo Uniwersytetu Warszawskiego. Warszawa (2013) 4. Burszta, W.: Antropologia kultury. Zysk I S-ka, Pozna´n (1998) 5. Wilkelman, M.: Cultural Awareness. Eddie Bowers Publications, Sensitivity and Competence (2005) 6. MacKenzie, L., Wallace, M.: Cross-cultural communication contributions to professional military training. In: Sands, R.G., Greene-Sands, A. (eds.) Cross-Cultural Competence for a 21st Century Military. Lexington, Lanham (2014) ´ 7. Schreiber, H.: Swiadomo´ sc´ mi˛edzykulturowa. Od militaryzacji antropologii do antropologizacji wojska. Wydawnictwo Uniwersytetu Warszawskiego, Warszawa (2013). Kowalski, M.: Antropolodzy na wojnie. Wydawnictwo Uniwersytetu Warszawskiego. Warszawa (2015) 8. Fujimura, C.: Changing culture with culture at the US Naval Army. In: Albro, R., Ivey, B. (eds.) Cultural Awareness in the Military: Developments and Implications for Future Humanitarian Cooperation. Palgrave, New York (2014) 9. Dostri, O., Michael, K.: The role of human terrain and cultural intelligence in contemporary hybrid and urban warfare. Int. J. Intell. 21(1), 84–102 (2009) 10. Jandt, F.: Intercultural Communication. Sage Publications, Newbury Park (2003) 11. Hofstede, G.: Culture’s consequences. Sage Publications, Newbury Park (2003) 12. Dowództwo Wojsk L˛adowych: Vademecum: Co ka˙zdy z˙ ołnierz wiedzie´c powinien? Dla z˙ ołnierzy przygotowuj˛acych si˛e do realizacji zada´n w ramach misji stabilizacyjnej w IRAKU. Warszawa (2003) 13. NATO Mission Iraq Pre-Deployment Training 20-2. from 5 to 13 October 2020

Part XI

Planning, Economy and Logistics Applied to Defense

Chapter 28

Green Mobility in the Portuguese Security Force: A Case Study of the Gendarmerie Force Divo Gonçalves and Luís Malheiro

Abstract The growing concern with the carbon neutral objectives, established for 2050, requires a change in the Portuguese Public Administration’s land fleet. Despite some efforts are being made for a more ecological mobility, a few barriers persist, especially in certain institutions with large fleet and specific missions such as the Portuguese gendarmerie, named Guarda Nacional Republicana (GNR). The aim of the investigation is to analyze the viability of implementing 100% electric and hybrids vehicles in different operational contexts, namely in the Information and Criminal Investigation Sections, Nature and Environment Protection Sections, and Territorial and Traffic Detachments of GNR. We follow a deductive methodology, through a bibliographic research and institutional data analysis, as well, through a mixed investigation strategy, sustained by interviews and surveys. The investigation concluded that the viability of operational use of 100% electric vehicles and hybrids is limited to the functions of the Criminal Prevention, Community Policing Sections, and to administrative and support services. Although, in view of the acquisition of plug-in hybrids, and due to their greater versatility, the opportunities for operational use are extended to the totality of the Territorial Subunits and Traffic Valences. In this sense, a large part of the operational activity can be carried out exclusively in electric mode; however, it can be filled with the internal combustion engine. Even so, given the current scenario, there are logistical/operational constraints resulting from the large-scale installation of charging stations, given the territorial network and the need to have a permanently operational automobile fleet.

D. Gonçalves Guarda Nacional Republicana, Military Academy, Lisbon, Portugal L. Malheiro (B) Military Academy, Military Academy Research Center, Lisbon, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_28

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28.1 Introduction The transport sector is essential;however, despite efforts and technological innovation, there are still pressures and limitations on moving toward a greener and more sustainable mobility, with direct damage to the environment. This change is crucial because this sector accounts for a large share of greenhouse gas (GHG) emissions, which are inseparable from climate change and human well-being. In Portugal, represents around 25% of national emissions [1, 2] and compared to 1990 represents an increase of 78.6% of these emissions [3]. Going deep into this sector, we found out that the road subsector accounts for 96% of transport emissions and car use represents 60% of emissions to total road transport [2], in addition to the noise they cause in urban areas [4, 5]. For these reasons, it is evident the need to mitigate the ecological footprint of road transport, and that is why this objective has been included in several policy instruments, focusing particularly on improving vehicle efficiency and the use of fuels with less impact on the environment [1]. For example, the Roadmap for Carbon Neutrality [2] emphasizes the importance of hybrid vehicles in the initial/transitional phase. It moves forward to abandon internal combustion vehicles (ICEV) and adopt 100% electric vehicles, as well as leveraging electricity use to reach 70% of transport energy consumption by 2050. The Portuguese Public Administration (PPA) is aware of these objectives. It has made efforts to reducing GHG emissions, meeting the commitments agreed with the European Union (EU) and mitigating the impact on the “typical house.” The Guarda Nacional Republicana (GNR)—the Portuguese gendarmerie police force with military skills and specific training on military issues—which owns 23.8% of the State Vehicle Park (SVP) has also sought to contribute to the effort of greener and more sustainable mobility [6]. However, despite the size of the fleet and the potential, it may have in national decarbonization, doubts remain about the adaptability of these new vehicles to the institution’s mission (uninterrupted and nationwide). For this reason, this research had as General Objective (GO) to analyze the viability of implementing 100% electric and hybrid light vehicles in the GNR fleet, and the following Specific Objectives (SO) [7]: to analyze the advantages and disadvantages in the use of 100% electric, hybrid, and internal combustion light vehicles; identify the operational contexts where 100% electric and hybrid light vehicles can be used; analyze the costs associated with the use of 100% electric, hybrid and internal combustion light vehicles and; identify the operational constraints of 100% electric and hybrid light vehicles.

28.2 Propulsion Systems The engine can be understood as a machine that converts any form of thermal, chemical, hydraulic, electrical, and other energy into different fuels: gasoline mechanical

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energy [8]. The ICEV is powered by engines powered by diesel, ethanol, biodiesel, liquefied petroleum gas, and among others. These are the vehicles that are most important today, leading to a broad emission of GHG into the atmosphere. In fact, in Portugal, 55.4% of light vehicles are powered with diesel, 42.9% with petrol, and 1% with liquefied petroleum gas (LPG); only 0.7% of these vehicles are powered by a different type of fuel [9]. In this way, ICEV can transform thermal energy resulting from the combustion or burning of a “fuel-fuel” mixture into useful mechanical strength1 [8, 10]. Therefore, petrol, gas, or alcohol engines, also called controlled ignition engines or spark ignition, start their combustion through an electrical discharge into the combustion chamber (Otto cycle).2 On the other hand, diesel and biodiesel engines, also called compression ignition engines, do not have an ignition system, resulting in the combustion of increased pressure and consequent increase in temperature, ensuring the inflammation of the fuel (Diesel cycle3 ) [11]. The 100% electric vehicles (BEV) do not use any fossil fuel for the engine to operate. They are powered exclusively with electricity, the energy accumulated in the batteries, fuel cells, supercapacitors, photovoltaic plates (solar energy), or the electricity grid itself, as is the case of the trolleybuses [12]. Therefore, the emission of CO2 and pollutants harmful to health is non-existent, making them the most environmentally friendly vehicles. Currently, the electrical autonomy of the batteries is around 300 km, much smaller than the high-end vehicles [13]. There are several forms of charging batteries: by connecting the vehicle to an external source of electricity, through regenerative braking that allows recovering energy capacity in descents and braking, or, for example, through solar energy or hydrogen fuel cells, by the reverse operation of water electrolysis4 [14, 15]. Despite that, with the proliferation of electric vehicles, new environmental issues are raisin, such as the future of end-of-life batteries [16]. To mitigate this question, researchers from the Norwegian University of Science and Technology initiated a lithium recycling process using hydrometallurgy, dissolving a raw material in water and extracting the desired substance (lithium, nickel, and zinc), enabling its reuse [17]. Another likely destination for end-of-life batteries will be their use as stationary sources for storing electricity (Powerwall), reducing the electricity grid’s dependence on oil or coal during energy consumption peaks, taking into account that they can store energy obtained by solar panels and other renewable sources.

1

In most engines, air acts as a “combustion.” Intake of the fuel-to-air mixture in the engine. 3 Engine air intake. 4 The Motors, a German start-up, developed a vehicle consisting of 248 silicon solar cells, capable of generating energy for about 34 km daily, in its 120-kW engine. In addition to the ability to recharge the 35 kWh batteries via solar energy, you can also do so through electrical outlets. Given the black coloration of silicon cells, one of the great technological innovations in this sector will happen when these cells maintain their characteristics with other shades, allowing the manufacture of this typology of vehicles in different shades. Vide: https://sonomotors.com/en/sion/, accessed on April 3, 2020. 2

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Hybrid vehicles emerge as a way to solve some of the problems faced by BEV. Hybrid vehicles have an electric motor, used in low revs and starts, and an internal combustion engine (ICE) for high revs [18, 19]. Hybrids can be grouped into two levels of hybridization through the electric motor’s operation: partial hybrids (micro and mild hybrids) and full hybrids (full hybrids and plug-in hybrids). Micro-hybrids include systems that allow the engine to stop during idling and start instantly when the vehicle needs to move (start-stop). This type of vehicle offers minimal electrical energy to boost the vehicle, possessing a low level of regeneration in braking. According to Mota [20], the combustion engine does not receive any help from the electrical part, and the benefits in consumption are between 3 and 8%, depending on the type of route (in the city save more fuel) and the type of engine (more powerful motors save more fuel). Partial hybrids (mild hybrid) have an electric motor powered by 48 V (V) batteries, which assists the combustion engine in the vehicle’s propulsion during starts and accelerations, moments that are the most critical in terms of CO2 emissions and fuel consumption. In the remaining time, the internal combustion propellant works many times without the electric motor intervention. The idea of this type of hybrid is to optimize the use of the thermal engine only to move the car. The energy of the other auxiliary and electrical systems of the vehicle (air conditioning, GPS, etc.) comes from another power source, guaranteed by the electric motor, and stored in the battery of 48 V. Generally, fuel savings are estimated in the range of 10% to 15% when compared to ICEV [20]. On the other hand, the full hybrids (HEV)—also called self-charging hybrid or rechargeable auto hybrid—are the heirs of the first Toyota Prius. These work through two different engines, enabling the reduction of fuel consumption. In technical terms, they use a gasoline engine that works according to the Atkinson-cycle, reaching efficiency levels much above average. In parallel, it has a larger electric motor, for the traction part and a smaller one, for the charging function. In this case, the electric motor can move the vehicle alone only at short distances. This hybrid typology cannot be charged into the power grid. Batteries regenerate through the energy of descents, decelerations, or braking. This hybrid form can work only with the petrol engine, exclusively with the electric motor or even in hybrid mode. Full hybrids offer fuel efficiency gains ranging from 30 to 40% [20]. Finally, the plug-in hybrids (PHEV), which, like other hybrid vehicles, make use of both the electric motor and combustion, but still have plugs to connect to the power grid. Regardless of its architecture, the plug-in hybrid vehicle can be powered only through the power of its batteries [21]. They have a much larger battery, and a more powerful electric motor allows them to travel about 50 km entirely in electric mode [20]. According to Bravo et al. [12], plug-in hybrids will enable the connection directly to the electricity grid, allowing them to operate with smaller amounts of fuels, whether fossil or renewable. PHEV is estimated to have the ability to offer a 40% to 65% improvement in fuel economy compared to ICEV [22].

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28.3 GNR Land Vehicle Park The number of vehicles of the GNR fleet was “retired” from the Integrated Resources Management System (SIGRI) of GNR—Fleet Management component. The results show that the GNR fleet consists of 4569 operational land vehicles, divided into the following types: 51 heavy goods, 43 heavy passengers, 41 special heavy goods, 780 light goods, 2785 passenger cars, 35 special light cars, 738 motorcycles, and 96 trailers and semi-trailers. It must be underlined that 4316 of these vehicles were obtained by own acquisition, 112 are under a free-lease agreement, 108 for donation or loss in favor of the State, and 33 under operational utility. Of this panoply of vehicles, 13 are 100% electric and 37 hybrids. It is important to mention that GNR, through an application for the Electric Mobility Support Program in Public Administration (PAMEAP), received 25 Renault ZOE model vehicles, as well as financing for the acquisition and installation of 25 electric charging points (22 kW). By the end of 2025, it is expected to acquire another 100 vehicles of this typology. To understand the difference in the costs of the three types of propulsion systems (100% electric, hybrid, and internal combustion), we chose three vehicles incorporating the GNR fleet. All of them were in the same functional allocation (Community Policing, and Criminal Prevention Sections), and they were integrated in the exact moment in the fleet. In this sense, a comparative summary table5 of the charges in question has been drawn up. Given this case study, the disparity in fuel vs. electricity charges is visible, with a clear advantage for the latter. Nevertheless, due to the high cost of acquiring BEV, the figures presented in the last row of the table show higher total charges than other vehicles. The discrepancy in the price of acquiring ICEV for other vehicles is large since GNR does not pay taxes during the acquisition (under the Article 51 of Law No. 22-A/2007) (Table 28.1).

28.4 Supply Network To regularise charging methods, appears the International Electrotechnical Commission (IEC) 62196, concerning the type of electrical connections used in electric vehicle charging equipment, as well as the IEC 61851, on setting modes, also supported by the International Organization for Standardization (ISO) 17409 and ISO 18246 [23, 24].

5

Average price: Volkswagen E-Golf—extracted from the electricity purchase contract (terminated on December 31, 2020) concluded by GNR and EDP, with the simple tariff: provided by the Logistics Resources Directorate. Toyota Yaris 1.5i HSD Hybrid—obtained by the Directorate-General for Energy and Geology—DGEG (http://www.dgeg.gov.pt/, accessed March 8, 2020)and subtracted the contractual discount per liter. Citroën C-Elysee 6 HDI—values obtained through the maintenance contract, extracted from the State Vehicle Park Management System (SGPVE).

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Table 28.1 Vehicle costs (case study) Vehicle

Volks wagen E-Golf

Toyota Yaris 1.5i HSD Hybrid

Citroen C-Elysee 1.6 HDI

Fuel

Electric

Petrol with additives

Diesel with additives

Purchase cost

30,629.77

15,227.35

10,717.84

Average price (04 Mar 19 to 03 Mar 20)

0.07 e

1.36 e

1.23 e

L(kWh)/100 km

15.9

4.8

5.1

Fuel charges per 100 km

1.12 e

6.55 e

6.28 e

Fuel charges per 100,000 km

1120.95 e

6549.84 e

6275.03 e

Maintenance charges at 1200,00 e 100,000 km

1 255,10 e

2154,24 e

Mai. + Fuel. (100,000 km)

2320.95 e

7804.94 e

8429.27 e

Aq. + Mai. + Fuel. (100,000 km)

32,950.72 e

23,032.29 e

19,147.11 e

Aq. + Mai. + Fuel. (100,000 km)

35,271.67 e

30,837.24 e

27,576.38 e

Mode 1—Charging from a Domestic or Industrial Electrical Outlet (Dumb Charge)—corresponds to the simplest charging where the owner only connects the electric vehicle to an electrical grid. This charging mode can be done through domestic sockets type Schuko. This mode is used by vehicles that are not prepared to charge in mode 3, using schuko-type domestic outlets or industrial outlets with an adequate and protected connection. Owners can also resort to smart charge mode, allowing you to recharge the vehicle in hours of lower grid overload. Mode 2—Charging from a Domestic or Industrial Type Outlet with the In-cable Control Box (ICCB)—this mode is used by vehicles that are already prepared to be loaded in mode 3 and can charge in a domestic or industrial outlet. In this sense, like mode 1, an outlet is connected, but using a specific cable supplied by the manufacturer (ICCB), allowing a secure connection to the electrical installation. Mode 3—Fast Charging in Alternating Current (AC) Utilizing a Specific Outlet for Electric Vehicles with Functions of Control and Protection—This is a charging system provided by alternating current and through a charging station, called by WALLBOX that aims to increase the safety of the vehicle charging, mitigating any errors at the time of handling. The most used sockets in this mode are type 1 (SAE J1772—North American and Japanese standard), type 2 (Mennekes—European standard), and there is yet another type 3 socket (Scame) (IEA, 2018). However, it was agreed that AC charging would be used for the Mennekes type 2 socket. Mode 4—Fast Recharging in Direct Current (DC)—This is an indirect charging mode to the power supply grid because it is with an external charger that supplies the current directly to the battery. In this mode, the AC grid is converted in DC on the

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charging station. The most used outlets in this mode are the Chademo and Combined Charging System (CCS).

28.5 Methodology The present investigation follows the deductive method [7, 25]. In this regard, the research strategy was mixed. The following starting question (SQ) was defined to guide the investigation: how feasible is the implementation of 100% electric and hybrid light vehicles in the GNR fleet? This question was disaggregated into [26] derived questions (DQ): DQ1—What are the advantages and disadvantages of using 100% electric, hybrid, and internal combustion light vehicles? DQ2—In what operational contexts should 100% electric and hybrid light vehicles be used? DQ3—What are the costs associated with using 100% electric, hybrid, and internal combustion light vehicles? DQ4—What are the main operational constraints of 100% electric and hybrid light vehicles? The search for answers to the previous questions was based on primary data collected in interviews and questionnaire surveys and the discussion that arose in analyzing the literature. The interview was done in a non-probabilistic manner [27]. The subjects were chosen for the relevance of their role in the GNR, namely: Coordinator of the State Vehicle and Logistics Center of the Shared Services Entity of the Public Administration (eSPap I.P.); Head of the Maintenance and Transport Division of GNR; Commander of the Company of Intendency, Transport, and Maintenance of GNR; Commanders of Territorial Detachment who have in the fleet BEV and/or HEV; and Head of the Division of Material from the Polícia de Segurança Pública (Portuguese civilian police). The analysis of the 23 interviews was divided into five phases: transcription, reading, construction of the synopses of the talks, descriptive analysis, and interpretative analysis [28]. The sample of questionnaire surveys is composed of the Heads of the Information and Criminal Investigation Section,6 the Heads of the Section of Nature and Environment Protection Service and the Territorial7 and Transit Detachment Commanders. The option to enquire these military personnel was due to the fact that the questionnaire is intended to study the feasibility of implementing 100% electric and hybrid light vehicles in the fleets of the subunits, that already use these vehicles, to study the feasibility of continuing with them allocated to operational activity. In this regard, 116 responses were considered valid, which makes up a response percentage of 78% of the total the universe. 6

Convenience or voluntary sampling was used, i.e. the individuals surveyed responded voluntarily [26]. 7 The replies of 4 Deputy Commanders of Territorial Detachment, 2 Deputy Commanders of Transit Detachment and 1 Deputy Chief of the Information and Criminal Investigation Section, as acting Commanders/Chiefs.

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28.6 Results Discussion After data analysis, about the DQ1 (What are the advantages and disadvantages in the use of 100% electric, hybrid, and internal combustion light vehicles?), it seems that for the BEV, the advantages focus on reducing fuel costs, benefiting the environment and reducing maintenance costs in the medium term, due to the smaller number of mechanical elements. At the same time, they reduce noise pollution and transmit an institutional image of innovation and modernity. On the other hand, these vehicles also have disadvantages in terms of their autonomy and consequent operational limitations, the cost of acquisition (even the income from operational leasing contracts is tendentially higher), the charging time, and the demand/supply ratio, due to the lack of charging stations8 that can meet the needs of all vehicles in the institutional fleet, because of the transition to electric mobility. In addition, after the terminus of the battery warranty, it may be necessary to replace them, reflecting large financial charges. Another disadvantage is the low robustness and power of the BEV and the fact that they are not off-road (ORV) with the possibility of an all-wheel drive (AWD). HEV’s advantages are focused on reducing consumption, reducing noise and environmental pollution, and, consequently, improving the institutional image. They also have the advantage of not needing to be charged, no changing users’ habits and routines. Finally, its performance is also notorious for its starting force and the automatic transmission. In opposition, we have as disadvantages the cost of maintenance (maintenance of the combustion engine and batteries), with the high cost of the possible batteries’ replacement. Additionally, although they also run on internal combustion, these are vehicles that have a shorter autonomy than the ICEV, due to the reduced fuel tank. However, if that autonomy exceeds the maximum of kilometers driven per patrol, it is no longer a disadvantage. Another drawback brings us to the load capacity since the batteries subtract space. Despite the starting force, HEV has a limited acceleration, resulting from the management that the engine plays to minimize consumption. The respondents underlined the greater autonomy about the PHEV compared with the exclusively electrical mode, although manifestly more expensive in the acquisition. In the case of ICEV, the advantages focus on flexibility/freedom of use, the fact that there are several ORV versions with all-wheel drive as well as heavy vehicles, in their long autonomy, the vast supply network and the time required to do so, the large market offer and the increase in acceleration and speed compared to BEV and HEV. Concerning the disadvantages, they refer to the impact on the environment, the cost of use (fuel and maintenance), their low efficiency and given the current land fleet of GNR, issues such as mileage, wear, age, and inoperability also become a limitation, even if it is transversal to other vehicles.

8

The shortage of charging stations can for now be “mitigated with a judicious territorial dispersion in the installation of charging stations, as well as with a careful allocation of vehicles from the fleet of each entity.” Cited from the survey by interview, answered by the Coordinator of the State Vehicle and Logistics Center of eSPaP I.P.

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As regards the DQ2 (In what operational contexts should 100% electric and hybrid light vehicles be used?) and starting with the analysis made to the interviews directed to the BEV, several constraints to operational use were identified for certain functions. The low supply in the BEV ORV market and their low autonomy limit their operational use in patrolling rural areas with a large forest area, making them unsuitable for the performance of the Section of Nature and Environment Protection Service and for the Emergency Protection and Rescue Unit. On the other hand, and as mentioned above, in question are vehicles with9 lower performance, making them incompatible for situations whose use of the vehicle is more demanding, such as for the areas of operation of Traffic, Criminal Investigation, and rapid intervention forces. With respect to the patrolling carried out by the territorial units, and considering the unpredictability of the work of these units, and the small operational fleet of the subunits, it makes it impossible to affect the BEV for this function. Nevertheless, the respondents report that the allocation to Community Policing, and Criminal Prevention Sections, for secondary activities (e.g., notifications, seizures) and some administrative shifts will be the best employment option of the BEV. Cumulatively, it is the Territorial Detachment Commanders and Heads of the Section of Nature and Environment Protection Service who are most receptive to the use of BEV in their daily performance (despite the scant supply in the BEV ORV automotive market). As far as HEV is the case, they adapt to the close and community urban patrol service, to the Section of Nature and Environment Protection Service (in the case of HEV ORV) and to the administrative and support services, i.e., they can be used in all contexts where high-performance vehicles are not required. It is added that the implementation of PHEV would increase the employability spectrum of these vehicles, given their versatility (greater electrical autonomy combined with the ICE). Given the average daily mileage of a patrol (namely the Environmental Protection Center, Criminal Investigation, Territorial Detachment and Community Policing, and Criminal Prevention Sections) and the electrical autonomy of about 50 km of the PHEV, it is concluded that the patrol, in the different operational contexts, could be done almost exclusively in electric mode, with the versatility of using the ICE, to increase power or autonomy. In this sense, in addition to environmental advantages, fuel charges would be reduced. In view of this content, the spectrum of use would extend to the patrolling of occurrences and patrols with a large spectrum of action, as is the case of Traffic Units. Concerning the DQ3 (What are the costs associated with the use of 100% electric, hybrid, and internal combustion light vehicles?), the response was made from the BEV perspective. The initial investment of BEV is currently higher for the same category as other vehicles. Added to this initial investment is the acquisition and installation of charging stations that would allow a greater number of daily commitments, and for this, it is necessary to improve the electrical installation of the subunits in order to ensure that they are capable of providing higher power. Another relevant

9

Vehicles related to operational activity may have to be connected for long periods in remote locations and in critical cases (as an example we have the forest fires).

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investment, mentioned by some respondents, deals with the acquisition and installation of photovoltaic panels to recharge the batteries of BEV and/or PHEV, to reduce the charges with electricity. In addition, it mentioned the medium/long-term expenses with the replacement of batteries and other maintenance expenses.10 Having said that, the cost of acquiring HEV and PHEV is also higher than ICEV. In addition, the most expensive maintenance in the long term is added, taking into account the maintenance of the combustion engine, as well as the increased maintenance of the battery and its possible replacement, with the need to be done in official workshops of the brand in view of the specificities of the components. The same situation occurs with the maintenance charges in the ICEV, considering the greater number of components subject to wear and the possible replacement of the engine. Regarding DQ4 (What are the main operational constraints of 100% electric and hybrid light vehicles?), and concerning the BEV, we noticed that, because of their limited autonomy, the charging time derived from the lack of charging stations, and the limited fleet of operational vehicles in the subunits, BEVs can only be assigned to a daily operational service. In addition, due to the low robustness and power, the need for the driver to permanently adjust the driving in order to maximize the advantages of electrical technology and the restricted response capacity to occurrences, led to the current allocation of BEV only to Community Policing, and Criminal Prevention Sections. Thus, this gives it the necessary institutional visibility without compromising its mission. In view of the above, adds reference to the results of Q1311 of the questionnaire, which transposes the response of the Heads of Information and Criminal Investigation Section to the possible discomfort of their subordinates when using the BEV.12 In turn, HEV’s main operational constraints are limited to their lower autonomy, compared to ICEV and the lack of ORV hybrid versions with AWD in the GNR fleet, essential for patrolling in rural areas. Additionally, the load capacity (volume) is reduced due to the space subtracted by the storage of batteries, which is necessary particularly in patrol vehicles. The Heads of the Information and Criminal Investigation Section and the Section of Nature and Environment Protection Service emphasis also the reluctance of to use hybrids, in this case plug-in, which could be derived from the limitations listed above, or because the service of both Sections is irregular in terms of time, distance, and speed, type of terrain and passengers and cargo transport capacity. All these factors determine the use and choice of vehicles to perform the mission.

10

Disregarding its possible non-costly supply through environmental funds. Q13: My military personnel feel comfortable in using 100% electric vehicles, given their specificities (charging, autonomy, mileage, etc.). The respondents had a 5 level likert scale to respond. 12 The option of charging into street posts is not feasible for police vehicles, under penalty of being vandalized. 11

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28.7 Conclusions The present research was conducted in response to the question How feasible is the implementation of 100% electric and hybrid light vehicles in the GNR fleet? The viability of these vehicles was analyzed with the following topics and operational context: charging needs; maintenance; scope of use and opinion of different military personnel (receptivity, difficulties felt in their use, operational constraints). Concerning the limitations of operational employment, it should be noted that the majority of the GNR fleet is composed of special vehicles, as defined in article 8 (1) (d) of Decree-Law No. 170/2008, being excluded from the application of the Order No. 2293-A/2019, which establishes financial and environmental criteria for the acquisition of vehicles to be included in the State Vehicle Park. This exclusion is precisely related to the specificities of bodies such as GNR, so the current market for electric vehicles does not guarantee a complete response to all types of vehicles or all types of use. That said, and given the content of the starting question, it is concluded that the implementation of 100% electric and hybrid light vehicles in the fleet of the GNR is feasible, even if restricted to certain operational contexts. Thus, given the constraints of the BEV listed in the derived questions, concerning their autonomy, robustness, and type of traction, it is concluded by the research that the operational context to which they should be affected is limited to the functions of the Community Policing, and Criminal Prevention Sections and to administrative and support services (which do not exceed their autonomy). On the other hand, and in accordance with the BEV, HEV are also delimited to the same context, to which the urban proximity patrolling is added. In any case, given the ambitious acquisition of PHEV, operational employment opportunities would expand to all the valences of the Territorial Subunits, largely due to the extension of autonomy and performance. In any case, the transition to electric mobility in the auto institutional fleet depends on the logistical/financial capacity for installing charging stations in the various units and subunits to reduce the time when electric vehicles are inoperative due to lack of battery charge. With the “Table 28.2,” we intent to summarize all positive aspects and the remaining challenges found out in our investigation that allows us to prove the importance of the subject but also the need of further studies about this matter.

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Table 28.2 Proposals to be included in future SWOT analyze on the implementation of 100% electric and hybrid vehicles in the GNR Fleet Internal analysis Strengths External analysis Opportunities • Promote competition to electric mobility programs • Multiplicity of GNR valences for better operational use of electric vehicles • Promote partnerships with external entities • Enhance the institutional image • Mitigate environmental and noise pollution

Threats

• Distribution of 25 charging stations • Electric transition trend by the automotive market • Ability to adapt the military to the dynamics of the use and charging of electric vehicles • Vast area of expertise

Weaknesses • Privilege the acquisition of electric vehicles with greater autonomy (e.g., plug-in hybrids) • Need for renewal of the land fleet • Prioritize the acquisition and installation of charging stations • Increase the knowledge of the military of the auto workshops of GNR in terms of maintenance of electric vehicles • Aspire to the acquisition and installation of photovoltaic panels for charging batteries • Promote the reduction of fuel charges • Promote the acquisition of off-road HEV • Insufficient power grid in some subunits • Little supply in the off-road BEV market • Limitations of market supply • High acquisition cost • Most of the valences of GNR require high performance of the vehicles • Limitations of operational employment • Increased charges for long-term maintenance of electric vehicles

References 1. State of the Environment Report [OER]: Energy and carbon footprint of transport. In: Portal’s Environmental Status Report (2019). Accessed 6 Jan 2020 in https://rea.apambiente.pt/content/ pegada-energ%C3%A9tica-e-carb%C3%B3nica-dos-transportes?language=pt-pt 2. Roadmap for Carbon Neutrality [RNC]: Roadmap for carbon neutrality 2050. RNC2050, Lisbon (2019)

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3. European Environment Agency [EEA]: Greenhouse gas emissions from transport in Europe. In: Portal of the European Environment Agency (2019). Accessed 5 Jan 2020 in https://www.eea.europa.eu/data-and-maps/indicators/transport-emissions-of-greenh ouse-gases/transport-emissions-of-greenhouse-gases-12 4. Portuguese Environment Agency [Epa]: State of the Environment Report 2019. APA, Lisbon (2019) 5. Ministry of Environment, Spatial Planning and Energy [MAOTE]: Commitment to Green Growth. MAOTE, Lisbon (2015). 6. ESPAP: State vehicle park report. In: ESPAP Portal (2019). Accessed 20 Jan 2020 in https:// www.espap.gov.pt/Documents/servicos/veiculos/eSPap_Relat_PVE_2018.pdf 7. Marconi, M., Lakatos, E.: Fundamentals of Scientific Methodology, 5th edn. Atlas, São Paulo (2003) 8. Tillmann, C.: Internal Combustion Engines and their Systems. Federal Institute of Education, Science and Technology, Pelotas (2013) 9. State of the Environment Report [OER]: Road Park. In: Portal’s environmental status report (2019). Accessed 6 Jan 2020 in https://rea.apambiente.pt/content/parque-rodovi%C3%A1rio 10. Magalhães, B.: Hybridization of motor vehicle. Master’s thesis, Integrated Master’s degree in Mechanical Engineering, University of Porto (2014) 11. Martins, J.: Internal Combustion Engines, 5th edn. Publindústria, Port (2016) 12. Bravo, D., Meirelles, P., Giallonardo, W.: Analysis of the challenges for the diffusion of electric and hybrid vehicles in Brazil. In: XXII International Symposium on Automotive Engineering, vol. 1(2), pp. 24–45. https://doi.org/10.5151/engpro-simea2014-15 (2014) 13. Domingos, A.: Assessment of the economic feasibility of introducing electric vehicles into the SUCH fleet. Master’s thesis, Master’s degree in Mechanical Engineering in The Specialty of Energy and Environment, University of Coimbra (2018) 14. Delgado, F., Costa, J., Febraro, J., Silva, T.: Electric cars. FGV Energy. FGV Energia, Rio de Janeiro (2017) 15. Rodrigues, A.: Locomotion of Vehicles with the Use of Non-Polluting Energy. Institute of Military Higher Studies, Lisbon (2009) 16. Santos, N., Bortoloti, M., Piacente, F., Silva, R.: Analysis of the ecological advantages of automotive vehicles with engines: flex and hybrid. Bioenergy Rev. Dialogues 1(3), 100–127 (2014) 17. Greensavers: Recycling lithium from car batteries is now possible. In: Greensavers Portal (2019). Accessed 17 Jan 2020. https://greensavers.sapo.pt/reciclar-o-litio-das-baterias-automo veis-passa-a-ser-possivel/ 18. Baran, R.: The introduction of electric vehicles in Brazil: evaluation of the impact on gasoline and electricity consumption. Federal University of Rio de Janeiro (2012) 19. Goldenstein, M., Azevedo, R.: Alternative fuels and innovations in the automotive sector: Is it the end of the oil era? BNDES Sector 23, 235–266 (2006) 20. Mota, F.: Hybrid, “mild-hybrid” and “plug-in”: after all which is the best?. In: Targa Portal 67 (2019). Accessed 29 Dec 2019 in https://targa67.motor24.pt/hibrido-mild-hybrid-e-plug-in-afi nal-qual-e-o-melhor/ 21. Machado, P.G., Correa, B.: Insertion of plug-in hybrid vehicles in the Brazilian transport sector: an opportunity to reduce greenhouse gas emissions. Revista Brasileira de Energia 19(2), 225–236 (2013) 22. Lache, R., Nolan, P., Galves, D.: Electric Cars: Plugged in—Batteries Must Be Included. Deutsche Bank Securities Inc., Nova Iorque (2008) 23. Pinto, R.: Analysis of the charging profiles of electric vehicles in a charging station. Master’s thesis, Master’s degree in Electrotechnical and Computer Engineering: Bionic Systems Branch, University of Beira Interior, Covilhã (2014) 24. Sebastian, C.: Projection and development of chargers for electric vehicles. Internship Report, Master’s degree in Electrotechnical Engineering, Polytechnic Institute of Tomar (2014) 25. Gil, A.: Methods and techniques of social research, 6th edn. Atlas, São Paulo (2008)

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26. Sarmento, M.: Scientific Methodology for the Elaboration, Writing and Presentation of Theses. Lusíada University Publishing, Lisbon (2013) 27. Rosado, D.: Essential Elements of General Sociology. Gradiva, Lisbon (2017) 28. Guerra, I. (2006). Qualitative Research and Content Analysis: Meanings and Forms of Use. Princípia, Estoril

Chapter 29

The Demographics of Defense and Security in Japan Jorge M. Bravo

Abstract Long-term demographic trends influence defense and security policies and international politics in multiple ways. This paper forecasts the size and the age and sex composition of the Japanese population until 2080 and estimates its impact on the recruitment pool of military forces. We use a stochastic population forecasting method based on coherent functional data models for mortality, fertility, and migration. Our results show that the country will experience a prolonged period of total and working-age population decline and aging, with major negative implications on the recruitment and retention of SDF forces. Potential remedies to uphold the country’s security and defense capabilities are discussed. Our approach can be extended to other demographic markers and to other countries and inform public and private decision making.

29.1 Introduction National and sub-national population forecasts of the size and structure of the population are central to social and economic planning and to inform public and private decision making in a variety of policy areas including education, health care, pension system reform, risk management, welfare policies, housing, transportation, and public infrastructure [1–10]. Yet, little attention has been given to the impact of long-term demographic trends (declining fertility rates, increasing life expectancy, population aging, internal/international migration flows, urbanization) on security and defense policies and in international politics. Population aging and a declining birth rate challenge security in multiple ways: (i) they reduce potential economic growth, increase social protection and healthcare spending, reduce tax collection, impacting public deficits, and creating financial pressure on defense-related expenditures; (ii) they reduce active population and the recruitment pool of military and J. M. Bravo (B) NOVA IMS—Universidade Nova de Lisboa, Université Paris-Dauphine PSL, MagIC, CEFAGE-UE, Lisbon, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_29

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security forces; (iii) massive uncontrolled migration or refugee flows, ethnocultural diversity, and human trafficking may trigger regional conflicts [11]; (iv) they alter transatlantic demographic balance [12]; (v) they undermine the state building in populous, fragile states [13]; (vi) elderly dominated electorates may shift political direction toward a more inward-looking agenda-setting focusing on homeland security at the expense of collective security commitments and foreign policy objectives [14]; (vii) smaller and non-conventional family sizes may leave parents less likely to embrace the military profession as an occupational choice for their reduced descendants and increase the level of casualty aversion; (viii) changing age structures influence the likelihood of interstate conflict, with older societies tending to be more peaceful [15]; (ix) imbalances in the male-to-female sex ratio have implications for domestic and foreign affairs; (x) organized crime, violent delinquency, and civil unrest are undesirable consequences of urbanization. This paper forecasts the size and the age and sex composition of the Japanese population until 2080 and estimates its impact on the recruitment pool of the country’s SDF forces. Japan, together with some neighboring states (e.g., Republic of Korea, Singapore, Taiwan), has long been experiencing a serious demographic shift with an aging society, increasing fiscal deficits, low economic growth, and productivity. The emergence of China as an economic and military power, with its intensified maritime activities in the East China Sea and the South China Sea, together with the established concern over North Korea nuclear activities, poses a security threat to Japan’s defensive policy. Japan’s concerns over its regional security environment have heightened, as expressed in its 2019–23 Medium-Term Defense Program, leading the country to increase its defense-budget and pass several defense-policy and legislative reforms to enable Japan to strengthen its SDF force and to play a more active international security role [16]. The country does not have the capabilities to independently respond to China’s threat, increasingly depending on Japan-US alliance, while trying to enlarge its allies in the region [17]. In terms of methods, we use a stochastic population forecasting method based on coherent functional data models for mortality, fertility, and net international migration, which we then use to simulate the future size, sex, and age-composition of the population. Contrary to official statistics offices projections often based on expert-based scenarios, this provides a coherent statistical approach for the three components of demographic change requiring no subjective inputs, from which we derive probabilistic prediction intervals for population counts and key demographic markers, including life expectancy and dependency ratios. Our results suggest that the country will experience a prolonged period of total and workingage population decline and aging, with negative implications on the recruitment and retention of SDF forces. The structure of this article is as follows. Section 29.2 outlines the key concepts and research methods used in the paper. Section 29.3 reports summary results for the forecasted population numbers and vital events. Section 29.4 critically discusses the results and concludes.

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29.2 Stochastic Population Forecasts 29.2.1 Demographic Growth-Balance Equations We use the cohort-component method for population projection. The method uses the three components of demographic change (births, deaths, and net migration) to project population size, age structure, and other demographic attributes such as sex and ethnicity [18]. Let Bt,g (x) denote the live births in calendar year t of sex g to females of age x, Dt,g (x) the deaths in calendar year t of persons of age x and sex g, Pt,g (x) is population of age x and sex g on the 1st January of year t, and Mt,g (x) the net migration (difference between immigration and emigration) of individuals of age x and sex g in year t, where x = 0, 1, . . . , w + denotes individual ages with w + the open-ended upper age group (set to 100+ in this study), and where t = 1, . . . T . Age cohorts are split between males and females and, in some countries, classified by race, ethnicity, and other characteristics. The demographic growth-balance equations summarize, for each stochastic path, the relationship between population change and the components Pt+1,g (x + 1) = Pt,g (x) − Dt,g (x, x + 1) + Mt (x, x + 1), x ∈ [0, w − 2] (29.1) Pt+1,g (0) = Bt,g − Dt,g (B, 0) + Mt (B, 0)

(29.2)

        Pt+1,g w + = Pt,g w + + Pt,g (w − 1) − Dt,g w − 1+ , w + + Mt w − 1+ , w + (29.3) The live births of sex g are estimated from the mean female population in the reproductive age group considering the age-specific fertility rates f t (x) estimated for year t and the sex ratio at birth (number of boys born alive per girls born alive), set to 1.05 in this study. The number of deaths is computed from the surviving population considering the age-specific mortality rates m t (x) estimated for year t. Following [19], the net migration is estimated from Eqs. (29.1) and (29.3) as the difference between historic annual population data and successive populations one year ahead derived from a projection using fertility and mortality data. The cohortcomponent method requires data on each component process disaggregated by the dimensionality (e.g., individual ages) of the population to be projected.

29.2.2 Forecasting Demographic Components The traditional approach to age-specific mortality rate forecasting is to use a single or multi-population discrete-time or continuous-time stochastic mortality model as

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proposed in the actuarial and demographic literature (see, e.g., [19–23] and references therein). More recently, a novel adaptative Bayesian Model Ensemble approach of heterogeneous models comprising Generalized Age-Period-Cohort stochastic mortality models, principal component methods, and smoothing approaches has been developed and applied [10, 24–29, 33, 34]. Methods for forecasting agespecific fertility rates include a variant of the Lee-Carter method, principal component and functional data models, extrapolative (ARIMA) and Bayesian approaches, and methods which complete cohort fertility schedules [30]. With regards to net migration, in most countries, there is a lack of reliable, detailed time-series data on actual migration flows, making it difficult to use sound statistical methods. Because of this, methods for forecasting migration are often naïve or expert-based. An alternative approach pursued here is to estimate net migration as the difference between the increment in population size and the natural increase (births minus deaths) using the demographic growth–balance equation. Following [19, 31], we model and forecast age-specific mortality and fertility rates using a functional demographic data modeling approach (FDM). Let y¨t (x) denote the quantity being modeled (either the log mortality rate, the log fertility rate, or net migration) for age x in calendar year t. First, we use a Box-Cox transformation of y¨t (x) to correct the data into normality and assume the following model for the transformed quantity yt (x): yt (x) = st (x) + σt (x)εt,x , st (x) = μ(x) +

J 

βt, j φ j (x) + et (x),

(29.4)

(29.5)

j=1

where st (x) is a smoothed function of the observed data yt (x), graduated over age but not  time, and estimated by constrained weighted penalized regression splines;  over εt,x are i.i.d. standard  normal error terms; μ(x) is estimated as the average of st (x) across years; φ j (x) is a set of orthogonal basis functions computed using a principal components decomposition; βt, j are the jth principal components scores (PCS) of st (x) − μ(x); et (x) is the model error having mean zero and no serial correlation. Following [19], we select J = 6. The dynamics of the stochastic   processes are controlled by the assumed independent time-series coefficients βt, j . Each    component series βt, j is modeled with an ARIMA p j , d j , q j process, where the order p j , d j , q j are selected using the automated algorithm embedded in the R package forecast, and the parameters are estimated using ML estimation. Given the observed data {y1 (x), . . . , yn (x)} and the set of functional principal components {φ1 (x), . . . , φn (x)}, the h-step-ahead forecast of yT +h (x) is given by yˆT +h|T (x) = sˆT +h|T (x) = μ(x) ˆ +

J  j=1

φ j (x)βˆT +h|T, j ,

(29.6)

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where βˆT +h|T, j denotes the h-step-ahead forecast of βT +h|T, j . To guarantee that when we apply the model to male and female subpopulations, the resulting forecasts are coherent, and we follow [31] and apply the product-ratio method  to the geometric mean of male (M) and female (F) log mortality data, pt (x) = st,M (x)st,F (x), and  the ratio of male and female log mortality data, rt (x) = st,M (x)/st,F (x), rather than to each series independently. Then, the FDM method is applied to these two new variables: log[ pt (x)] = μ p (x) +

J 

βt, j φ j (x) + et (x),

(29.7)

γt,l ψl (x) + z t (x),

(29.8)

j=1

log[rt (x)] = μr (x) +

L  l=1

where the time series of coefficients {βt, j } are fitted with ARIMA models, while the time series {γt,l } are fitted by stationary ARFIMA models with the order of differencing constrained to 0 < d < 0.5 to certify the forecasts of male, and female populations remain coherent and do not diverge over time. Finally, forecasts of sexspecific demographic data are obtained using m TM+h|T (x) = pT +h|T (x) · r T +h|T (x), m TF +h|T (x) =

pT +h|T (x) . r T +h|T (x)

(29.9) (29.10)

To forecast net migration by sex, a procedure similar to the above method used on mortality rates is considered. From the models above, (i) sample trajectories are simulated for age- and sex-specific mortality rates and net migration and agespecific fertility rates; (ii) forecasted population counts are simulated using the cohort-component method assuming future deaths and births follow a Poisson distribution with parameters as a function of the corresponding exposure-to-risk and m t (x) and f t (x), respectively. To simulate future net-migration numbers, we follow [19] and bootstrap the residuals of the net-migration model; (iii) we derive a sample path of the age- and sexspecific population counts for years t = T + 1, . . . , T + h based on the corresponding simulated deaths, births, and net-migrants; (iv) for each simulation, we can compute the share of young and old in the total population, dependency ratios, the life expectancy at all ages, the total fertility rate, and other demographic markers. We apply the methodology to Japanese data. The datasets comprise: (i) mortality data obtained from the Human Mortality Database [32] consisting of observed death counts, Dx,t , and exposure-to-risk, E x,t , classified by age at death (x = 0, ..., 110+), year of death (t = 1947, ...., 2019) and sex, (ii) fertility data obtained from the Human Fertility Database [16], consisting of age-specific annual fertility rates and

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female population exposure classified by age (x = 14−, ..., 55) and year (t = 1947, ...., 2018). Even though annual mortality and fertility rates are available from 1947 to 2018, only data collected after 1970 is used to avoid discrepancies between vital events and population exposed to the event observed in the past. We derive prediction intervals for mortality rates accounting for both stochastic process and parameter risk. For each model and population, we consider 5000 bootstrap samples. The model fitting, forecasting, and simulation procedures have been implemented using a R package routine.

29.3 Results Figure 29.1 exhibits the estimated mean age pattern μ(x), ˆ the first two basis functions, φˆ 1 (x) and φˆ 2 (x), and the corresponding first two principal component scores (PCS), βˆt,1 and βˆt,2 for log fertility rates to illustrate the FDM demographic component model forecasts. The first principal component, βˆt,1 φˆ 1 (x), accounts for 58.1% of the volatility in the log fertility rates, the second explains 38.9% and the third 2.21%. The post-World War II baby boom is observable in the dynamics of βˆt,1 . The first basis function φˆ 1 (x) measures the sensitivity of the general time-trend across ages, showing two peaks on females aged around their early 20s and 40s. The bottom panels show the forecasted PCS with their 80% pointwise prediction intervals generated using timeseries (ARIMA) methods. Figure 29.2 plots, for the male and female population of

Fig. 29.1 Fitted FDM model for Japanese age-specific fertility rates

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Fig. 29.2 Forecast of death and fertility rates and life expectancy at birth by sex (2019–2080)

Japan, the mean forecasted mortality rates by age and year up to 2080 (top panels), the forecasted life expectancy at birth (bottom left panel), and the age-specific fertility rates (bottom right panel). We forecast mortality rates that will continue to decline at all ages in the upcoming decades in line with longevity trends observed in the country in post-World War II, with life expectancy at birth estimates increasing from 87.77 (81.48) years in 2019 to 96.52 (92.53) in 2080 for the female (male) population. With regards to fertility levels, we project the total fertility rate that will recover and from record low levels and increase to 1.52 in 2050, 1.64 in 2065 and 1.81 in 2080, a relatively benign (optimistic) scenario in line with the high variant scenario considered in Japan’s official projections.1 Figures 29.3 and 29.4 show, respectively, the forecast of the total population by sex over the forecasting horizon, and the forecast of 2060 population age structure along with the base year population. Our results show that the male and the female population are both expected to substantially decline from a nationwide total of about 125 million in 2019 to around 101 million in 2050 and around 86 million by 2080. The FDM forecast results are in line with the high fertility scenario projected by international organizations (UN; OECD), confirming Japan is expected to enter a long period of population decline and aging. The population pyramid results suggest a significant compression of the youth population and an increasing share of the oldest-old.

1

Population Projections for Japan (2017): 2016 to 2065. National Institute of Population and Social Security Research in Japan (http://www.ipss.go.jp/index-e.asp).

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Fig. 29.3 Forecasts of the total population for each sex, along with 80% prediction intervals

Fig. 29.4 Forecast of population age structure for 2060, along with 80% pointwise prediction intervals. Note The dashed lines represent the actual pyramid for 2019

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The working-age population (15–64 years of age) increased consistently during the post-war years, reaching its peak at 87.3 million in 1995. Since then, it has entered a period of rapid decline falling to 72.73 million in 2019. We forecast working-age population that will continue to decline to 49.81 (43.22) million in 2050 (2080), substantially reducing labor supply and the recruitment base of talented SDF forces. Figure 29.5 plots the forecast of the total population in the age range for new recruits in Japan and the old age dependency ratio (65+/15–64, 65+/20–64). We forecast the number of citizens between the ages of 18 and 26 years old that will shrink from 10.6 million in 2019 (of which 5.4 million are men) to 7.5 million in 2080 (it was 17 million in 1994), of which only 3.83 million are men. To counteract the reduction in the supply of SDF personnel, Japan recently (2018) raised the maximum age for enlisted personnel and non-commissioned officer applicants from 26 to 32 years old. We forecast this that will increase the pool of potential recruits to 17.8 million in 2020, declining rapidly to 12.5 million in 2080 (of which 6.3 million are men). The OADR will raise substantially from one retiree to two active individuals to close to a 1:1 relationship in 2060. As of 2020, the active military and paramilitary forces in Japan totalize 247,150, to which 56,000 reservists (GSDF, Navy, Air) and 55,600 foreign forces (US Pacific Command) must be added [16]. Currently, just 6.1% of SDF personnel are women. With nearly one quarter of recruiting targets unfilled, the country faces substantial challenges for military recruitment. Expanding the age range for new recruits is a temporary solution as detailed above. Another one is to increase the recruitment of women to levels comparable with that of, for instance, Australia (16.5%), the United States (16%), and the United Kingdom (12%).

Fig. 29.5 Forecasts of the total population in the age range for new recruits and the old age dependency ratio 2019–2060

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29.4 Discussion and Conclusion The size and human capital of SDF forces are critical for operations effectiveness in an era in which the redefinition of military roles and mission objectives modified and enlarged soldierly skills and capabilities. In this paper, we generated stochastic population forecasts for Japan up to 2080 and concluded that the country will experience a prolonged period of total and working-age population decline and aging, with significant consequences on the recruitment pool of SDF forces. The size and composition of the youth population, opportunities, options, and expectations in the civilian labor market or the educational system, student’s educational attainment, physical abilities, society values and attitudes toward defense forces, and family considerations are some of the key factors that influence the success of military recruitment and retention strategies [14]. Faced with fewer SDF personnel, Japan will need to adapt to uphold their defense capabilities. One possibility is to automate some of the military duties, although tasks like medical assistance cannot be delivered by a drone. Another option is to develop and/or acquire military equipment with reduced staff requirements, for instance, uninhabited systems like aerial vehicles, uninhabited surface vessels or uninhabited ground vehicles, used in surveillance and force protection operations. Another option is to reduce the size of army units increasing their firepower and technological capabilities. Creating or reinstating volunteer corps providing part-time voluntary military service opportunities for other groups (e.g., older permanent residents ineligible for SDF) could be a solution. Another possibility is to expand the participation in international defense alliances and increasing the cooperation with regional organizations. Reinstating mandatory service may also be reconsidered at some moment in time if security threats persist. In addition, to remedy the significant military retention problems, countries have been increasing pay and benefits to personnel, developing family care and quality of life programs, improving the selection process to better match individuals to the organization and the jobs, offering training programs and educational incentives, extending contract length and offering retention bonus programs. Further research should investigate the impact of demographics on other dimensions, particularly net immigration which is projected to be in the future a major contributor to population growth in most developed countries.

References 1. Ayuso, M., Bravo, J.M., Holzmann, R.: Getting Life expectancy estimates right for pension policy: period versus cohort approach. J. Pension Econ. Fin. 20(2), 212–231 (2021). https:// doi.org/10.1017/S1474747220000050 2. Bravo, J.M., El Mekkaoui de Freitas, N.: Valuation of longevity-linked life annuities. Insurance Math. Econ. 78, 212–229 (2018) 3. Bravo, J.M.: Funding for longer lives: Retirement wallet and risk-sharing annuities. Ekonomiaz 96(2), 268–291 (2019)

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4. Bravo, J.M., Herce, J.A.: Career breaks, broken pensions? Long-run effects of early and latecareer unemployment spells on pension entitlements. J. Pension Econ. Finance 1–27 (2020). https://doi.org/10.1017/S1474747220000189 5. Bravo, J.M.: Taxation of pensions in Portugal: a semi-dual income tax system. CESifo DICE Rep. J. Inst. Compar. 14(1), 14–23 (2016) 6. Human Mortality Database. University of California, Berkeley (USA), and Max Planck Institute for Demographic Research (Germany). Data downloaded on 28-11-2020 7. Chamboko, R., Bravo, J.M.: A multi-state approach to modelling intermediate events and multiple mortgage loan outcomes. Risks 8, 64 (2020) 8. Chamboko, R., Bravo, J.M.: On the modelling of prognosis from delinquency to normal performance on retail consumer loans. Risk Manage. 18(4), 264–287 (2016) 9. Ashofteh, A., Bravo, J.M.: A conservative approach for online credit scoring. Exp. Syst. Appl. 176, 1–16, 114835 (2021). https://doi.org/10.1016/j.eswa.2021.114835 10. Ayuso, M., Bravo, J.M., Holzmann, R., Palmer, E.: Automatic indexation of the pension age to life expectancy: when policy design matters. Risks 9(5), 96 (2021). https://doi.org/10.3390/ risks9050096 11. Lisher, S.K.: Security and displacement in Iraq: responding to the forced migration crises. Int. Secur. 33(2), 95–119 (2008) 12. Simon, J.: NATO uncertain future. Is demography destiny? Joint Forces Q 53(2), 51–59 (2009) 13. Goldstone, J., Marshall, M., Root, H.: Demographic growth in dangerous places: Concentrating conflict risks. Int. Area Stud. Rev. 17(2), 120–133 (2014) 14. Apt, W.: Germany’s New Security Demographics: Military Recruitment in the Era of Population Aging. Springer Demographic Research Monographs, Rostock (2014) 15. Brooks, D.J., Brooks, S.G., Greenhill, B.D., Haas, M.: The demographic transition theory of war: why young societies are conflict prone and old societies are the most peaceful. Int. Secur. 43(3), 53–95 (2019) 16. Ceccorulli, M., Fassi, E., Lucarelli, S.: NATO’s demographic paradox. Global Change Peace Secur. 29(3), 249–271 (2017) 17. Huang, L., et al.: Japan Study as a Public Good in Asia. Springer Briefs in Economics (2019) 18. Bravo, J.M., Coelho, E.: Forecasting subnational demographic data using seasonal time series methods. In: Atas da Conferência da Associação Portuguesa de Sistemas de Informação 2019 (2019) 19. Hyndman, R., Booth, H.: Stochastic population forecasts using functional data models for mortality, fertility and migration. Int. J. Forecast. 24(3), 323–342 (2008) 20. Hunt, A., Blake, D.: On the structure and classification of mortality models. North Am. Actuar. J. 25(sup1), S215–S234 (2021). https://doi.org/10.1080/10920277.2019.1649156 21. Bravo, J.M., Nunes, J.P.V.: Pricing longevity derivatives via fourier transforms. Insur. Math. Econ. 96, 81–97 (2021) 22. Hyndman, R., Ullah, S.: Robust forecasting of mortality and fertility rates: a functional data approach. Comput. Stat. Data Anal. 51(10), 4942–4956 (2007) 23. Bravo, J.M.: Pricing survivor bonds with affine-jump models stochastic mortality models. In: The 5th International conference on e-commerce, e-business and e-government (ICEEG 2021). Association for Computing Machinery (ACM), New York (2021). https://doi.org/10.1145/346 6029.3466037 24. Bravo, J.M.: Longevity-linked life annuities: a bayesian model ensemble pricing approach. In: Atas da 20ª Conferência da Associação Portuguesa de Sistemas de Informação 2020. CAPSI 2020 Proceedings, p. 29 (2020). https://aisel.aisnet.org/capsi2020/29 25. Bravo, J.M., Ayuso, M.: Previsões de mortalidade e de esperança de vida mediante combinação Bayesiana de modelos: Uma aplicação à população portuguesa. RISTI Revista Iberica de Sistemas e Tecnologias de Informacao E40, 128–144 (2020) 26. Bravo, J.M., Ayuso, M., Holzmann, R., Palmer, E.: Intergenerational actuarial fairness when longevity increases: amending the retirement age. Scandinavian Actuar. J. (2021) (Preprint to submit for publication)

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27. Bravo, J.M., Ayuso, M.: Forecasting the retirement age: a Bayesian model ensemble approach. In: Rocha, Á., Adeli, H., Dzemyda, G., Moreira, F., Ramalho Correia, A.M. (eds.) Trends and Applications in Information Systems and Technologies. WorldCIST 2021. Advances in Intelligent Systems and Computing, vol. 1365. Springer, Cham, pp. 123–135 (2021). https:// doi.org/10.1007/978-3-030-72657-7_12 28. Bohk-Ewald, C., Li, P., Myrskylä, M.: Forecast accuracy hardly improves with method complexity when completing cohort fertility. In: Proceedings of the National Academy of Sciences, Sept 2018, vol. 115(37), pp. 9187–9192 (2018) 29. El Mekkaoui de Freitas, N., Bravo, J.M.: Drawing Down retirement financial savings: a welfare analysis using French data. In: 2021 The 5th international conference on E-commerce, EBusiness and E-Government (ICEEG 2021). Association for computing machinery (ACM), New York, NY (2021). https://doi.org/10.1145/3466029.3466041 30. Hyndman, R.J., Booth, H., Yasmeen, F.: Coherent mortality forecasting: the product-ratio method with functional time series models. Demography 50(1), 261–283 (2013) 31. Bravo, J.M., Pereira da Silva, C.M.: Immunization using a stochastic process independent multifactor model: the Portuguese experience. J. Bank. Finance 30(1), 133–156 (2006) 32. International Institute for Strategic Studies: The Military Balance 2020, vol. 120(1). In: IISS (2020) 33. Bravo, J.M., Ayuso, M., Holzmann, R., Palmer, E.: Addressing the life expectancy gap in pension policy. Insur. Math. Econ. 99, 200–221 (2021) 34. Bravo, J.M.: Pricing participating longevity-linked life annuities: a Bayesian model ensemble approach. Eur. Actuar. J. (2021). https://doi.org/10.1007/s13385-021-00279-w

Part XII

Strategy, Geopolitics and Oceanopolitics

Chapter 30

The Issues of Changing Geopolitical Challenges—The Case of Poland Jerzy Banski ´

Abstract Poland is exposed to influences both from the East and the West, as it is located at the meeting point of various geographical, civilization and political divisions of Europe. It is the largest country in Central and Eastern Europe. In the past, it was the place, in which the redrawing of the borders took the place on a much more massive scale than in any other part of Europe. The area of Poland was under the considerable influences of Russia, Austria, Germany and Turkey. Over the shorter or longer periods in the past, the nations inhabiting the region were deprived of their statehood. For this reason, the ethos of resistance was developed among these nations as their distinctive feature, as well as a sense temporariness and uncertainty about the future. Over the recent several decades, the region was cemented by socialist bloc and Warsaw Pact affiliation. However, joining the European Union and NATO has again changed tremendously geopolitical structure of that part of Europe. In view of the aforementioned sense of temporariness, it is difficult to expect from that part of the continent to unify on the basis of certain common interests. But the unification would be a justified step, serving as a protective factor against excessive influences of Russia and Germany. This is why the geopolitical idea of the “Three-Seas” has emerged in recent years, which is also intended to fulfil important economic tasks.

30.1 Introduction Europe, like any other large region in the world, is a tangle of conventional and unconventional geographical, historical, political, economic, ethnic, cultural and religious borders. Until now the most common division was into two parts, Western and Eastern, but after 1989 and the subsequent enlargement of the European Union, this division lost its clarity, and the East–West borders became “blurred”. Poland has an interesting position in Europe. It lies in the area or at the junction of various geographical and political divisions. As a consequence, it can be included J. Ba´nski (B) Institute of Geography and Spatial Organization, Polish Academy of Sciences, Warsaw, Poland e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_31

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in various structures and regions, which are often controversial and give rise to many discussions. In this paper, we will be interested in the place of Poland in the basic concepts of the division of Europe. The basic aim of the study is to indicate various concepts of the geopolitical and cultural division of the continent and the resulting consequences in a historical perspective. This objective leads to the research question: what are the consequences of the location of the country/region at the junction of various political and cultural structures? Deliberations on the division of Europe are usually the domain of historians and political scientists. They have at their disposal the appropriate knowledge, research technique and factual material for this type of research. This is why the most extensive studies on this topic are written by them [1–5]. The discussion is also joined by geographers who, in addition to knowledge of the natural barriers that often constitute the borders of European regions, carry out research on the contemporary social and economic situation in various parts of the continent, at the same time possessing the ability to spatially analyse socio-economic phenomena.

30.2 The “Fluidity” of Europe’s Borders and Divisions Before proceeding to consider the geopolitical and geographical location of Poland on the map of Europe, let us consider how the borders of our continent run. For it turns out that already here we encounter fundamental difficulties resulting from attempts to indicate unambiguously the territorial extent of Europe. The question—where is Europe localised?—is deceptively simple. The geographic borders to the west, north and south are natural (without going into details, it is the Atlantic and the Mediterranean), relatively easy to identify. The eastern borders, on the other hand, are conventional, but there is no universal consensus as to their course. Moreover, geographical borders do not coincide with civilisational borders, which in turn coincide with political borders. An additional difficulty is posed by the dynamic nature of borders, which are not permanent and may move even by thousands of kilometres. For example, in antiquity and the Middle Ages, the eastern borders of Europe reached the Don river, while in the modern period, they moved eastwards to the Ural Mountains. Even more ambiguous are the political borders of Europe, which go much further than the geographical borders. For example, some Transcaucasian countries are present in the Organization for Security and Co-operation in Europe (OSCE), or Russia, which reaches across the Pacific, belongs to the Council of Europe. Another example would be Cyprus or French Guiana, which are geographically situated on other continents and yet are part of the territory of the European Union. The same is true of the various European associations, federations and other forms of organisation that incorporate countries that lie beyond the geographical borders of a continent. The perspective from which the researcher looks at the continent is also important. English and Russian researchers will see Europe and its regions differently. It is

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therefore difficult to arrive at a uniform and universally accepted regional division and territorial extent of Europe. The result of the different approaches to the territorial division of Europe is a multitude of regions, often intertwined, but rarely sharing homogeneous borders. Apart from Eastern and Western Europe, we distinguish between Northern and Southern Europe, Central Europe, Central and Eastern Europe, Catholic Europe, Orthodox Europe, Balkan Europe, Scandinavian Europe, Baltic Europe, Mediterranean Europe, Carpathian Europe, Alpine Europe, etc. The regions of Europe also have varying sharpness of borders. For example, the location of Scandinavia is generally unambiguous and does not present any difficulties. In contrast, the boundary between the so-called East and West is not linear but a kind of zone. The same is true of Europe’s eastern frontier, which, depending on the historical period, “pours into” Asia or retreats under pressure from the east.

30.3 Poland in the Dichotomous Division of Europe Historians distinguish two (some three) major divisions in the history of Europe. Europe of the ancient period is divided into two parts—the Mediterranean (Empire), with high cultural and civilisational development, and the Barbarian (Barbaricum). The border between them was marked by the Rhine and the Danube rivers. Geographically, therefore, a large part of today’s Western Europe and the entire Mediterranean region belonged to the Roman Empire. Within the Empire itself, there were clear differences between the western part, with the dominance of Roman elements (Western Roman Empire), and the eastern part (Eastern Empire—Byzantium), where Greek influences prevailed. This had a very strong influence on the later divisions of the continent. Also, the pagan part of Europe (Barbaricum) showed divisions, mainly into the more civilised in the vicinity of the borders of the Empire and “wild” in the peripheral areas. The territory of Poland (within today’s borders) was located in the heart of Barbaricum. After the fall of the Western Roman Empire, the boundaries of the division of the continent began to evolve from the previous north–south arrangement, towards the west–east. The differences between the Roman–Greek culture of the West and the “orientalised” East began to grow. At the same time, the Christianisation of the pagan part of Europe, including Poland, progressed. At the turn of the first and second millennium AD, a new division of Europe into Western (Latin) and Eastern (Byzantine) was finally formed. This was very important for the fate of Poland, which lay “somewhere” in the vicinity of the zone separating these two parts of Europe. Poland, together with Hungary, Bohemia and Croatia, adopted the Latin version of Christianity, while Ruthenia and the Balkan countries adopted the Byzantine version. The division of the continent into two basic parts—eastern and western—is a fact that cannot be disputed. What is disputable, however, is the course of the border between them. A number of studies have been written on this subject, which suggest

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that the border between the West and the East should be treated not as a line, but as a narrower or wider transition zone. Among Polish geographers, a lot of attention was devoted to this issue by Eberhardt [6–8]. The author analysed, among others, the scientific work of Koneczny [9, 10] and Huntington [11], who in their research investigated the historical and civilisational divisions of Europe. Huntington, discussing the spatial distribution of the world’s great civilisations, distinguishes, among others, the border between Western and Orthodox civilisations, dividing Europe into two parts. This border is supposed to be the great historical line between the followers of Christianity and the Orthodox and Muslim peoples. As emphasised by Halecki [1], such views were already presented in 1933 by the Czech historian Bidlo [12], who compared the division into Eastern and Western parts of Europe to the division between Rome and Byzantium. The basic lesson to be learnt from what has been said so far is that it is not only political borders that change, but that this also applies to cultural borders. They cannot therefore be treated as something immutable and fixed forever. They have, however, a different form than strictly delimited state border lines, because they are rather a transition belt, whose course and width are changeable in time. This is also pointed out by Halecki, who approaches the cultural dualism of Europe with great caution. The author writes [1, p. 134): “….In the course of the ‘formation’ of Europe its ‘old’, western part has seriously expanded. The question remains as to what part of the ‘new’ Europe, that outside the borders of the Roman Empire, joined the ‘old’ one.” He goes on to say that we should look for the borders of Western Europe somewhere on the territory of present-day Germany, but in fact there is no clarity as to their course. Then, there is Eastern Europe, with three separate territories: South– East, (the Byzantine Eastern Empire and the states created by the Slavs on the Balkan Peninsula), the Danube Region (the Hungarian Kingdom) and North-Eastern Europe (Ruthenia, Poland and the Grand Duchy of Lithuania). According to Podraza [13], the two great divisions of Europe into Empire and Barbaricum, Western Europe and Eastern Europe, should be supplemented by a third division, which took place at the turn of the Middle Ages and modern times. These are two different economic zones separated by the Elbe River and a line running to the Adriatic Sea via Bohemia and Austria. In the western part, there was a dynamic development of the capitalist economy. This was manifested by an increase in industrial production, the development of trade and services and a dynamic urbanisation process. The second area, east of the Elbe, remained in economic dormancy. The leading role was still played by agriculture based on the manorial system. The development of different social and economic relations dividing the continent into two parts had, according to A. Podraza, an influence on the fact that the eastern part of the continent up to the Elbe River later fell under Soviet influence. The third division of Europe was strengthened by the half-century domination of the Soviet Union in the eastern part of the continent. The “Iron Curtain” remains to this day an important and often quoted geopolitical dividing line of Europe. Nowadays, on its western side, we have Western Europe and on its eastern side Central and Eastern Europe.

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The enlargement of the European Union and NATO, however, has meant that the dividing line of the continent has moved eastwards and is now formed by the borders of the former Soviet Union, excluding the Baltic states. To what extent this is a permanent line will only become clear in the coming decades. Historians have concluded that the apogee of a region’s (or power’s) development is the beginning of its decline. If, therefore, the idea of community and unity in Europe is the highest form of its civilisational and economic development, then perhaps this is the beginning of its decay, and the contemporary divisions of Europe are temporary. The most solid dividing line of the old continent seems to be the cultural one, shaped, on the one hand, on the basis of the tradition of Western Christianity, and on the other, on the influences of Eastern Christian (Orthodox) culture. In a nutshell, it can be assumed that it is marked by the last clusters of Catholic or Protestant churches. Assuming this division of the continent, Poland can be treated as a frontier of Western Europe.

30.4 Poland and Central and Eastern Europe The dual division of Europe into Eastern and Western may imply that there is no central part of the continent or that it is not worth separating it. This is a completely wrong assumption. The considerations so far indicate the existence of some kind of “transition zone” through which, in different historical periods, influences from the West and the East “flowed”. This zone was politically unstable and full of internal contradictions. Nowadays, if we take into account the economic factor, it is easy to identify a rich West, a moderately prosperous “Middle” and a relatively poor East. The transition zone or “Middle” is formed by Central and Eastern Europe. Poland’s location in the “transition” zone between the East and the West makes it difficult to incorporate it unambiguously into the structures of Western or Eastern Europe. However, as I demonstrated earlier, the prevailing view is that culturally and civilisationally we are the eastern fringe of Western Europe. Let us therefore turn to the peripheral areas of the West, formed by Central and Eastern Europe, or Central Europe as others believe. It will turn out, however, that here too there is no unity as to the extent of this area. The very division and identification on a map of the boundaries between Central (or Central-Eastern) and Eastern Europe poses great difficulties. In the American textbook Europe and the Mediterranean, Central Europe is presented as the part of the continent between France in the west and Russia in the east, which is politically dominated by Germany [14]. It is formed by countries such as Germany, Poland, (former) Czechoslovakia and Austria. The Danube– Balkan region includes Hungary, Romania, Bulgaria, Yugoslavia and Albania, while Eastern Europe is formed by the former Union of Soviet Socialist Republics (USSR). In British Europe, a regional geography, even Switzerland is included in Central Europe. Eastern Europe is formed only by the USSR, while Bulgaria, Romania, Yugoslavia and Albania belong to the South-Central region [15]. In Eastern Europe,

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on the other hand, Europe is defined as the area between Brest in France and Brest on the eastern border of Poland. In addition, the entire Soviet Union is included in Asia [16]. In “Europe in the 1990s. A Geographical Analysis”, Central Europe consists of West Germany, Switzerland and Lichtenstain, while Eastern Europe consists of all socialist countries [17]. According to Grodziski [18], the eastern border of Central Europe runs along the eastern periphery of the former Polish–Lithuanian Commonwealth, i.e. the easternmost Slavic country which permanently adopted Latin culture. The western border of Central Europe, on the other hand, reached the Elbe River, which separated the formerly dominant area of the manorial and estate system from the predominantly rented area. According to Grodziski, the southern border of this region is the southern border of Hungary, which, like Poland, adopted Christianity from the West and which separates countries using the Latin alphabet from those using the Cyrillic alphabet. The Germans were the first to coin the term “Central Europe” for reasons other than its location at the meeting point of the two parts of Europe discussed above. Without deciding who was the father of the term Mitteleuropa, it should be noted that its concept stemmed from the geopolitical and power aspirations of the Reich. Initially, German Mitteleuropa consisted mainly of Germany and Austria, with the other areas included in it being areas of German penetration and domination. The term became fashionable and was used in various countries to describe territory from the Rhine to the Vistula (and even the Dnieper) and from the Baltic to the Balkans. At the beginning of the twentieth century, a number of different German concepts of Central Europe appeared, which perhaps contributed to the “blurring” of its scope. As Eberhardt [8, p. 465] writes “…As time went by (the concept of Mitteleuropa— author’s note) lost its original meaning and acquired ambiguity both in the political and geographical sense”. It should also be added that the emergence of new states, such as Poland, Czechoslovakia and Hungary, shifted the focus of interest in this part of Europe. While Central Europe, according to German ideas, was to be united under the leadership of Germany, its eastern part, according to Germany’s opponents, was to be independent of that power. Perhaps this is the reason for the emergence of the term Central and Eastern Europe. As Halecki [1, p. 152] emphasises “…these nations (I mean the eastern ones, which experienced acts of aggression from Germany— author’s note) became extremely alert to the danger threatening them together: thus plans of organising Central Europe excluding Germany appeared”. According to Podraza [13], Central Europe, after World War I, was associated mainly with the states located between Germany and Soviet Russia. A better term for this area was Central and Eastern Europe, which is why it then gradually began to enter political terminology. In the middle of the twentieth century, a work by Halecki [1] was published, in which author, based on historical research, comes to the conclusion that there are two Central Europes in the geographical division. In his conception, he proposed dividing Europe not into two (Western–Eastern) or three (Western–Central–Eastern) parts, but into four. The first of these is Western Europe, which is formed by the European part of the Roman Empire including the entire area of the British Isles and excluding

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part of the Germanic territory. The second part, according to the author—completely different from the first—is Germany, constituting Central-Western Europe. In the dual division of Europe (into Western and Eastern), they are included in Western Europe, which is the result of the lack of any other alternative (it would be absurd to include them in Eastern Europe). According to Halecki [1, p. 154], the empire was a separate world on the European continent and “…it had little more in common with the Roman Empire than its name, which was gradually changed to the German Empire…”. The eastern, “non-German” area of Central Europe forms the third part in the division of the continent, namely Central and Eastern Europe. It includes the interwar independent states (including Austria) located between Scandinavia, Germany and Italy in the west and Soviet Russia in the east. The largest country in this part of Europe is Poland. The last, fourth part of the continent (Eastern Europe), may be formed by Ukraine and Belarus (as long as they are independent from Soviet Russia). One must take into account at this point that O. Halecki created his concept over fifty years ago. The author believed that the USSR, together with the republics of Ukraine and Belarus, lay outside Europe, which was made up of only three parts: Western Europe in the literal sense, Germany in the centre and the countries between Germany and Russia. In doing so, he expressed concern that the expansion of Soviet control might reduce Europe to two parts: West and Germany. The concept presented above is referred to in their work by Ostergren and Rice [19]. As Kukli´nski [20, p. 384] notes, their map of regionalisation of European culture “…is an unconscious and unquoted reference to the views of Halecki”. Their essence is the rejection of the dichotomous division of Europe in favour of a Europe of “megaregions”. Counteracting the strong German influence from the west and the Russian influence from the east, in the interwar period, the concept of the Intermare Region was coined, which can be regarded as identical with Central and Eastern Europe. It was to be formed by the countries located in the ABB triangle (seas: Adriatic, Baltic and Black). Due to mutual animosities, concepts of close cooperation in this part of Europe were rather doomed to failure. The Poles could not establish correct relations with the Ukrainians, the Serbs with the Croats, the Hungarians could not reconcile themselves to leaving an enclave in Transylvania in Romania, and so on. Conflicts remain to this day, especially in the Balkans. All this leads to the conclusion that Central and Eastern Europe was internally incoherent and unable to create a force that could stand up to the great powers (e.g. Turkey, Russia and Prussia). Hence, it is political weakness, numerous conflicts and impermanent national borders. The idea of cooperation and supporting federation links in Central and Eastern European countries was close to General W. Sikorski and Czechoslovakian President T. Masaryk. In 1942, the governments of Poland and Czechoslovakia, as well as Yugoslavia and Greece, even signed a treaty on a future confederation. However, this idea was not to the liking of the Western Allies. The post-war division of Europe did not favour the idea of the Intermare area. They were partially revived after 1989, when the Visegrad Group was created in 1991 and the Central European Free Trade Agreement (CEFTA) a year later. However, the

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association preparations for the European Union weakened the possibilities for the development of these political and economic structures. One could even go further and say that the rush to join the Union has resulted in increasing competition between Poland, the Czech Republic, Slovakia and Hungary, which has not been conducive to mutual cooperation. What is more, by joining the EU, Poland had to tighten up its eastern border in both a literal (more guards, better technical equipment, more people) and legal sense (stricter visa regulations), which makes contacts and cooperation more difficult, especially with Ukraine and Belarus. Turning backs on the neighbours, despite many spectacular efforts at good political and economic cooperation, is not a good solution. Nowadays, the idea of the “Intermare” has been revived in the form of the Three Seas Initiative, which aims to strengthen the links in the broader region of Central Europe (between the Baltic, Adriatic and Black Seas), creating a lasting basis for economic development in the field of energy, transport, digital communications and economy. It was established as a forum for cooperation of 12 countries: Austria, Bulgaria, Croatia, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Poland, Romania, Slovakia and Slovenia. The area encompassing the countries of the Initiative makes up almost one third of the total area of the European Union. More than 112 million people live here. The region has experienced stable economic growth and limited unemployment. The priority of the Three Seas Initiative is to build a coherent and well-integrated infrastructure in Central Europe that will make it possible to catch up with the developmental backwardness resulting from the historical background. In this way, the infrastructural and economic disparities in the European market will be reduced, and this will limit the division of the EU into less and more developed areas of integration. The most important added value of the initiative is to ensure political support at the highest level of state authorities for investments, which so far have remained a neglected field in the cooperation of Central European countries.

30.5 Conclusions In different historical periods, Poland belonged to different regions of Europe with stronger eastern or western influences. Thus, it can be assumed that we belong to a group of countries with an unstable geopolitical position. They form Central and Eastern Europe. Like in no other part of Europe, it has undergone changes in national borders in the historical past. The area belonged to the sphere of influence of Russia, Austria, Germany and Turkey. The peoples of this region were stateless for a shorter or longer period in the past. Hence, an ethos of resistance and struggle against invaders developed among them, as well as a sense of temporariness and uncertainty about the future. As emphasised by Eberhardt [6], the cementing factor of the identity of this area is the heritage of the Republic of Poland and the Habsburg monarchy. For the last few decades, this region was united by its membership of the socialist camp.

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Certain social and economic links have been forged during this period. Accession to the European Union has again changed the geopolitical configuration in this part of Europe. Historical research concludes that it is difficult to expect this division to become permanent. The history of Central and Eastern Europe has been one of constant annexation, occupation and struggle. It is therefore difficult to expect mutual cooperation and a sense of common interests to develop in such an atmosphere. In the interwar period, there were sovereign states from Estonia through Poland to Yugoslavia and Albania. Their borders, arbitrarily drawn, did not guarantee peace and cooperation. In addition, they were generally small and economically weak states, plagued by numerous conflicts. After the Second World War, the whole region found itself in the Soviet camp. The apparent political unity lasted for several decades, only to erupt in the last decade with numerous national and religious conflicts in the south of the region. In this case, it is difficult to expect this part of the continent to unite according to any common interests. And this would be a very legitimate process securing this region from the “excessive” influence of Russia and Germany. However, the emerging Three Seas Initiative raises some hopes.

References ´ 1. Halecki, O.: Historia Europy—jej granice i podziały. Instytut Europy Srodkowo-Wschodniej, Lublin (1994) ´ ´ 2. Kłoczowski, J. (red.): Historia Europy Srodkowo-Wschodniej, t. 2. Instytut Europy SrodkowoWschodniej, Lublin (2000) ´ 3. Kłoczowski, J.: Młodsza Europa. Europa Srodkowo-Wschodnia w kr˛egu cywilizacji chrze´scija´nskiej s´redniowiecza, PIW, Warszawa (2003) ´ 4. Wolff-Pow˛eska, A.: Oswojona rewolucja. Europa Srodkowo-Wschodnia w procesie demokratyzacji, Instytut Zachodni, Pozna´n (1998) ´ 5. Rakk, Z. (red.): Integracja i to˙zsamo´sc´ narodowa w Europie Srodkowo-Wschodniej na przestrzeni dziejów (2007) 6. Eberhardt, P.: Mi˛edzy Rosj˛a a Niemcami. Wyd. Naukowe PWN, Warszawa (1996) 7. Eberhardt, P.: Koncepcja granicy mi˛edzy cywilizacja zachodniego chrze´scija´nstwa a bizantyjsk˛a na kontynencie europejskim, Przegl. Geograficzny, 76, 2, IGiPZ PAN, Warszawa, pp. 169–188 (2004) 8. Eberhardt, P.: Geneza niemieckiej koncepcji „Mitteleuropy”, Przegl. Geograficzny, 77, 4, IGiPZ PAN, Warszawa, pp. 463–483 (2005) 9. Koneczny, F.: O ład historii. Wyd. Nortom, Wrocław (1999) 10. Koneczny, F.: O wielo´sci cywilizacji. Antyk, Warszawa, reprint (2002) 11. Huntington, S.P.: Zderzenie cywilizacji i nowy kształt ładu s´wiatowego, Warszawskie Wyd. Literackie MUZA, Warszawa (1997) 12. Bidlo, J.: Ce qu‘est l‘histoire de l‘Orient europeen. Bulletin d‘Information des Sciences historiques en Europe orientale 6, 11–73 (1934) ´ 13. Podraza, A.: Europa Srodkowa jako region historyczny. Materiały 17 Powszechnego Zjazdu Historyków Polskich, Kraków (2004). http://jazon.hist.uj.edu.pl/zjazd/ 14. Pounds, N.J.G.: Europe and the Mediterranen, McGraw-Hill Book Com (1953) 15. Shackleton, M.R.: Europe. University of London, A Regional Geography (1969) 16. Rugg, D.S.: Eastern Europe, seria The Worlds Landscape, Longman (1985) 17. Hoffman, G.W. (ed.): Europe in the 1990s. A Geographical Analysis, Willey & Sons (1989)

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´ 18. Stolica Europy Srodkowej, Tygodnik Powszechny, 39 (2002) 19. Ostergren, R.C., Rice, J.G.: The Europeans. Culture and Environment, The Guilford Press, New York, A geography of People (2004) 20. Kukli´nski, A.: Megaprzestrzenie XXI wieku, [w] A. Kukli´nski i K. Pawłowski (red.), Przyszło´sc´ Europy—Wyzwania globalne—Wybory strategiczne, pp. 381–388. Wy˙zsza Szkoła Biznesu, National-Louis University, Nowy S˛acz (2006)

Chapter 31

EU’s Maritime Situational Awareness (MSA): Advancements and Limitations João Almeida Silveira

Abstract The growth in intensity, proliferation, and dispersion of maritime activities in the 2000s increased the pertinence and difficulty of Maritime Situational Awareness (MSA). Consequently, the EU engaged in advancing doctrines and mechanisms of MSA. This article examines the strategy and practices the EU followed in the four key elements of MSA: (1) surveillance and data collection, (2) data fusion and knowledge development, (3) coordination and dissemination of information, and (4) management and improvement of MSA structures. It argues that the EU is well prepared and engaged in MSA, through the use of multiple agencies. The multiple agencies grant specific expertise to the EU in several domains, but the institutional dispersion hinders the coherence, effectiveness, and cumulative knowledge of the organization. This article concludes that the advancements and limitations of MSA within the EU seem to suggest the EU would benefit from a centralized maritime authority.

31.1 Introduction High levels of maritime awareness are fundamental to effectively and timely respond to natural and man-made events that challenge maritime interests [1]. As the quantity, intensity, and territorial dispersion of maritime activities increased, Maritime Situational Awareness (MSA) became more challenging. The EU, a player with deep maritime interest and with the ambition of becoming a coherent global maritime security provider [2, 3], established the increase of MSA as a strategic priority across the organization’s civilian and military spectrum. Consequently, it developed doctrines and mechanisms to enhance its MSA [4–7]. Considering the EU’s consistent identification of MSA as a central piece of its maritime agenda [3], this article deems it relevant to examine the practices of the EU J. A. Silveira (B) Department of Political Studies, Faculty of Social Sciences and Humanities, New University of Lisbon (FCSH-UNL), Avenida de Berna 26C, 1069-061 Lisbon, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_32

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in MSA: how MSA evolved, the instruments created, and its limitations, as well as the assessment of how MSA practices contribute to the coherence of the EU. Adopting a practice-based approach and anchored on an extensive review of official policy and technical documentation, as well as on secondary literature, this article has the objective of contributing with possible avenues to improve the maritime actorness of the EU in the field of MSA. Structurally, the article begins with the analysis of the strategic conceptualization of the EU regarding MSA and then proceeds to analyze the practices of the EU in key elements of MSA.

31.2 Key Concepts, Theoretical Framework, and Methodology The departing question for this article is: To what extent does the EU’s MSA activities contribute to the coherence of the EU as a maritime security provider? To answer this question, this article adopted practice theory as the guiding framework of analysis. Practice theory lacks a singular unified framework of analysis, yet it is consensual that practice theory deals in the continuum between discourse and practices, in which practices assume the central place as the unit of analysis. It focuses, then, on patterns, routines, processes, and standardized interactions and behaviors in order analyze, explain, and understand politics empirically [8–12]. Consequently, this article focuses on the meaningful patterns of activities the EU enacted in MSA, and on what those activities reveal about the actorness of the EU. Because of the interaction between discourse and practice, this article conducted its analysis considering documents of policy orientation, technical documentation, and secondary sources. The organization of the article followed the concept of MSA. The concept of MSA or Maritime Domain Awareness emerged as a military doctrine in the USA in the aftermath of the 9/11, and it was codified into US doctrine in 2004 [13]. Before 2004, MSA was mainly linked with safety standards [14]. MSA is essential in preparing, responding, and increasing resilience of actors and structures to face man-made and natural challenges, [15], including: 1. 2. 3. 4. 5.

“Prevent terrorist attacks and criminal, harmful, or hostile acts across the maritime domain by state and non-state actors; Protect population centers and critical infrastructure; Minimize damage to, and expedite recovery of, the maritime transportation system and related infrastructure in the wake of man-made or natural disasters; Maintain unimpeded access to global resources and markets; and Safeguard the oceans and their resources” [15].

Given its usefulness, the MSA doctrine proliferated outside the USA, including the EU. MSA entails a process with four main interconnected and indissociable elements: surveillance and data collection, data fusion and knowledge development, coordination and dissemination of knowledge, and management and improvement

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of MSA structures. Each element includes several tasks or activities [13, 16]. The analysis in this article investigates the practices of the EU on each of these elements.

31.3 MSA Doctrine Within the EU The MSA doctrine in the EU emerged from civilian concerns (safety) and progressively expanded into the military (defense). The inclusion of MSA aspects in EU’s discourse was particularly visible after 2002 [4]. MSA concerns penetrated key maritime strategies, such as the Integrated Maritime Policy (IMP) in 2007 or the European Union Maritime Security Strategy (EUMSS) in 2014 [5, 17]. The attention paid to MSA was coincidental with the general robust awakening of the EU toward its maritime dimension [2, 3]. In broad terms, the EU devised strategies to advance MSA in a cost-effective manner, because it realized that the financial and operational resources of its Member States were insufficient to face the increasing number of maritime risks and threats [4, 18]. The EU defines MSA as “the effective understanding of activities, associated with and occurring in the maritime domain, that could impact on the security, safety and environment of the EU and its Member States” [19]. To achieve an “effective understanding,” the EU considers indispensable the enhancement of decision making in an efficient and cost-effective manner. MSA requires information superiority that can only be attained through close interactions between all civil and military stakeholders. Accordingly, the acquisition and instrumentalization of information require a good degree of coordination between internal EU agencies and structures, and between the EU and Member States, as well as between the EU and external public and private partners [4, 18, 20]. The EU considers that improving its MSA capabilities serves the broader EU interests of eco-efficient economic growth, mobility, employment, innovation, and security [4, 6, 7, 19, 21].

31.4 Surveillance and Data Collection In the process of MSA, surveillance and data collection are quintessential. MSA data is collected by public and private actors (e.g., military, public agencies), through different means (e.g., radars, physical observation), and comes in multiple formats (e.g., text, images, coordinates) [13, 16, 22, 23]. Military stakeholders, for instance, collect data through patrolling, intelligence operations, use of coastal and underwater radars, among others [24]. Public and private agencies, research institutes, think tanks, and universities provide quantitative and qualitative analysis, databases on weather forecasting, bathymetry, geological surveys, fish stocks data, vessels traffic, among other elements. Additionally private

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and commercial stakeholders provide data through reporting on vessel’s location, crews, passengers, cargo, incidents, among others [16]. Because of the value of data, national, regional, and international regimes imposed standardized reporting schemes obligations to some vessels. Legal regimes are a crucial instrument to foster data availability. For instance, the IMO Convention for the Safety of Life at Sea (SOLAS Convention) established AIS reporting standards, as well as maritime incidents and accidents reporting schemes. Reporting obligations vary depending on vessels’ size and purpose [24, 25].

31.4.1 Maritime Surveillance Initiatives The maritime surveillance activities of the EU take place in the maritime and aerial territories of Member States, as well as on global waters. Within the territories of Member States several EU agencies include surveillance activities as tasks [20, 26]. For instance, the European Border and Coast Guard Agency (Frontext/EBCA) launched almost six hundred maritime aerial surveillance flights in 2019 [27]. Likewise, the European Maritime Safety Agency (EMSA) provided almost 1.500 h of maritime surveillance services based on Remotely Piloted Aircraft Systems (RPAS) in the several sea basins of the EU in 2019 [28]. The space programs of the EU, along with the EU’s Common Security and Defense Policy (CSDP) missions and operations, equally contribute for maritime surveillance, both close to home, and on global waters [29, 30]. For instance, the operation Atalanta includes surveillance and patrolling activities in the Indian Ocean [31, 32].

31.4.2 Data Collection Initiatives Within the scope of their patrolling and surveillance activities, the EU collects different types of data. The EU’s data collection initiatives are dispersed across multiple agencies and structures and cover seven sectors, namely defense, safety and security, fisheries, law enforcement, customs, marine environment, and border control [20]. For example, the EMSA’s CleanSeaNet service uses a satellite-based system to surveil and collect data on marine oil spills, as well as on waves and wind patterns [24, 33]. With global reach, the LRIT Cooperative Data Centre (EU LRIT CDC) service collects data on maritime traffic and tracks the location of EU-flagged vessels globally [20, 25]. Other examples include the European Space Agency’s (ESA) Copernicus program that collects data on vessels traffic, sea pollution, illegal activities, among others [19, 20, 34]. The European Fisheries Control Agency (EFCA) collects data on fisheries. And the Frontex/EBCGA collects data on regular and irregular migrations fluxes [20, 26].

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Beyond civilian data collection, the 2012 EU Maritime Security Operations (MSO) concept defined surveillance, and data acquisition and sharing as key maritime tasks of the CSDP [18]. Thereby the EU’s CSDP operations are often tasked with data collection activities. For instance, operation Atalanta collects and shares data on piracy suspects, piracy equipment, and fisheries activities [29, 30].

31.4.3 Regulatory Initiatives To increase awareness and, consequently, maritime safety, the EU produced a series of regulatory initiatives that established reporting obligations on EU waters. One of the most relevant was the 2005 directive establishing the EU Vessel Monitoring System (VMS). Under the VMS certain fishing vessels report data on their identification, position, speed, and course. At first the VMS was voluntary, yet it evolved into an obligation when Member States became equipped with remote sensing systems [20]. Included in the VMS the Hazmat established reporting obligations on dangerous or polluting goods. Additionally, the EU’s port security and the Schengen notification requirements established reporting obligations on security levels, crews, passengers, and cargo [24]. The legal initiatives reduced the dependence of the EU on the goodwill of private vessels in sharing relevant data for MSA. Despite its regulatory power, the EU proactively engages with private stakeholders to raise awareness of the benefits of reporting data. For instance, the EU participated in the making of the several versions of the Best Management Practices to Deter Piracy (BMP) in the HOA. The BMP includes reporting recommendations [35]. The non-coercive rapport with the industry is positive, as every regulatory framework has its limits, thus voluntary reporting may be crucial.

31.5 Data Fusion and Knowledge Development Disaggregated data offers little guidance. Thereby MSA implies data fusion and knowledge development. Through computer and human analysis, data is transformed into information, and information into actionable knowledge. That knowledge propels well-informed, effective, and cost-effective decisions. In this process, data series and multiple data elements (e.g., radar, environmental data) are crucial [13, 16, 36]. In generating a meaningful maritime picture, data fusion is instrumental in overcoming MSA gaps resulting from reporting gaps, including those resultant from the turn off of AIS, technical difficulties, lack of equipment, and shortcomings of technology [13, 14, 16, 36]. Fusing data is indispensable. However, fusing the great quantity and diversity of the data available is challenging both in terms of software development and technical expertise to interpret results. Notwithstanding the

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difficulties, data fusion has noteworthy potentialities, notably target identification [15, 19, 22].

31.5.1 Data Fusion Alike data collection, the data fusion services of the EU are dispersed across different structures. For example, EMSA fuses internal and external data to provide environmental and fisheries monitoring, traffic management, and antipiracy and counternarcotics information [37]. The fusion activities of EMSA assist in generating software and expertise acquisition savings to Member States [28, 37]. Internally EMSA, EFCA, and EBCGA/Frontex fused and integrated their respective datasets through the EUROSUR Fusion Service. This service assists in improving the efficiency in the monitoring of EU’s external borders as well as irregular human fluxes to Europe [26]. The EU shares data with other agencies and organizations. However, data protection policies restrict the type of data collected, as well as with whom and under which conditions data may be shared. Data protection is a sensitive issue when handling biometric data, or any data that can identify a person, because sharing personal details might be considered a violation of human rights. The topic of data protection is particularly relevant, and the EU approved several pieces of data protection legislation such as the General Data Protection Regulations [4, 16, 19–21, 24, 26, 38].

31.5.2 Analysis and Knowledge Development As in data fusion, the analytical and knowledge development capacities of the EU are dispersed across several structures. The already mentioned EMSA, EFCA, EBCGA/Frontex, for instance, provide analytical reporting on relevant features of the maritime domain. Additionally, multiple structures and organisms, such as the European Commission, the European External Action Service (EEAS), the EU Intelligence Analysis Center (EU INTCEN), among others, provide analytical services. SatCen’s geo intelligence (GEOINT) analytical services play a crucial role in MSA and serve Member States, EU agencies, and EU missions and operations. Furthermore, SatCen contributes to the EU’s maritime multilateralist posture by providing services to organizations such as NATO, the UN, and the OSCE [39].

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31.6 Coordination and Dissemination of Knowledge To be effective and produce actionable responses, knowledge ought to be shared. Thereby MSA implies the ability of coordinating and disseminating knowledge across networks of interested stakeholders. The right information ought to arrive to the right user, otherwise coordination is ineffective [13, 16, 22, 40]. The effectiveness and constant improvement of networks of interested stakeholders rely on trust between the stakeholders, particularly between public and private stakeholders [16, 40]. Besides with whom to share information, it is similarly indispensable to define what and how to share. Failures in this regard may render information sharing inefficient, particularly in civil–military relations [38].

31.6.1 Information Sharing and Communication Systems As already noted, the EU collects and fuses data through multiple agencies and on multiple sectors. Because each agency developed its own communication system, throughout the 2000s, the number of sectoral information sharing mechanisms started multiplying and ascended to more than 24 different systems [4, 33, 41]. Upon their creation, the several systems were designed to avoid duplications and facilitate coordination [19, 40]. However, as the systems and interconnections grew, duplications started occurring, which was cost-inefficient [4, 16, 33]. To prevent duplication, and enhance interoperability, interconnections, and exchanges of classified and unclassified information across the EU civilian and military authorities, as well as with Member States’ surveillance and data sharing systems, the EU proposed the Common Information and Sharing Environment (CISE) in 2009. The key aspect of CISE is interoperability with other systems [4, 7, 26]. With higher levels of interoperability, the EU expects to bolster maritime safety, security, economic growth, investment, mobility, employment, and innovation, in an ecological and competitive manner. The objective of CISE is that once a certain data element is collected, all EU stakeholders can access it [4, 26], thereby CISE is an integral part of the EU’s objective of increasing its comprehensiveness, coherence, and integration of multiple policies. Indeed, CISE is closely associated with EU policies such as the Blue Economy, Migrations, and Digital Single Market agendas, as well as with the EUMSS [26].

31.6.2 Command and Control The EU maintains a disperse and sectoral command and control (C2) structure. For instance, EMSA is central in coordinating with the maritime industry (e.g., maritime

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safety, vessels fluxes, and eco-friendly economic development) [42]. On migration and border control activities, instead, Frontex/EBCGA takes the lead [20, 26]. Within sectors, the EU displays a similar disperse structure. For instance, the command structures of CSDP operations are ad hoc. The Operational Headquarters (OHQ) of operation EUNAVFOR Atalanta are in Spain, but the other ongoing maritime CSDP operation EUNAFOR MED IRINI OHQ’s are in Italy. The lack of a centralized C2 structure for EU’s operations threats the coordination and coherence of the EU in its external action. To date the EU was only able to address the problem on its civilian component with the establishment of the Civilian Planning and Conduct Capability in 2007, and for non-executive military missions, with the Military Planning and Conduct Capability (MPCC) in 2017 [43].

31.7 Management and Improvement During the 2000s, the number of tools, entities, and technologies involved in MSA grew larger and produced ever more clearer pictures of the maritime domain. However, MSA gaps remained [44]. Addressing the gaps of MSA implies a systematic investment in the management and improvement of structures [45], operational standards, procedures, and capabilities, which are achieved via investments in research and development (R&D), technological incorporation, as well as training, education, and lessons learned [16, 22]. Improving MSA structures and capacities has been a consistent priority for the EU, that was affirmed in the 2014 and 2018 EUMSS Action plans [7, 46], as well as on the 2018 Capability Development Priorities [47].

31.7.1 Technology Development In its MSA-related technological development, the EU’s strategy insists on the development of dual-use technologies, as technological development serves the adjacent objective of improving the EU’s economic growth and innovation [5]. To foster technological development, the EU regularly launches financial packages to assist public and private stakeholders in developing MSA relevant technologies under different policies. For instance, the 2018 EDA’s CapTech Maritime fostered the improvement of intelligence and surveillance capabilities [48]. Equally relevant the CapTech Optronics addressed Earth observation and space/Maritime Situational Awareness [49]. Outside defense, the EU co-financed several multinational projects with MSA potential, such as the projects MARNIS [20], and MARISA [50]. Space technology is key in the EU’s MSA. The ambition of the EU is the development of pan European maritime surveillance tools through space programs such as Copernicus [20], thereby the EU co-finances space business development in Europe

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[51]. In its modernization efforts, the EU establishes extra-EU partnerships, such as EU-financed MSA project Ocean2020 [52].

31.7.2 Education and Training To improve its capacities, the EU recognizes as a priority the education and training of civilian and military representatives [7, 53, 54]. Additionally, the EU considers collaborations with other organizations such as NATO, IMO, or the UN relevant [7]. Therefore, the EU uses several agencies and structures such as the Security and Defence College (ESDC) [55], Frontex/EBCGA, EMSA [56], the European Coast Guard Functions Training Network [57], the EU Institute for Security Studies (EUISS), among others. The panoply of EU training and education activities and resources is vast. It includes online resources such as the European Atlas of the Seas, training activities such as the Mediterranean Decision Support System for Marine Safety (MEDESS4MS), exchange programs such as the European Initiative for the Exchange of Military Young Officers (Military Erasmus), and multiple publications, seminars, workshops, and conferences on different topics of maritime security and MSA [58, 59]. Furthermore, the EU enacts maritime exercises, including with partner organizations, such as the EU HEX-MIL (PACE) [60]. As in other elements of MSA, education and training are equally dispersed which hinder the monitoring of the different initiatives or resources available.

31.7.3 Lessons Learned Cumulative experience is another essential building block of MSA, and the EU has built mechanisms to foster an internal culture and network of lessons learned [7]. Several structures contribute for lessons learned as, for instance, the EUISS, EMSA, the Commission, or the EEAS. Among multiple initiatives, the EU studied the MISE process in the USA. The analysis of the MISE has served to assess relevant best practices and success factors to benefit the implementation of the CISE [59]. In this manner, the EU used the knowledge built in the USA to improve its own structures. The study of past internal activities is equally relevant for the EU. For instance, the EU analyzed its counter-piracy activities in the HOA to improve its actions in other areas, notably in the Mediterranean [59]. Alike other aspects of MSA, the EU fosters lessons learned cooperation with likeminded partners. For example, the EU and NATO organized a joint lesson learned seminar to apply the expertise gained in the fight against piracy to the operations in the Mediterranean [61]. Equally, the two organizations jointly established the Hybrid Center of Excellence, whose tasks include lessons learned [62].

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31.7.4 Capacity Building Capacity building activities in third states are a strategic priority, as cooperation with partners is considered fundamental to protect the EU’s global interests [5]. MSA capacities are unevenly distributed around the world, and lack of structures in certain areas creates gaps that hinder MSA. For those reasons, the EU invested in capacity building in third states. The capacity building activities of the EU take place at civilian and military levels and under the guidance of different EU structures. In the maritime domain, the Commission’s Critical Maritime Routes (CMR) program builds maritime security capacities in several global sea basins since 2010 [7]. Alike, CSDP missions and operations assist in building capabilities in partners states [63]. The scattering of EU capacity building initiatives prevents, however, higher levels of efficiency.

31.8 Conclusion MSA was a strategic priority for the EU during the yeasty period between 2000 and 2020. The EU fully engaged in the four key elements of the MSA process and attempted to coordinated between civil and military authorities and public and private stakeholders. The EU’s engagement with MSA serves broad EU objectives of security, economic growth, social and political development, diplomatic multilateralism, and environmental protection. The MSA practices of the EU take place, both at home and out-of-area, and across multiple sectors (e.g., security, economy, environment, fisheries, capacity building), which assists the organization in collecting a great volume and diversity of data. In its engagement in multiple sectors, the EU uses a plethora of agencies and institutions. While sectoral agencies provide specific and targeted outputs, the dispersion hinders the cohesion, efficiency, and the cumulative knowledge of the organization. Aware of its deficiencies, the EU attempted to streamline some of its MSA structures, notably through the CISE. Albeit promising the CISE only partly addresses the negative effects of the EU institutional dispersion. The advancements and limitations of the EU’s MSA activities suggest that to increase the institutional coherence of the EU, and enable a truly integrated approach to the maritime domain, the EU would profit from establishing a centralized maritime authority to coordinate its multiple maritime activities. Acknowledgements This study was supported by the grant PD/BD/114061/2015 from the Portuguese Foundation for Science and Technology.

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Chapter 32

The Multifaceted Approach of China to Latin America and the Caribbean: A Commentary on the Defense Dimension Andres Aguilera-Castillo , Juan M. Gil-Barragan , and Carlos Hernán Fajardo-Toro

Hide your strength, bide your time Dictum attributed to Deng Xiaoping

Abstract The analysis of role the People’s Republic of China (PRC) in contemporary world affairs is largely focused on economic and trade aspects. However, the growing influence of the PRC in the international arena is multifaceted and complex. The stellar performance of the Chinese economy in conjunction with the incremental military capabilities (Blue-water navy) of the People’s Liberation Army Navy (PLAN) is allowing the PRC to project power beyond its traditional (regional) sphere of influence. This document aims to analyze the smart power approach of the PRC toward Latin America and the Caribbean (LAC) by reviewing the entanglement of the economic and military diplomacy strategies in the region. Commentary is included, and future research avenues are suggested.

32.1 Introduction The increasing influence of China in contemporary global affairs is one of the most interesting and debated topics in modern political analysis. Part of this influence A. Aguilera-Castillo University of Urbino, Urbino, Italy e-mail: [email protected] J. M. Gil-Barragan Ean University, Bogotá, Colombia e-mail: [email protected] C. H. Fajardo-Toro (B) Fundación Universitaria Konrad Lorenz, Bogotá, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_33

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can be attributed to the remarkable performance of the Chinese economy in the last 40 years. In addition, China’s manufacturing prowess became evident and the balance of trade surplus became noteworthy year after year [1–3]. From the proclamation of the People’s Republic of China (PRC) in 1949 to present day, the country has undergone major political and economic transformations. The aim of this document is to discuss the economic and military diplomacy of the relation between the People’s Republic of China (PRC) and Latin America and the Caribbean (LAC). Most of the scholarly coverage and analysis connecting the PRC and LAC has been focused on economic aspects such as trade, and political aspects such as cooperation [4]. However, the analysis of defense-related issues is regarded a strategic yet understudied aspect of the relation between China and the region. The accession of China in 2001 to the World Trade Organization (WTO) is commonly considered a major milestone in the recent history of the PRC, providing a glimpse of the increasing Chinese interests abroad. With the accession, sectors that had been protected from foreign investment were open (i.e., telecoms and banking) and China adopted a more active role in international affairs, engaging the world through newly formed trade partnerships. Consequently, China has increased its smart power projection, by conducting economic and military diplomacy in countries that are beyond its traditional sphere of influence. Smart power is defined as “the ability to combine hard and soft power resources into effective strategies” [5]. In other words, smart power is conceived as a strategy that simultaneously uses coercion hard power and co-option soft power [6]. The term was originally coined by Suzanne Nossel in her analysis of the Bush administration’s war on terror [7] and further developed mainly by scholar Nye [5]. According to Nye’s approach, hard power is based on economic strength and military capabilities, while soft power can be achieved through the ability to influence others without force or coercion. To conceive smart power Nye highlight the need for a country to have strong economic and military capabilities, but also cooperation with other states [8]. Therefore, economic statecraft and military diplomacy can be used to exercise smart power. Economic diplomacy is based on the relationship between economic interests and diplomacy efforts to influence decisions about cross-border economic activities [9]. In the case of China, the Belt and Road Initiative (BRI) and the trade and outbound Foreign Direct Investment (FDI) policies are the economic diplomacy efforts that contribute to China’s smart power. On the one hand, China is gaining hard power by “flexing its economic muscles” and securing access to key commodities and facilitate its exports through the BRI, but it is also building soft power by contributing to the infrastructure development in the region [10]. By doing this, China is changing its image from “threat” to “ally” [11]. On the other hand, the funding provided by the New Development Bank (NDB) and the Asian Infrastructure Investment Bank (AIIB) has influenced the infrastructure of the international trade and investment international relations [12]. For instance, most of the European countries have started to considering China as a leading economic power alongside with the United States [13].

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Similarly, military diplomacy refers to cooperative use of the armed forces and related infrastructure as a tool to guarantee international security and related national security policies [14]. It seems that China is funding strategic infrastructure projects that can have military uses [15]. Particularly, projects such as deep-water ports, communication networks, space infrastructure, and surveillance technologies have the potential to be easily used for strategic and military purposes [16, 17]. Given the nexus between China’s military diplomacy and its investment, it has been shown that meetings between senior military officers have a positive impact on the economic relationship with hosting countries [18, 19]. Indeed, by analyzing the security cooperation between China and Latin America, Jenne [20] suggests that this cooperation should be viewed as primarily economic in nature rather than security. However, it can be argued that China is using its soft power capabilities through investment while building capacity to exercise hard power. From this perspective, it can be inferred that China’s economic and military diplomacy is contributing to gain smart power. Some scholars have identified four distinctive topics in the literature regarding the relation between China and Latin America. One topic argues that China’s influence is purely economic (not political) given the trade and investment patterns, indicating the Chinese interest in securing access to key commodities and access to markets for its manufacture sector. A second broad topic in the literature interprets the presence of China as a competitor to the United States hegemony in the region. A third perceives that China may negatively impact the region in two areas, the environment and the economy. The fourth and the topic perceives China as neutral in the region, not threatening the U.S. influence nor having detrimental governance impact [21].

32.2 Economic Diplomacy: Trade and Economic Statecraft China’s economic diplomacy in the LAC region can be outlined by the growing trade flows, Foreign Direct Investment (FDI) patterns [22, 23], and “economic statecraft” [24]. According to the China-Latin America Finance Database, since 2005 China has directed around 140 billion USD to LAC countries via its policy banks, almost twothirds of the funds have been targeted to the energy sector, and almost one-fifth has been targeted to infrastructure development [25]. It has been documented that loans from the PRC to the region have surpassed lending from multilateral institutions and China most likely will become the largest creditor not only to the region but globally. The implications of this trend are still to be studied. Prior the crisis Global Financial Crisis (GFC) of 2007–2008, China was boasting its economic might represented in its double-digit growth rate and freshly found political influence in countries and international institutions outside of its traditional orbit of influence. According to Huang [3] at the height of the crisis, China accounted for nearly 50% of the global economic expansion. The crisis affected mostly Western countries in which their banking sector was exposed to what was deemed as “toxic assets.”

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In the aftermath of the GFC, China emerged, at least in some way, unscathed of the effects of the crisis. Emboldened by the strength and resilience of its economy, Chinese companies ventured abroad in a “major shopping spree” in energy assets, industrial metals, and even massive lots of land overseas, clearly, Latin American assets were also a target of these acquisitions [26, 27]. This situation has helped China to exert hard power to secure strategic access to commodities while gaining soft power through investment. During the last decade, acquisitions of foreign assets by Chinese companies have continued as described by media outlets and specialized reports. The list of acquired assets includes large Western multinationals. The scope of commercial interests also covers football teams, pesticide makers, hotels, and movie studios to name a few [28, 29]. In the LAC region, investments have been focused predominantly on mining, oil, and gas assets [4]. According to Zhang et al. [30], these acquisitions are the result of a friendly bilateral diplomatic activities. More recently, Shapiro et al. [31] suggest that China is using state-supported development loans to facilitates the access of Chinese companies to natural resources. China has mainly used its economic diplomacy to gain soft power [32]. However, the vast extent of the Merger and Acquisitions (M&A) activity by Chinese interests has raised “red flags” for regulators both in North America and Europe. The regulators have claimed national security concerns and unintended transfer of intellectual property in their updated mandates to scrutinize Chinese investment [33, 34]. Consequently, China’s investment pattern abroad is perceived as a strategy to gain and exert both soft and hard power [35]. The GFC evidenced some structural weaknesses in Western democracies, and particularly, the role of the United States as the sole superpower, weakened with foreign wars and distracted by cultural wars and profound polarization in the domestic front. Even though, China and the United States are deeply interdependent, being to each other the largest trade partner and China becoming one of the U.S. largest foreign creditors. From a geopolitical perspective, the rise of China has been seen by the West, particularly the United States, with suspicion [36] and narratives that frame the relation as a contemporary Peloponnesian War in which an emerging power challenges an established one, this situation is known in international relations literature as the Thucydides’ Trap [37].

32.3 Economic and Military Diplomacy: Infrastructure Development China’s global ambitions have been projected through different mechanisms. The Belt and Road Initiative (BRI) launched in 2013, might probably be the most ambitious overseas program of the People’s Republic of China, combining the promise of infrastructure development and the connectivity between the markets of China, Central Asia, and Europe through a new “Silk Road” [38]. The scope goes beyond

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infrastructure on land, and there is a “maritime silk road” to reach even the most distant partners [39]. A recent study argues that the participation in the BRI increases the trade flows among participant countries up to 4.1% [40]. The BRI has the potential to create global cooperation or conflict [41]. On the one hand, China has promoted this initiative mainly through economic diplomacy, with the aim of achieving cooperation and economic growth [42]. Through this approach, China has separated BRI from any notion of geopolitical strategy, which has been effective in Asia [43]. Helping China to increase its soft power in its region [44]. However, if China wants to continue to gain soft power in the region, it is necessary to effectively address India’s concerns about the China–Pakistan Economic Corridor and the impact of the BRI on the South China Sea and East China Sea [45]. In contrast, western countries see the BRI also as a geopolitical strategy that can alter the security order of global politics [46]. As for the United States, it perceives BRI as a geopolitical strategy that is threating its hegemonic status [47]. Thus, it seems that the BRI is contributing to China’s soft power in Asia but seen as a hard power concern to western countries. In addition, the Asian Infrastructure Investment Bank (AIIB) is a multilateral institution created in 2014 and viewed as a legitimate contender to the Bretton Woods system of International Financial Institutions [48]. The institutional arrangement of the World Bank (WB) and the International Monetary Fund (IMF), both founded after the second world war, evidence the supremacy of the United States in these organizations, is the U.S. the only country with a de facto veto power in the direction, policy formulation and reform of these multilateral institutions [49, 50]. Thus, the AIIB is presented as a modern multilateral organization that reflects the new economic and geopolitical realities of a multipolar international system. The creation of parallel multilateral institutions [51] such as the New Development Bank (NDB) and the Asian Infrastructure Investment Bank (AIIB) is considered crucial in the evolution of the Chinese foreign policy and approach to the world [52, 53]. Given the relatively recent creation of these parallel institutions, there are few studies that explore the impacts of these new institutions for regional countries’ development [54, 55]. It must be highlighted that LAC has serious deficits in infrastructure development and the PRC may currently be the only credible investor to fund large-scale projects in the region [56]. The reach of the AIIB is truly global, despite its name, its members are nations from all continents, and its charter established that the investment portfolio is not restricted to the Asia Pacific region. However, considering LAC countries, only Ecuador has been accepted as member of the AIIB, the prospective members include Argentina, Bolivia, Brazil, Chile, Peru, Uruguay, and Venezuela, that have missed the requisites and deadlines for full accession [55]. There are several issues that have prevented the accession to the AIIB by the remaining prospective members, slowness to ratify by the national congresses, cultural issues, domestic political and economic crisis and “lack of stamina” to implement policy. Furthermore, it seems that Latin American decision makers do not differentiate1 between the Belt and Road Initiative and the AIIB [55, 57]. 1

For a summary on the relationship between BRI and AIIB see Hameiri and Jones (2018).

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The development and operation of large-scale infrastructure seem to have not only an economic imperative2 but a strategic one. The evident lag in infrastructure investments in Latin America and the Caribbean might be an opportunity for the PRC to outspend any contender and winning the proverbial “hearts and minds” in the region. The soft-hard power nexus has been highlighted in U.S. defense circles [16, 17] as part of a wider strategy dubbed the Military-Civil Fusion (MCF) in which economic and technological achievements are “fused” with security strategies and defense objectives of the People’s Republic of China military rejuvenations plans [15]. Under this logic, Chinese-funded critical infrastructure may have a potential strategic value and military uses. Nonetheless, the development of deep-water ports, communication networks, space infrastructure, and surveillance technologies deployed in the region are currently framed as bona fide South-South cooperation.

32.4 The Cross-Strait Issue Besides, the PRC evident economic and trade interest in Latin America and the Caribbean, the political recognition of Taiwan or Republic of China (ROC), is probably one of the most salient aspects to frame the Chinese approach to the region. Basically, the People’s Republic of China aims to reduce the number of states with diplomatic ties to this island nation. Some Latin American countries had recognized the Taiwanese claim, but this support has eroded over time. From the Chinese Communist Party perspective, Taiwan is a separatist region that must agree to reunification, this policy is known in the mainland as the “One China” Principle. However, Taiwan or ROC has had a different political trajectory and has turned into a modern democratic regime with a vibrant economy. Besides, Taiwan or ROC has powerful military allies, namely the United States, but lacks representation in the United Nations General Assembly after Resolution 2758. Since the 1980s, most countries in Latin America have had political and diplomatic ties with the People’s Republic of China. The Cross-Strait issue between China (People’s Republic) and Taiwan (Republic of China) is thus considered a strategic challenge for countries in the LAC region, several governments in Central America and the Caribbean that were originally aligned with Taiwan have surrendered to the “Charm Offensive” of the People’s Republic of China, given the substantial economic aid for energy, logistics and infrastructure projects funded by the PRC [3]. Despite the geographical distance that separates China and Taiwan of Latin American countries, the Cross-Strait dispute has deep implications in the global geopolitical arena.

2

Infrastructure as an asset class.

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32.5 China’s Steps Toward a “World-Class” Military: “Blue-Water Navy” As has been exposed in the previous sections, the PRC has adopted a “smart power strategy,” which is the combination of hard and soft power strategy. An important element to develop a soft power strategy is to have the ability to coopting other countries through commercial links or humanitarian and security operations. On the other hand, the PRC saw the necessity of structuring a strategy to respond to an eventual invasion of the former Soviet Union as well as to defend the PRC commercial and national interest, which includes the obligation to help and protect the security of their own nationals in other territories [58, 59]. Because of the reasons exposed above, the PRC decided to transform the Navy, a transformation which has been slow and affected by the technical and economical constraints of the country. The People’s Liberation Army—PLA, was founded in 1927 but the navy or People’s Liberation Army Navy—PLAN was created in 1950, and its mission was center on inshore defense. In the early 80s, Admiral Liu Huaqing assumed the command of the PLAN, and raised the need to update the navy doctrine, to a Mahanian one, where the sea power is important on fundamental to the national greatness and that is important referring in commercial use in peacetime as well as control during war periods, and Liu had the firm conviction that China had a vital maritime interest and was to be protected by the navy and to achieve that was necessary to build a “blue-water navy” [60, 46]. As part of the strategy of influence expansion of the PRC, as has been mentioned before, the PLAN has been involved in humanitarian and security operations. The first time was in 2008 and deployed naval forces operationally beyond its immediate maritime periphery for extended durations, to protect merchant vessels from pirates in the Gulf of Aden, escorting Chinese and foreign commercial vessels in the process, demonstrating the ability to operate at sea for long periods as well as being operationally capable to execute important strategic operations [61]. For some years, since 2012, China has been negotiating with many governments to establish naval bases, and finally, in 2015, China announced that they would establish their first overseas military outpost in Djibouti, formally opened in 2017, in exchange for the construction of a railway between Djibouti and Addis Ababa and the expansion of the Djibouti port [62, 63]. China also has invested in civil port infrastructures, as is the case of Panama, where Chinese companies have invested 1.1 billion dollars. Also has donated naval equipment and other materials looking for goodwill among foreign navies. This is the case with Bolivia, to whom Beijing donated six 12-m patrol boats to the Bolivian navy. In other cases, China also repaired or built naval bases, barracks, military hospitals, and communication equipment [64]. Referring the size of the navy, the PRC PLAN at this moment, is the world’s largest navy, with an overall battle force of approximately 350 ships and submarines including over 130 major surface combatants, but the US navy is heavier, the Chinese navy approaches 2 million tons, while the US Navy tops 4.6 million tons, according

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to a 2019 estimate by the Center for International Maritime Security, however, China has recently commissioned its first indigenous aircraft carrier and is building a second one, approaching to a power which may alter the current military balance [65].

32.6 Concluding Remarks The complexity and relative novelty of the defense aspect of the Chinese approach to the world (and to the region) make the issue a fertile field for pursuing further research, to test hypothesis, and to formulate theories, moreover from the Latin American point of view, there is an under representation of Latin American scholars in the literature. One thing is certain, the increasing technological sophistication of Chinese firms evidenced in terms of patent activity is an interesting trend to follow with a direct impact on economic issues but also on strategic and defense affairs. In addition, it is important to mention that China depends on the sea trade for the acquisition of energy and other critical resources, which are in high demand due to its enormous industrial capacity. The PRC has a strong interest in maintaining secure sea trade lines and may use its military forces to maintain the country’s access to global markets, a strong navy is essential to achieve this strategic goal. In the case of Latin America, China has had a soft approach but also has exploited some conflicts between countries, as has been the case of Colombia and Venezuela, where China has provided weapons and technology, especially after the 2008 crisis caused by the intervention of Colombia in Ecuadorian territory. Following this argumentative reasoning, it can be said that China’s economic and military diplomacy is contributing not only to gain but exert smart power overseas. As future work, it will be interesting to evaluate the evidence of smart power strategies applied by China over other countries. In addition, to study and measure possible indicators of these relations based on the information of public access databases on international commerce, arms trade, and foreign investment.

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Chapter 33

The Alignment of the Top Structure of the Portuguese Armed Forces. Focus on HR Strategy and Policies Helga Santa Comba Lopes

and Jorge Filipe da Silva Gomes

Abstract The alignment of Human Resources brings several advantages to organizations, making them more qualified to face today’s challenges. The alignment of all the components of the Human Resources Management System allows to enhance these advantages. However, it is important that the top structure of the organization is aligned, to ensure that the policies created are based on the HR strategy. Thus, the objective is to understand the alignment of policies with the Human Resources strategy and to understand how policies are transmitted to the three branches of the Portuguese Armed Forces. For this, a qualitative approach was adopted, with 27 interviews conducted. The results allow to confirm the existence of alignment between the policies and the Human Resources strategy since most of the two components are created together. There is a very close link between the two entities, contributing to the necessary convergence. The communication of HR policies is done mainly through legislation, although informal communication also has an impact on the form of application.

33.1 Introduction The quality of human capital is extremely relevant for organizations, despite the constant technological evolution. It is through Human Capital that organizations can adapt to different situations and achieve their goals.

H. S. C. Lopes (B) CINAMIL, Academia Militar, Avenida Conde Castro Guimarães, 2720-113 Amadora, Portugal e-mail: [email protected] Instituto Politécnico da Lusofonia, Rua do Telhal aos Olivais n8 - 8a, 1950-396 Lisbon, Portugal J. F. da Silva Gomes ADVANCE/CSG, Lisbon School of Economics and Management, Rua do Quelhas Nº 6, 1200-781 Lisbon, Portugal © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_34

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Previous studies indicate that if the various components of an organization are aligned with each other and according to the defined strategy, it facilitates the realization of strategic changes and allows the organization to be better equipped to confront organizational challenges [29]. It is also evident that if the external and internal factors are aligned, the impact of the strategy on organizational success will be greater [12, 20]. If the Human Resources (HR) component started to have greater value and become one of the organizational priorities, everything must be properly integrated, from the stage of preparing strategic planning to its implementation [8]. The integration of the HR strategy allowed to improve the way managers “set priorities and make decisions” [8: 16]. When the entities that define the strategy are different from the entities that define the policies, concerns about alignment increase. Thus, the study on the alignment of the components of the HR system is considered relevant, namely in the top structure, where Strategic Human Resources Management (SHRH) is defined. If all HR components are aligned and consistent with each other, the achievement of organizational objectives will be facilitated [9, 17]. This research aims to contribute to the understanding of the existing alignment between HR policies and strategy in the Portuguese Armed Forces, and how HR policies are transmitted to the three branches (Navy, Army and Air Force) and subsequent coordination. After explaining the state of the art related to the alignment between the components of the Human Resources Management (HRM) System (strategy and policies), the way the Armed Forces act regarding the HRM system will be characterized. The applied methodology and the results obtained will be presented. Finally, conclusions, limitations and proposals for future research will be presented.

33.2 Alignment Between HR Strategy and Policies 33.2.1 The Alignment Concept The concept of alignment appears in the literature under various designations (e.g., “alignment,” “fit,” “congruence”) and can be viewed in different contexts and areas of knowledge. In general, the concept of organizational alignment appears in the literature as “the degree to which an organization’s design, strategy and culture are cooperating to achieve the same desired goals. It is a measurement of the agreement or relative distance between several ideal and real elements of organizational life” [23: 23]. Supporting this view, Huselid also mentions that alignment is achieved and measured by the difference between what the organization strategically planned to achieve and what it achieved [12]. Therefore, for an organization to guarantee its survival, it must be minimally adjusted, since the degree of alignment may compromise organizational performance,

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and this minimum alignment may not be sufficient to guarantee the desired success [20, 22]. However, it is difficult to obtain an HRM system internally consistent, meaning, that its HR practices are aligned with them and congruent with the strategic organizational ambitions [16]. SHRM relies on policies and practices to achieve the organizational objectives that result from the interaction between people and the organization. This connection is a widely desired ambition, although the theoretical and practical field of this relationship does not always have the ideal connection [27]. Hence, the need to understand the existing alignment relationships. However, the isolated concern with the strategy is not enough. The underlying HR policies and practices must work together, because only then can better results be achieved. As storey and its colleague’s states “appropriate policies can be undermined by poor practices, and conversely, good practice may, to some extent, compensate for defective policies” [28: 8], hence the need for a link between the various components. It is important to have a constant link between the strategy and the components that embody what was planned, ensuring that the strategy will be implemented, finding the desired alignment [26]. Alignment presupposes acting in two ways: effectiveness (through the achievement of goals) and efficiency (achieving the same goals infallibly) [18]. The theory inherent to SHRM uses the concept of HR alignment as a mediating element between HR practices and organizational results, based on the assumption that the practices implemented must underlie the organizational strategy [10]. The better the practices are aligned, in each domain of HR policies, the more easily they can achieve the strategic objectives that the organization has proposed to achieve [17].

33.2.2 HR Strategy and Policies Organizations have their business strategy, which allows to outline the desired longterm state of the organization, where all components are considered. The HR strategy is constituted as an interaction between the business strategy and the HRM, considering the aspects necessary to achieve the objectives, focusing on the integration of HR in the global strategy and in the organizational environment [11]. The HR strategy has become one of the components of the business strategy, proposing to manage HR by preparing them for carrying out the planned activities. It constitutes an element that adds value to the organization, with a view to achieving its objectives [6]. It is necessary to emphasize that the definition of the HR strategy must be global or comprehensive [2], allowing to provide directions, and to have a broad view [3]. Based on strategic needs, organizations have rules that translate into statements, or guidelines for actions related to people, which are necessary for the development of HR programs and practices. These statements are called HR Policies [24].

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HR policies allow to direct and partially restrict the behavior of employees and their relationship with the employer. From the policies derive the principles on which top managers must act in the HR field [1, 13]. The policies allow to represent the “firm or business unit’s stated intention about the kinds of HR programs, processes and techniques that should be carried out in the organization” [30: 263]. But this does not mean that policies explain how a particular organization achieves its HR objectives, they only allow you to explain what you are trying to achieve (for example, hiring more qualified workers) [15]. Both organizations and their stakeholders show differences in the performance of their roles, compared to the past. The role of HR professionals has become more interventional, with greater involvement in organizational planning. On the other hand, managers, responsible for transforming policies into HR practices, to respond to multiple situations, are led to attribute a great deal of interpretability to HR policies [13], assuming risks that can affect the underlying intentions in HR policies, making HR practices not aligned with them. Thus, it is important for organizations to have “a set of properly aligned HR policies that solve business problems and support the firm’s operating and strategic initiatives” [5: 797].

33.2.3 The HRM System of the Portuguese Armed Forces In the context of HRM, strategy and policies are defined for the three branches of the Armed Forces. The strategy is defined by the Minister of National Defense and his staff, and the policies defined by a Ministry of National Defense (MND) organization, the Directorate General for National Defense Resources (DGNDR) [19]. In turn, HR practices are implemented by the Portuguese Navy, Army and Air Force (Fig. 33.1). Based on the military literature, the areas of HRM most addressed in the documents were selected: recruitment and selection; reception and integration; rewards

Fig. 33.1 The HRM structure of the Portuguese Armed Forces. Source Authors

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system; performance evaluation and management; training and development; career development; professional life balance; security and health support, values and principles, communication and leadership.

33.3 Method To achieve the proposed goals, a qualitative approach was adopted. The selection had to be very careful because only top management entities can solve this type of problem. Thus, qualitative analysis, through the application of face-to-face interviews, allowed greater credibility in the responses, as well as observed behaviors and attitudes that helped in the analysis carried out. Three scripts were prepared and tested. After selecting the participants (33), the interviews (27) were conducted with an acceptability level of 81.8%. The interview with the objective of measuring the alignment between the policies and the HR strategy was applied to 4 directors of the DGNDR. The other interviews were conducted with different military personnel, with the aim of finding out how HR policies reach the branches of the Armed Forces. A content analysis was carried out, allowing an evaluation of the communication, extracting information relevant to the investigation [4], resulting from the signals sent by the participants. The information was later validated in the NVIVO software. The interviews were transcribed. This act is important for the researcher, selecting parts that are more relevant than others, giving a holistic view of the data collected [21]. In alignment studies, the analysis must always be inverted, that is, from the bottom upwards [26]. It allows to verify if the implemented measures (HR strategies and policies) are being executed.

33.4 Results To understand the alignment between the policies and the HR strategy defined by the Minister of Defense together with the tutelage, an interview inquiry guide was created (Guide A). Analyzing how HR policies are built, disseminated and monitored was also an objective, to understand how the process unfolds in practice. A Guide B was prepared to analyze how HR policies reach the branches, and a Guide C with the same objectives as Guide B, synthesized for application to the highest Entities.

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33.4.1 The Alignment Between Policies and Strategy HR Guide A includes questions that allow dimensioning the areas most valued by the MND, where the HR strategy is defined, in the perception of the participants. Questions are included that allow validating the operation and handling of information from the strategy, which allows the construction of HR policies. It also allows participating elements to classify, according to their perceptions, the existing convergence between the policies created and the HR strategy, as well as the analysis of that same convergence, assessing challenges and difficulties. The participants carried out a final exercise that allows the positioning of the defined HR areas, to validate the previous data, where they positioned each HR policy with to the HR strategy. The areas furthest from the center show that the work to be carried out by the DGNDR to comply with the strategy is high. On the other hand, the areas located closer to the center reflect their congruence with the strategic component. First, the participants’ perceptions regarding the strategic areas of HR were validated, giving the possibility of adding an area that was not previously defined, on a scale of 1–5, where 1 represents the least valued and 5 the most valued HR area (Fig. 33.2). The analysis shows that the area considered most important and that reflects the HR strategy is recruitment and selection, the second, training and development, following the reward system, career development and as the fifth priority, safety and health support. In the definition of priorities, some participants were justifying their choices, and the analysis at the same time determines that the words most used in this explanation were “recruitment” and “training,” respectively, as well as results obtained.

Fig. 33.2 HR policies most valued by DGRDN for priorities. Source Authors

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They revealed that the focus of concerns is on recruitment (in contract/volunteer military service) and the type of conditions that are given to young people in military life. These young people, in this situation, perform tasks that they do not like, affecting the retention of personnel in the Armed Forces (participant 1). The Armed Forces’ lack of attractiveness and the bureaucratic processes associated with recruitment also contribute to this problem (participant 2). As for the priorities defined by the political level, participant 2 reveals that sometimes guidance is lacking, and that, for the most part, DGNDR itself must analyze the problem and present its solution (participant 2). This question is corroborated by the participant 4, noting that the guidelines are largely given by the DGNDR to the political power, presenting solutions that can be assumed superiorly. Thus, it was found that there is a close-up link between the DGNDR (entity responsible for creating HR policies) and MND (entity responsible for HR strategy) (participant 3). Despite the proximity pointed out, some interviewees expressed a lack of guidelines for the creation of HR policies (participant 2, 4), and the participants’ lack of knowledge regarding the HR strategy must be safeguarded. On the other hand, it was found that most of the problems are raised by the DGNDR, which after elaborating sustained studies, the problems with the possible proposals for resolution are presented to the MND to be authorized (participant 2, 4) is wholly or partially, the legal document that represents the HR policy is subsequently created, which represents work carried out jointly between the DGNDR and the MND (Fig. 33.3). Based on the observations, some weakness in the role of the HR strategy is evident, revealed by a weak knowledge on the part of the interviewees, although the participants mostly affirm convergence between the two components of the HRM system, justifying that they contribute together to the fulfillment of the mission (participants 1, 2, 4). The ease of communication existing between the DGDNR and the MND, the convergence pointed out by the participants between policies and strategy, alongside the described operating process, makes it possible to assume that the strategy Fig. 33.3 HR strategy and policy co-operation process. Source Authors

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and policies are mostly built together, implicitly translating alignment between two components of the HRM system. The fact that policies are developed together with the strategy presents benefits, it allows to minimize the existing deviations between the two dimensions [14]. The smaller the gap between policies and strategy, the greater the alignment between them.

33.4.2 Communication and Coordination of HR Policies The way in which policies are communicated is important because it determines how HR practices that derive from these guidelines will be implemented. It is also relevant to verify that HR policies are implemented by the three branches and that their interpretation was clear. Thus, from the joint analysis of Guide A, B and C, it appears that the policies are generally applicable to the three branches. As a rule, HR policies are converted into legislation and are subsequently discussed with the branches. In contacts made by DGNDR with branches, formal (hierarchical) and informal contact networks are used. The way they communicate with branches is different. The most formal branch is the Navy, the Army being less formal and the Air Force much less formal, aspects that are justified by the organizational culture of each branch and with the people who lead the processes (participant 3). Thus, some communication difficulties with the branches are pointed out, derived from their own organizational dynamics (participant 1), referring that the upward communication is not problematic, contrary to the downward one (participant 3). As for the policies disclosed, it is recognized that they are sometimes unclear (participant 2). They are also considered to be very generic and vague (participant 6, 9, 15, 20, 25, 26), and very conditioned by the financial component (participants 5, 13). Lack of knowledge or distortion of military reality was also pointed out, mainly in operations, by the structure of the DGNDR.

33.5 Discussion The research process, allowed us to consider that alignment is essential to increase the efficiency of the HRM system, contributing to improve the consistency between its components (strategy, policies). To guarantee the alignment process measurement, it is necessary to carry out an inverse analysis of the HRM current operation [26], to ensure that the message transmitted by the superior component has been fulfilled and reflected in the created component. On the other hand, the analysis by HR areas (for example, recruitment, performance evaluation, rewards system), allows to increase the comparison between the different areas.

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It was possible to validate the priority areas of action of the HR strategy, in the perception of the participants: recruitment and selection, training and development and career development. It was also possible to understand the way in which the policy making process took place, and its proximity, almost together with the strategy. It was found that the DGNDR’s communication with the MND works well, with some communication difficulties with the different branches. These difficulties are related to informal communication, which is often fundamental in the implementation of processes. Cultural differences are pointed out by the DGNDR in this relationship, with the military pointing out a lack of clarity in policies, ignorance of the military reality and conditioning of policy implementation due to lack of funding.

33.6 Conclusions To analyze, the proposed objectives were conducted 27 surveys per interview. Resulting from the qualitative analysis, in the first phase, it was found that the policies are aligned with the HR strategy, because the processes are mostly treated together. In other words, the situation analysis is carried out at the policy level (DGNDR), and solutions are studied and presented to the MND. The MND analyzes and authorizes, the respective HR policies are subsequently created, constituting itself as an active process where communication is an element that facilitates processes. The analysis assumes that policies are created in conjunction with strategy, being an advantage for allowing minimization of deviations [14]. Policy design is almost all included in official legislation. Communication with the different branches could be improved, with differences being noted between the branches, in terms of their formality. The Air Force was considered the least formal, followed by the Army and the Navy, the most formal, these factors obviously depending on the elements that work the processes. This investigation allowed, in addition to understanding the alignment between policies and HR strategy, to understand how policies are defined, how they communicate and how they are monitored. There were some limitations in the present investigation. Firstly, it is worth noting the difficulty of coordinating consultations by interview, due to the agenda difficulties of most participants. Another limitation was related to the fact that only two components of the HR System have been studied. The investigation allowed to leave some challenges. The proposal is to analyze the alignment between HR practices and policies, by areas, as well as the analysis of the military perceptions in the branches regarding the practices implemented. This study would allow to give a global vision of alignment, permitting a theoretical and practical contribution. In addition to the work carried out, it helps to clarify concepts that, in an organizational environment, maintains some abstraction [25] and the consequent search to achieve congruence in the HRM System [7], contributing to organizational efficiency and knowledge in the field of SHRM.

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Chapter 34

Logistical Reflections on Developing a Forward Operating Base: Improving Logistics Sustainability in Durable Deployment of Air Units Manuel Antonio Fernández-Villacañas Marín and Ignacio Fernández-Villacañas Marcos Abstract During the last decades, the global security scenario has undergone a constant transformation in all countries. Traditional territorial risks have been reduced and a set of new threats have appeared, among others, global terrorism and organized crime, drug trafficking, natural disasters, pandemics, etc. Some of these threats are supported by anonymous groups located around the world, willing to achieve their goals at the cost of international destabilization and social insecurity. All of this has led to the evolution of the strategic concept of defence and security towards a necessary framework of global collaboration, in which the projection of military and non-military capabilities is key, quick, effective, efficient and with great deployment capacity in theatres of operations located very far, for which air forces play a leading role. The new requirements of the logistical support system of aerial means used to respond to this new strategic concept, as well as the implementation of the new logistics 4.0, imply a complete strategic, organizational and cultural reinvention, applicable to the evolution of the concept of forward operations. The research carried out is based on the accumulated experience and the logistical lessons learned by the Spanish Air Force in the period 2005–2019, and its objective is the logistical analysis of the necessary modifications and improvements of Forward Operating Air Base, in the framework of the digital transformation processes of In-Service Support, the logistics concept of deployment, and the fundamental design principles of Deployable Air Activation Modules for the deployment of air units.

M. A. F.-V. Marín (B) · I. F.-V. Marcos M&M Planning and Project Management, Madrid, Spain e-mail: [email protected] I. F.-V. Marcos e-mail: [email protected] M. A. F.-V. Marín Technical University of Madrid, Madrid, Spain Spanish Air Force, Madrid, Spain © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_35

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34.1 Introduction During the last decades, defence and security (D&S) organizations have undertaken a profound transformation and adjustment effort to adapt to the great changes that have occurred in their international environment. Until now, the prospect of a globalized world has provided the framework for economic relations that have generated wealth and progress for nations [1]. In recent decades there has been an evolution from a concept of territorial defence to one of collective deterrence, which has finally led to a phase in which D&S is conceived above all as a projection of stability. The coexistence under the cloak of globalization of two worlds, one advanced and stable and the other retarded and violent, commits those who enjoy the peace and security of the first with those who lack the necessary stability in the second, to be able to cover their most basic needs for subsistence, coexistence and well-being. Governments have a sense of the need to guarantee that global stability because what is at stake is the peace and prosperity of their own nations. In this disruptive international scenario, new risks and threats have emerged that must be assumed collectively. Traditional risks have given way to a new and diverse set of threats, among which we highlight pandemics, climate change and natural disasters, international terrorism, drug trafficking, the scarcity of essential resources such as food or water, crime. global organized crime, cyberattacks, political corruption, illegal immigration, human trafficking, etc. In many cases, these are risks and threats that have the support of anonymous groups located in disparate places, sometimes supported by certain nations, who are willing to achieve their goals at the cost of social destabilization and international insecurity [2]. The effective response to these new risks and threats of a highly disruptive environment makes it necessary, among other issues, to have globally projectable aerospace capabilities, agile in their response, very flexible, versatile, with a global scope in their deployments and that provide a wide range of performances in any scenario. It is important to emphasize that this global deployment capacity must be capable of providing strategic and operational autonomy, being set up through multipurpose and interoperable organizations and means, fully suitable for joint and combined action, which groups together essential operating procedure is the Forward Operating Base (FOB) [3, 4]. One of the fundamental problems of the deployments of military aircraft during a medium term in an FOB is the activities of logistical support in general and the In-Service Support (ISS) of the aircraft deployed, which guarantee the viability of air operations. The implication of weapons systems based on increasingly complex technologies makes it essential to develop a new strategy to optimize their logistical sustainability. It is necessary to develop a systemic and holistic logistics concept that facilitates the global deployment capacity sought [5–7]. Objectives, Methodology and Contents The objective of this research has been to logistically reflect on the necessary modifications and improvements in the field of logistics sustainability of forward air operations, within the framework of the ISS digital transformation processes, to analyse the

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logistics concept of FOB deployment. The research has made it possible to develop a proposal of essential elements of this logistics concept and the main design principles related to the concept of Deployable Air Activation Modules (DAAM) for the deployment of air units. The research has been developed under an exploratory and explanatory methodology to understand the problem posed, based on the qualitative analysis of the lessons learned and economic-logistical reports of deployment related to the international missions in which the Spanish Air Force has participated in the period 2005– 2019. The reviewed literature has been used to synthesize the essential concepts and approaches on the investigated problem. The work analyses, first, the general design aspects of the logistical support system of the air forces to respond to the new global paradigm of D&S. Secondly, the fundamental aspects of the transformation of logistics support within the new Logistics 4.0 are studied. Finally, the essential elements of the logistics concept for the deployment of FOBs are proposed, as well as the main design principles of DAAM in the deployments of air units at FOBs, to improve their efficiency.

34.2 Literature Review and Method 34.2.1 Concern: Design Keys for the Logistics Support System of the Air Forces to Respond to the New Global D&S Paradigm Power projection is a concept commonly used to refer to the ability of a country to deploy and maintain its military forces outside its territory. This ability is an essential element of the dominance of that nation to exert its influence in international relations. While the traditional view of power projection focussed on the assets of hard military power, the most current theory of the development of soft power indicates that it does not have to involve only the use of military combat forces. In this way, assets for the power projection in the face of new risks and threats make intensive use of capabilities related to transportation, intelligence and operations as the nucleus of response to emergencies, crises of all kinds and catastrophes, with this capability for global deployment and action being one of the most important levers of nations’ diplomatic action [8–10]. This increasingly complex and hostile global strategic panorama has turned the capabilities of the air forces into elements of special relevance, highlighting their possibilities of directly and rapidly influencing events regardless of their geographical location; the modularity in the intensity of their employment; its maximum capacity to obtain, process, exploit and disseminate intelligence; its low level of attrition compared to other types of operations; the speed of action; as well as its essential condition to carry out the defence of interests beyond the borders [11].

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The general design of the logistic support system that the air forces should have to respond to the requirements of this new global D&S paradigm, both in terms of hard power and, above all, soft power, should be adjusted to the following requirements [12]: • Ensure the sustainability of its military aircraft and improve its availability in accordance with its assigned national and international mission, in the short, medium and long term. • Being able to generate sustainability in a geostrategic environment of high uncertainty, with the presence of high intensity risks and threats that may be generated unexpectedly and that demand to project peace and security immediately in remote theatres of operations and with different types of air operations. • Increase efficiency within the support system, optimizing available resources in a shortage scenario, avoiding internal duplication, as well as between the air forces and the D&S industry as much as possible, reducing support costs and its risks, as well as minimizing the required investments. • Maximize the benefit of excess logistics capacities over the internal demand for services related to logistics support, through the commercial exploitation of the different existing resources of infrastructure, technology and knowledge, capital goods and personnel. • Improve the air force’s logistical response in a complex and evolving technological environment, in which the participation of the D&S industry is increasingly essential under a public–private collaboration environment. It is essential to emphasize that this global deployment capability of the logistics support system must guarantee total strategic and operational autonomy, being configured through interoperable and multipurpose organizations, and means, which enable both joint and combined action, and whose operational grouping to support deployments is the Forward Operating Base (FOB). In the field of air operations, an FOB is configured as an airfield that is used to support tactical operations, but without establishing complete logistics support facilities and services. The base must be usable both in the short and medium term, being necessary to have the support of a main base of operations to provide the necessary backup support [13].

34.2.2 Method: Concepts and Fundamental Aspects of Transformation of ISS Within New Logistics 4.0 The processes and activities that the ISS of military aircraft incorporates and that guarantee the viability and sustainability of operations in the D&S field have become increasingly critical due to the extensive resources it uses and due to its great importance on operational availability. In addition, the presence of weapons systems based on increasingly complex technologies and the necessarily expeditionary nature of air forces (projectable, flexible, interoperable and fully suitable for joint and combined

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action) make it essential to develop a strategy to optimize their logistics sustainability, based on a systemic technological concept that integrates the functions of procurement, transport, maintenance and life cycle engineering. The integrated logistics support (ILS) in the aerospace field is an integrated and iterative process responsible for planning and directing the logistical support and the evolution of the design of the requirements of the weapons systems, covering both obtaining and operational life [14]. The ILS analysis will incorporate significant variables such as availability, maintainability, reliability, security, evaluation capacity, etc. [15]. Within the ILS, ISS refers to the set of sustainment logistical support activities that begins with the entry into service of a specific aircraft fleet. As a projection of the planning, the support configuration and the analysis that is carried out in the ILS, ISS assumes the provision of all the maintenance services that provide logistical support to the fleet throughout its useful life cycle, through the integrated plan of ISS and scheduled logistics processes [14]. This ISS programme must be designed as to guarantee a high level of operational availability, with a high capability to adapt to changes and a wide range of missions, as well as levels of use that include its deployment in distant theatres of operations, with high operational intensity and unpredictable. On the other hand, the new logistics 4.0 implies the intelligent optimization and hyper-connection of all the elements and processes of the supply and distribution networks, which translates into spectacular improvements in the logistics management of organizations [16]. The main objective is to make the logistics field smarter and hyperconnected, in which integration, coherence, collaboration, holistic vision, flexibility and innovation are the fundamental aspects on which the new logistics 4.0 is based. This will require the development of a new logistics strategy, the design of a new organization and the management of the change towards a new digital culture, as well as the implementation of new methodologies and digital technologies [17]. The fundamental concept in relation to the objectives of this work is that of transformation, which we can define in the field of D&S as the process through which certain military or police advantages are achieved and maintained through changes in operational concepts, structures and technologies, thereby enhancing operational capabilities in a rapidly evolving environment [18]. It is based on the incorporation of new methods, technology and processes [19], and the optimal management of both the time required for the preparation and implementation of transformation plans as well as the preparation of the personnel involved [20]. The digital transformation of the ISS of military aircraft must act in three vectors: the implementation of new technologies, the development of new processes and organizational change strategies [6]. The deployment of enabling technologies is the factor that most conditions digital transformation as an engine of change [21]. Support models for logistics sustainability must integrate the technologies already available and make the progressive integration of other exponentially evolving technological innovations. Data science is the key technology that integrates data collection and analysis, machine learning and its methods, using mathematical, statistical and computer techniques and theories, which make it possible to transform the ISS into a true big system of sustainment logistics support systems [22].

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34.3 Results: Logistic Concept of FOB Deployment Regarding the logistics concept of the FOB deployment, it is necessary to start from the definition of a proposal of previous logistical considerations that are the result of the qualitative analysis of the lessons learned and the economic-logistical reports of deployment related to the international missions in which the Spanish Air Force has participated in the period 2005–2019, whose most significant aspects we consider to be: • The design of the logistics concept must obey the principle of primacy of operations, although when planning the deployment, it must be guaranteed that it is sustainable with the available logistics resources or that it is planned to assign and that obviously these means are assured in a timely manner the operation. • The logistics solution must provide the most appropriate support through the optimal use of available resources, which are always limited, and allow rapid deployment. • Both the FOB and the operational units deployed in it, need to have the permanent level of logistical support required, providing it continuously and efficiently, for which the planning and online technological coordination of all the logistics chains and organizations involved in operations will be necessary. • To achieve efficient management of logistical support, a pragmatic approach to the needs of the different DAAMs [23] is necessary for an initial configuration of the FOB, which then, with a systemic approach, allows eliminating unnecessary duplications. • Although the FOB starts from a specific need, it is very likely that it must operate in a joint and combined environment, so the logistics concept of its deployment must consider the possibility of receiving or providing support to other armies or nations, as well as the establishment of joint and combined logistics support chains. • It is necessary to establish initial premises and define guidelines for the design, planning and logistics management of the FOB, to guarantee the sustainability of the FOB and the forces deployed in it, while reducing the impact of logistics problems on air operations. Given that the object of the logistics concept of the deployment of a FOB is to provide the logistical guidelines that will serve as a reference for the deployment, support and return of said structure and the operating units that are supported, it is necessary to establish a specific logistics deployment doctrine to guide management, whose main ideas we consider are the following, which are also the result of the analysis of the lessons learned and economic-logistical reports: • Maximum rationalization of all available means and resources, through the global estimation of the needs for a specific scenario and the fluctuation of its demand throughout the operation, avoiding duplication in its generation, and the redundancy of agencies and infrastructures involved in logistical support in joint and combined operations. The environmental characteristics in which the deployment

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will take place will determine the probable wear of the material and its possible incompatibilities, as well as the effects on personnel. The objective is to achieve the greatest possible simplicity in tasks, procedures and structures while guaranteeing the effectiveness and efficiency in logistics operations. The distance from the main base to the FOB, its accessibility, and the time necessary for access, will be determining factors for its projection and maintenance, as well as the units deployed in it. These factors will determine both the force deployed at the FOB and the logistical effort to be used, decisively influencing the nature of the operation. All this, together with the transport solution selected as a priority, will condition the logistics planning of the deployment, withdrawal and supply of material, considering the security conditions and protection needs, especially of critical supplies. The duration of the operations determines the robustness of the logistical support system. It must be considered that the duration may vary depending on the evolution of the operation, and the achievement of the desired final situation. Early identification of necessary external support, such as diplomatic agreements and host nation support, considering the possibilities of local exploitation of resources and outsourcing of the provision of goods and services. Likewise, it is essential to guarantee the survival and protection of logistical resources, for which it may be necessary to resort to national or international organizations that can guarantee security. Visibility of the logistics situation in general of the necessary resources, being particularly critical during the projection and withdrawal phases of the FOB, as well as of the units deployed in it. All the logistical information required both relative to the operational situation of the personnel and material deployed, as well as that referring to the means and resources in transit from and to the FOB, must be available electronically, in the time and in the most appropriate way. Identification of the structures, authorities and work bodies that are required to enable effective logistical support, as well as the development of mechanisms and procedures that allow the coordination and interaction of all of them, and the necessary training activities. Flexibility to adapt the permanent structures to the specific needs of the FOB deployment, integrating and synchronizing the logistics capabilities to be generated with the functionality provided by other actors present in the deployment operations area, both civil and military. Given that logistical aspects seriously condition the success of operations, logistics planning must be an integral part of operational planning, both running simultaneously and concurrently. The deployment of a FOB requires a rapid generation of force, based on the prior integration of all the DAAMs that will constitute the FOB, as well as the operational units deployed in it. In most cases, transportation solutions will be multimodal, which will mean that DAAMs must be designed and optimized with those solutions in mind. The objective will be to achieve the greatest capability for action in the shortest possible time, providing logistical support in the place and time required.

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34.4 Discussions: Main DAAM Design Principles for Deployment of Air Units in FOBs DAAM design seeks to minimize the gap between planning and force generation of a deployed air operation, having to address various aspects such as logistics, module integration, interoperability and the use of common procedures. It is necessary to avoid the creation of new logistics assets and focus its action on optimizing the use of existing logistics resources to support the rapid deployment and implementation of an FOB. For this, the use of interlocking logistics modules, previously planned, is proposed, which allow the establishment and operation of a multinational air base deployed in the most efficient way possible, without duplication of resources, or the presence of gaps in necessary capacities. Starting from the DAAM concept of FOB [23], it is necessary to specify the most important design principles to plan its development, integration and allocation. • Modularity, scalability and portability. The elements and equipment that makeup DAAMs must be able to be stored and transported in standard containers, or others specially designed specifically to optimize air transport, always considering the optimization of the means of transport to be used. The basic construction elements for the facilities can be stacked, joined, configured, or modified later, with the fewest possible limitations. • Flexibility. The elements and equipment that makeup DAAMs must be able to adapt to any need and mission that may be established and must have the elements that guarantee security for the existing risks and threats in relation to the deployment. • Agile and easy deployment and retire. DAAMs must be able to be deployed and retired by multimodal transport and in an interoperable way, with the military and civil means of transport available anywhere in the world. • Sustainability. DAAMs must be designed as sustainable systems with the aim of achieving self-sustaining energy infrastructures and primarily renewable generation, depending on the available and implementable technologies in the deployment territory, contemplating energy efficiency measures, as well as the management of water and waste treatment so that they require minimal external services. FOB infrastructures must generate a minimum environmental impact, considering in their design the need to minimize the needs for post-mission environmental recovery, with the intention of reducing costs and accelerating withdrawal. • Standardization and normalization. All the elements that makeup DAAM must be standardized and normalized so that they are interoperable and meet all the requirements and needs of the mission. It is advisable to avoid the development of ad-hoc infrastructures and the permanent adaptation of standardized infrastructures to specific tasks, which could negatively affect their subsequent retiring. • Optimization of the maintenance of aerial systems through the implementation of predictive maintenance systems. Traditional air maintenance strategies in ISS tend to be very conservative, based on preventive strategies, which imply high costs, due to the precautionary principle applied to the criteria of preventive frequency,

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and low operational availability of the fleet, due to the greater time required for all maintenance actions. The most efficient approach, specifically in deployments, is to evolve towards predictive maintenance that is based on the prognosis of failures or malfunctions of the systems. The diagnosis based on the condition (measurement of vibrations, temperature, …) is combined with complex mathematical models to predict when a part of a system might fail. The advantages over the traditional maintenance model are that this new approach will make it possible to predict possible unforeseen failures, while avoiding preventive actions that the system calculates as not necessary at that moment, with an increase in availability and efficiency [24, 25].

34.5 Conclusions First, the global security scenario has undergone a great transformation that has led to the evolution of the strategic concept of D&S towards a necessary framework of international collaboration, in which the projection of military and non-military capabilities is key, and in which the ability to deploy to distant theatres of operations in a fast, effective and efficient way, has assigned to air forces a clear leadership role. Second, the requirements of air forces support system to develop this new strategic concept of D&S and the opportunities for the application of the new logistics 4.0, require a complete organizational, cultural and strategic reinvention, applicable to the evolution of the FOBs. Third, the necessary modifications and improvements of FOBs logistics sustainability have been analysed, within the framework of the digital transformation of ISS of the deployed air units, proposing previous logistical considerations in relationship with the logistics concept of deployment of FOBs, and proposing the ideas that are considered main in terms of logistics doctrine to guide management. Fourth, to minimize the gap between planning and force generation of a deployed air operation, the use of interlocking DAAMs logistics modules, previously planned, has been proposed that allow the establishment and operation of a multinational air base deployed in the most efficient as possible, without duplication of resources, nor presence of gaps in the necessary capacities. Finally, the main design principles have been specified to plan the development of DAAMs to configure the FOBs and the deployment of air units in them: modularity, scalability and portability; flexibility; agile and easy deployment and removal; sustainability; standardization and normalization; and optimization of the maintenance of aerial systems through the implementation of predictive maintenance systems.

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References 1. Fernández-Villacañas Marín, M.A.: La Nueva Economía de la Defensa en un Nuevo Orden Mundial. Revista de Aeronáutica y Astronáutica, Ejército del Aire de España, Madrid (España) June 2017 2. Fernández-Villacañas Marín, M.A.: Reflexiones sobre la adaptación del sector industrial de defensa y seguridad de España a la Nueva Logística 4.0: La aplicación de modelos de cooperación público-privada, Revista de Economía Industrial Nº 412, Ministerio de Industria, Comercio y Turismo de España, Madrid (España), 2º Sem 2019 3. Mills, P., Leftwich, J.A., Van Abel, K., Mastbaum, J.: Estimating Air Force Deployment Requirements for Lean Force Packages: A Methodology and Decision Support Tool Prototype. RAND Corporation, Santa Monica, CA (2017) 4. Cave, G., Goodwin, W., Harrison, M., Sadiq, A., Tryfonas, T.: Design of a sustainable forward operating base. In: 6th International Conference on System of Systems Engineering, Albuquerque, NM (USA) (2011) 5. Fernández-Villacañas Marín, M.A.: The transformation of the defense and security sector to the new logistics 4.0: public–private cooperation as a necessary catalyst strategy. In: Rocha, Á., Pereira, R. (eds.) Developments and Advances in Defense and Security. Smart Innovation, Systems and Technologies, vol. 152. Springer, Berlin (2019) 6. Fernández-Villacañas Marín, M.A.: Strategies for the digital transformation for the in-service logistic support phase of the aerospace weapon systems. In: Proceedings of the 3rd International Joint Conference of Logistics by EPFAC & UMNG, Escuela de Postgrado de la Fuerza Aérea Colombiana & Universidad Militar Nueva Granada, Bogotá (Colombia), Aug 2019 7. Fernández-Villacañas Marín, M.A.: Strategies and organizational changes for the logistics sustainability of military aircraft: towards the digital transformation of in-service support. In: Rocha, Á., Paredes-Calderón, M., Guarda, T. (eds.) Developments and Advances in Defense and Security. MICRADS 2020. Smart Innovation, Systems and Technologies, vol. 181. Springer, Berlin (2020) 8. Lee, P.A.: Power Projection: A Comparison of the Aerospace Expeditionary Force and the Carrier Battle Group. Air Command and Staff College, Air University, Maxwell Air Force Base, Alabama (USA), Apr 1999 9. Mazarr, M.J.: Toward a New Theory of Power Projection, Texas National Security Review, War on the Rocks, 15 Apr 2020 10. Kamps, C.T.: Power projection: continuity and change. In: Magyar, K. P. (eds.) United States Post-Cold War Defence Interests. Palgrave Macmillan, London (2004) 11. Ejército del Aire de España: Aportación a la Fuerza Conjunta: Una herramienta polivalente que llega del cielo. EJÉRCITO DEL AIRE ESPAÑOL: OBJETIVO 2030, Perfiles IDS, Dic 2017 12. Fernández-Villacañas Marín, M.A.: Cooperación industrial público-privada para el sostenimiento profundo de las aeronaves del Ejército del Aire y la rentabilización de capacidades excedentes, 5º Congreso Español de Mantenimiento y 16º Congreso Iberoamericano, Asociación Española de Mantenimiento, Barcelona, Spain, 15–17 Nov 2011 13. US DoD Definition: Definition of the term ‘forward operating base’ per official documentation of the United States Department of Defense, militaryfactory.com. Retrieved 25th Jan 2020 14. Frosst, G.: Approaches to In-service Support (ISS), Optimized Weapon System Support (OWSS) and Single Point of Accountability (SPA). COGINT Ltd., Aerospace Review Secretariat Industry, Montreal, Canada, July 2012 15. Ramaroson, F., Torres Garcia, R., Heckel, C.: ISS Guide Issue 2: Preparation and Management of OCCAR Programs In-Service Phase. OCCAR-EA Central Office, 53175 Bonn, Germany, May 2013 16. Evtodieva, T.E., Chernova, D.V., Voitkevich, N.I., Khramtsova, E.R., Gorgodze, T.E.: Transformation of logistics organization forms under the conditions of modern economy. In: Popkova, E. G. (ed.) Contributions to Economics. Springer, Cham (2017)

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17. Navarro, M., Sabalza, X.: Reflexiones sobre la Industria 4.0 desde el caso vasco. Ekonomiaz, Revista vasca de economía nº 89, Gobierno Vasco/Eusko Jaurlaritza/Basque Government (Spain), 1º Sem 2016 18. Frede, K.D.: Logistics transformation: does industry have the answer. Air Force J. Logistics 28, 14–25, 43–44 (2004) (Unites States Air Force Management Agency, USA Spring) 19. Butler-Jones, E.: Defense Forecast: The Transformation of the In-Service Support over the Next Decade. Defense Product Line, Aviation & Defense Business Unit at IFS, Aug 2017 20. Cosidó, I., Bardají, R.L.: La transformación de las Fuerzas Armadas. GEES, Análisis nº 44, Madrid, Spain, 4th Nov 2003 21. Frazzon, E., Rodriguez, C.M., Pereira, M., Pires, M., Uhlmann, I.: Towards Supply chain management 4.0. Braz. J. Oper. Prod. Manage. 16(2) (2019) 22. Fernández-Villacañas Marín, M.A.: Retos y riesgos de la transformación digital industrial y logística en su evolución. In: III Simposio Internacional On-line de Logística y Competitividad, High Logistics Simposios, Medellín, Colombia, 12–13 Oct 2016 23. NATO: Deployable Air Activation Modules (DAAM) Definition, NATO Smart Defence Project 1.16 for the rapid generation of Multinational Implemented Operating Base (MIOB) (2014) 24. Tran, D., D˛abrowski, K., Skrzypek, K.: The Predictive Maintenance Concept in the Maintenance Department of the “Industry 4.0” Production Enterprise, Foundations of Management, 10 Dec 2018 25. Saidy, C., Valappil, S.P., Matthews, R.M., Bayoumi, A.: Development of a predictive maintenance 4.0 platform: enhancing product design and manufacturing. In: Ball, A., Gelman, L., Rao, B. (eds.) Advances in Asset Management and Condition Monitoring. Smart Innovation, Systems and Technologies, vol. 166. Springer, Cham (2020)

Part XIII

Information and Communication Technology in Education

Chapter 35

Development of a 3D User Interface for Programming a Robotic Arm Using Virtual Reality Marcela Saavedra , Morelva Saeteros , Adriana Riofrio , and Gustavo Caiza Abstract At present, there has been an increase in the use of virtual tools in different fields such as: medicine, education, agriculture and industrial security. The present paper is based on developing a graphical environment that enables to carry out the simulation of the Mitsubishi RV-2AJ robot movements by means of VR, implementing a virtual environment which combines the Visual Studio and Unity development platforms. The virtual scene was made using the software Unity and the robotic arm was designed using Autodesk Inventor Professional; the environment has a menu that enables interacting by means of the stereoscopic visualization helmet (HTC VIVE PRO) through the action of elements such as the slider and the buttons where the movements are reproduced in the virtual environment; this application involves an extensive study of the degrees of freedom and joints of the robotic arm, so that working ranges can be established together with the virtual menu, in turn, when analyzing through the homogeneous matrix, it is possible to obtain the necessary equations to establish said ranges. The project intends to be an educational innovation projection and a training guide for the student, increasing the interactivity with the functionalities of the robot in the virtual environment.

M. Saavedra (B) · M. Saeteros · A. Riofrio · G. Caiza Universidad Politécnica Salesiana, UPS, 170146 Quito, Ecuador e-mail: [email protected] M. Saeteros e-mail: [email protected] A. Riofrio e-mail: [email protected] G. Caiza e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_36

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35.1 Introduction In recent years virtual reality has become a tool that enables providing human senses with a scene of simulated reality, which is identical to the corresponding natural scene, it is an interactive, dynamic and real time simulation of a system with 3D interactive elements, which reproduce real environments and situations, high acoustic, tactile and graphical content. The user feels at an artificial environment, but perceives it as real based on sensory stimuli, and consequently virtual reality. It is a technological innovation with a broad variety of potential benefits in various fields [1]. Virtual reality enables the realistic experience of virtual environments and interactions with the virtual world and other users. This offers important advantages for the observation, debate and understanding of the simulations. The technology in virtual reality, with known benefits for training, offers alternative approaches and increases the opportunities for practicing, thus facilitating the understanding and retention of what has been experienced [2]. The use of virtual tools has a great development in entertainment, tourism and education, with the appearance of increasingly interactive VR applications, with more identification and analysis of the important effects of the avatars in the user, i.e., showing virtual hands that correctly represent real users, movement improves and that is how the experiences of the user in virtual reality, including the sense of representation and the feeling of presence, make them bigger [3]. Virtual reality provides an interactive and natural environment, i.e., it enables interacting within an unreal world to explore the design, since it allows easy generation of 3D movements through the detection of depth [4, 5]. Therefore, it is useful for evaluating the complex behavior of virtual robots and their controls inspired in the brain [6]. As robotic technology evolves, virtual reality has been used together with robotics in many fields, such as training and rehabilitation of users, where robots can help users through actions programmed or by providing them with self-motion [7]. Over the years, VR applications have expanded to other areas such as psychology, rehabilitation techniques, medical imaging and diagnosis [8]. As a consequence, different advantages and applications have arisen, such as works within an industrial environment for maintenance and assembly of equipment, and some other applications in both educational and health ambits [1]. Within the research ambit, Virtual Reality has been employed as a tool in the area of medicine for viewing and progressing toward neurobotic collaborative labs, which enable studying the human brain by means of simulations of robot bodies controlled by virtual models of the brain [9]. VR provides new possibilities for creating tools that can be used to solve problems related to industry. The training of personnel, in some cases, may be costly or risky, and therefore the use of this technology eliminates the aforementioned factors [10]. With the use of light-weight protocols, the persons may remotely control the movements of robots to avoid physical interaction with dangerous or risky places [11]. VR provides new possibilities for creating tools that enable solving problems related to industry [12], and besides it is a technology suitable to be employed

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in neurorehabilitation, since it enables integrating conventional therapy and neuroscience in motivating training approaches especially integrated in videogames, and therefore it plays an increasingly important role in understanding reality in terms of representations [13, 14]. In recent decades, various studies have shown positive results with the use of virtual reality in patients with different neurological and musculoskeletal conditions [15]. In the area of maintenance, it must be taken into account the demanding environmental, regulatory and economical requirements that applications must meet [16]. The present work develops a virtual reality application that enables creating a graphical environment in which the programming of a robotic arm can be simulated, thus implementing an environment where human interaction performs the movements of a robotic arm. The software Unity, Visual Studio and Autodesk Inventor were used in this application, while the HTC VIVE PRO virtual reality equipment was employed for interacting with the application; such equipment has external commands that enable utilizing the menu created in the environment. It is important to indicate that this application is accessible for all institutions, since students may interact with it virtually for entertainment. The paper is organized as follows: Sect. 35.3 shows the design and implementation, Sect. 35.4 shows the results, and finally Sect. 35.5 provides the conclusions.

35.2 Experimental Framework 35.2.1 Robotics VR has been used together with robotics in many fields, such as users training and rehabilitation; robots may help users through programmed actions [17]. Education is a mean for the development of a society, and hence, it is necessary to contribute to the continuous improvement of education, especially at the initial educational levels; for this purpose, a VR system with robotic assistant is proposed [18]. The use of technological elements, whether they are simulation software, are a resource that enables improving the understanding of the apprentices of knowledge [19].

35.2.2 Unity and Visual Studio Is a multiplatform engine developed by Unity, which utilizes programming languages such as: C, C++ and C Sharp. It has separate scripts with multiple libraries for graphical design [20]. For the present work, the unity software was used for the development of the virtual environment making use of tools such as sliders, 3d objects previously designed to later be exported and interaction with the HTC VIVE equipment.

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Visual Studio is an Integrated Development Environment (IDE) programmed in C++ and C Sharp of Microsoft. Tim [21] because it enables creating web applications in any environment of the .NET platform, which has a higher level language to generate the grammar to communicate with the computer [22]. In the Visual Studio environment, the animation of the robotic arm could be developed, since by means of the programming and necessary configuration of the different degrees of freedom the user can slide the sliders of the virtual environment to visualize the 3D object to the desired position.

35.2.3 HTC VIVE PRO Is a virtual reality equipment developed by HTC and Valve Corporation, which contains a helmet, controls for interaction and sensors that allow delimiting the workspace [23]. VIVE Pro offers a precise tracking of reality, ultra-vibrating colors and realistic sounds, it has a high-quality display on any VR device, thus it gives life to any of the realities. Table 35.1 shows details technical data of the HTC VIVE PRO virtual reality viewer [24].

35.3 Design The application is designed according to the following class diagram shown in Fig. 35.1, which indicates that for beginning the design a scene with different elements must be created, in order to have interaction with them; it is important to understand that the interaction is carried out by means of the VR equipment previously configured and linked to the necessary elements. The process has 4 degrees of freedom and the gripper; the degrees of freedom are the following: waist, shoulder, elbow and pitch. Figure 35.2 describes the general process for developing the application, that is, the robotic arm to work was selected and in turn the degrees of freedom (DOF) were Table 35.1 Specifications of the virtual reality viewer Element

Description

Screen

AMOLED Dual 3.5 diagonal

Resolution

1440 × 1600 pixels per eye (2280 × 1600 combined pixels)

Refresh frequency

90 Hz

Field of vision

110°

Sensors

SteamVR Tracking, G-sensor, gyroscope, proximity, Ocular comfort adjustment (interpupillary distance IPD)

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Fig. 35.1 Class diagram

Fig. 35.2 Execution process diagram—VR application

identified, after that the work area was delimited with the equipment sensors virtual reality and the environment was created in Unity using Visual Studio Community.

35.3.1 Design of the Robotic Arm The Mitsubishi RV-2AJ industrial arm, which has 4 degrees of freedom. A modeling performed in the software Inventor was utilized; the design can be seen in Fig. 35.3. Once the 3D modeling has been carried out, it is imported to the software Unity.

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Fig. 35.3 Robotic arm and configuration

Through the use of CameraRig of the prefabs (creation of reusable objects from the project resources), it may be controlled the headset and the controllers of the equipment to establish the current working position (X, Y, Z). For the modeling of the robotic arm, the following matrix was taken into account [18]: ⎛

a ⎜b A=⎜ ⎝c 0

d e f 0

g h i 0

⎞ j k⎟ ⎟ l⎠ 1

(35.1)

a = sin θ1 sin θ4 + cos θ1 cos θ5 cos(θ2 + θ3 )

(35.2)

b = cos θ1 sin θ4 + sin θ1 cos θ4 cos(θ2 + θ3 )

(35.3)

c = cos θ4 sin(θ2 + θ3 )

(35.4)

d = sin θ1 cos θ4 − cos θ1 sin θ4 cos(θ2 + θ3 )

(35.5)

e = − cos θ1 cos θ4 − sin θ1 sin θ4 cos(θ2 + θ3 )

(35.6)

f = − sin θ4 sin(θ2 + θ3 )

(35.7)

g = cos θ1 sin(θ2 + θ3 )

(35.8)

h = sin θ1 sin(θ2 + θ3 )

(35.9)

i = − cos(θ2 + θ3 )

(35.10)

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j = 250 cos θ1 [cos θ2 + 2 sin θ1 (θ2 + θ3 )]

(35.11)

k = 250 sin θ1 [cos θ2 + 2 sin θ1 (θ2 + θ3 )]

(35.12)

l = 250 sin θ2 − 72 cos(θ2 + θ3 ) + 300

(35.13)

35.3.2 Configuration of the HTC VIVE PRO Virtual Reality Equipment In order to configure the virtual reality equipment, the sensors must be placed to establish a working space with a minimum area of 2 m × 1.5 m and a maximum of 5 m, and the Visual Studio environment is employed to make all the programming necessary to interact with the created environment, i.e., the animation of the Mitsubishi RV-2AJ robot, with its commands for configuration and the VR pointer; Fig. 35.4 shows a detailed diagram of the programming used for configuring the VR equipment.

35.4 Results 35.4.1 Analysis of the Operation With respect to the verification of the learning environment for programming a robotic arm with VR, the HTC was employed; it offered the capability of performing a real time, stable and precise tracking, thus facilitating the interaction with the user. In this way, it enables visualizing the robotic arm in 3D, having the possibility of changing the position of the robot effector with the simple movement of the user arm, basing its operation in the manipulation of 3D objects that are contained within a scene, implementing its scripts to a class with attributes and methods for controlling and handling the robot. Consequently 20 tests were performed in order to establish the accuracy that the application has when interacting with the interface. The accuracy refers to the fraction of positions that were correctly identified, with respect to the total number of saved positions that were performed [25]. In order to assert that the movements translated to the real robot were as similar as possible, a joint programming test was carried out obtaining good results, because all the movements were exactly replicated by the robot; the evaluations consisted in verifying the complete execution of the program to contrast the real positions with the positions obtained with the joint program. This indicates that position programming

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Fig. 35.4 Diagram of the programming process

had a slight error, when compared to the positions of the virtual application in the coordinates (x, y, z) of the position in the Waist DOF (−90, 90, 0), which yielded a 99.9% favorable result since they were directed to the position entered. The suggested test gave some indications to evaluate various tasks; as first point, moving the robot to previously saved positions; in this way, the user may operate the real robot to further proceed with the manipulation of the virtual environment. As a second point, it was established a combination between the two aforementioned options to move it to a particular position with the purpose of verifying the execution and accuracy of response between the two environments (Fig. 35.5).

35.4.2 Analysis of the Degrees of Freedom In order to analyze the degrees of freedom, the position of the terminal element of the independent parameters should be examined, taking into account the corresponding axis of the movement for each joint; Table 35.2 includes the x, y, z axes of each degree of freedom to be configured in the slider of the virtual environment, where

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Fig. 35.5 Accuracy of the different saved positions

Table 35.2 Values of the axes per joint

DOF

X Axis

Y Axis

Z Axis

Waist

−90°

0°–360°

0°

Shoulder

0°

−90°

0°–(−90°)

Elbow

0°

0°

0°–90°

Pitch

0°–180°

90°

0°

Gripper (left)

−90°

0°

0°–35°

Gripper (right)

90°

0°

0°–35°

the values are modified for the robot to be able to move to the established final point. In other words, the defined values are the angles that are already predetermined in that axis, since if that value is modified the arm may have some incongruity, in turn the variable values correspond to the range in which the degree of freedom of the arm, this through the slider that is in the virtual environment, thus taking as reference to the DOG pitch its coordinates will be the following in x (min 0° −max 180°), y (90°) and z (0°).

35.4.3 Final Result of the VR Application As a final result of the application, an interface is available where the designed robotic arm is observed and the menu with which it is possible to interact by means of the control commands of the HTP VIVE PRO virtual reality equipment, enabling the movement of the object in 3D. Figure 35.6 shows the virtual environment with its components. Figure 35.7 shows the user interacting with the robotic arm using the commands of the virtual reality equipment, where the right command enables the interaction with the slider and buttons of the virtual environment, such that the value of the slider can be set independently in the ranges established for its movement in a logical manner, which has incidence in the use of the save button to enable storing the position of the robot in its different degrees of freedom.

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Fig. 35.6 Interaction with the objects

Fig. 35.7 Interaction of the user

35.5 Conclusions The paper presents the application of the VR technology to simulate the programming of a robotic arm, storing the positions to which it is desired to move the 3D element in virtual immersion, with the purpose of training students in the programming of robotic arms. The visual signals and the texts are provided as a guide in an interactive manner, but the benefits of a virtual and autonomous simulation enable a better learning; the proposed system may facilitate self-learning of students at their own pace, while at the same time it saves the costs of the materials. After conducting 20 tests regarding the waist part of the robotic arm it is obtained a favorable percentage of 99.9% in accuracy, having minimum errors which are due to different factors, with the most relevant being the time that takes the connection between the computer and the virtual reality equipment. However, given these percentages it may be concluded that the application enables saving the positions in an exact and precise manner, i.e., the positions saved have almost no mismatch since it is a virtual environment where the user feels in an artificial environment but perceives it as real. When a robotic arm with different joints is placed, it is required to study and establish the different degrees of freedom that will enable an independent movement of the joints; in this case it may be visualized that after the degrees of freedom are detected it is possible to establish the working ranges per axis, because

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moving an axis that does not correspond will cause a problem in the arm, since it will be an illogical movement of it.

References 1. Sev-tsxv, S.M.: V Irtual R Eality: a V Irtual G Oldmine for, no. 416 (2014) 2. Choi, K.S.: Virtual reality wound care training for clinical nursing education: an initial user study. In: 26th IEEE Conference on Virtual Reality and 3D User Interfaces, VR 2019—Proceedings, pp. 882–883 (2019) 3. Ogawa, N., Narumi, T., Hirose, M.: Virtual hand realism affects object size perception in body-based scaling. In: 26th IEEE Conference on Virtual Reality and 3D User Interfaces, VR 2019—Proceedings, pp. 519–528 (2019) 4. Heidari, O., Perez-Gracia, A.: Virtual reality synthesis of robotic systems for human upperlimb and hand tasks. In: 26th IEEE Conference on Virtual Reality and 3D User Interfaces, VR 2019—Proceedings, pp. 966–967 (2019) 5. Eleni, F.V.S.: Virtual-Gym: A Virtual Reality Platform for Personalized Exergames, pp. 920– 921 (2019) 6. Matthes, C., et al.: The collaborative virtual reality neurorobotics lab. In: 26th IEEE Conference on Virtual Reality and 3D User Interfaces, VR 2019—Proceedings, pp. 1671–1674 (2019) 7. Mcneely, W.A.: Robotic Graphics: A New Approach to Force Feedback for Virtual Reality William (2015) 8. Fuior, M.I.R., Luca, C., Andri¸toi, D., Corciov˘a, C.: The application of virtual reality technology in rehabilitation. In: XIth International Symposium on Advanced Topics in Electrical Engineering, no. 416 (2019) 9. Vujisic-Tesic, B.: Improvement of Occupational Safety Systems by the Application of Augmented Reality Technologies, vol. 23 (2015) 10. Cervera, N., Grandon, N., Rivera, M., Besoain, F.: Improving the selection of IQF raspberries in processing lines: a virtual reality approach for training and selecting personnel. In: 2018 IEEE Biennial Congress of Argentina, ARGENCON 2018, pp. 1–7 (2019) 11. Caiza, G., Garcia, C.A., Naranjo, J.E., Garcia, M.V.: Flexible robotic teleoperation architecture for intelligent oil fields. Heliyon 6(4), e03833 (2020) 12. Chamba-Eras, L., Aguilar, J.: Augmented reality in a smart classroom—case study: SaCI. Rev. Iberoam. Tecnol. del Aprendiz. 12(4), 165–172 (2017) 13. León-Ruiz, M., Pérez-Nieves, M.T., Arce-Arce, S., Benito-León, J., Ezpeleta-Echávarri, D.: Current evidence on virtual reality and its potential usefulness in post-stroke neurorehabilitation. Rev. Neurol. 69(12), 497–506 (2019) 14. Carrasco, S., Ligorred, A.R., Mur, V.M.: Implications of virtual reality in the perceptual processes for visual and manual arts, p. 5639 (2020) 15. Zavala, H., Martínez, J., Gutiérrez, D.: Effects of virtual reality added to physiotherapy training in patients with total knee arthroplasty, pp. 322–328 (2019) 16. Molina, J.C., Chiliquinga, G.: Aplicación de realidad aumentada para visualizar varibles en procesos industriales (2020) 17. Freund, E., Rossmann, J.: Protective virtual reality: bridging the gap between virtual reality and robotics. IEEE Trans. Robot. Autom. 15(3), 411–422 (2014) 18. Constante, P., Chimbo, C., Jiménez, V., Gordón, A.: Augmented reality with robotic assistant for improvement of learning in primary school children. RISTI Rev. Iber. Sist. Tecnol. Inf. 2019(E20), 566–577 (2019) 19. Garcia, C.A., Caiza, G., Naranjo, J.E., Ortiz, A., Garcia, M.V.: An approach of training virtual environment for teaching electro-pneumatic systems. IFAC-PapersOnLine 52(9), 318–323 (2019)

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20. Martín-Maldonado Jiménez, D., Ferrandis, J.S.: Desarrollo y edición de juegos serios con Unity y E-Adventure (2017) 21. Tim, P.: Programación con Visual Basic 2008. Program. Con Vis. Basic, pp. 33–34 (2008) 22. Marín, J.L.M., Antonio, G.: Solución integral para pc, tablet y smartphone dirigida a la gestión y lectura de libros electrónicos implementado en C # y XAML. DIRECTOR: Autor, p. 17 (2015) 23. Van de Kerckhove, E.: HTC Vive Tutorial for Unity (2019) [Online]. Available: https://www. raywenderlich.com/9189-htc-vive-tutorial-for-unity 24. HTC Corporation: VIVE [Online]. Available: https://www.vive.com/mx/product/vive-pro/ 25. Hoque, S.M.A., Haq, M.S., Hasanuzzaman, M.: Computer vision based gesture recognition for desktop object manipulation. In: 2018 International Conference on Innovative Engineering Technology, ICIET 2018, pp. 27–29 (2019)

Chapter 36

Augmented Reality for Learning Sign Language Using Kinect Tool Karen Baldeon , William Oñate , and Gustavo Caiza

Abstract The use of Augmented Reality (AR) has increased markedly as an educational tool due to the implementation of smart devices (PCs, smartphones or tablets), that complement the interaction with the real world, allowing a better perception of the environment for people with hearing impairment by the additional information it generates. This article focuses on developing a low-cost functional application that is interactive and easy to manipulate for people with hearing disabilities or people who work or socialize with them, with the aim of facilitating the process of learning sign language. The implementation was carried out using Augmented Reality along with the Kinect V2 device, due to the fidelity of the depth camera and RGB camera, which enable the design of the learning and evaluation process using Unity software. Finally, the results obtained by carrying out the experimental method and performing the application’s operational tests for prototype validation are presented, achieving a gesture recognition accuracy of 90%. In this way, a reinforcement and complement is allowed in the learning of Ecuadorian sign language in an interactive way, providing an improvement in the quality of life of people with hearing impairment.

36.1 Introduction Approximately 5% of the world’s population (466 million people) suffer from hearing loss. It is estimated that by 2050 more than 900 million people will have any hearing impairment [1]. According to the National Council for Equality of Disabilities (CONADIS), by 2019 approximately 67,929, i.e., 14% of Ecuador’s population, K. Baldeon (B) · W. Oñate · G. Caiza Universidad Politécnica Salesiana, UPS, 170146 Quito, Ecuador e-mail: [email protected] W. Oñate e-mail: [email protected] G. Caiza e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_37

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has a hearing disability [2]. People with a disability face various problem in their daily lives, because they are mostly excluded from society due to their communication Sign Language is the only language used by people with hearing impairments to learn to read and write, i.e., it is their own natural language to communicate with society [3, 4]. It is worth mentioning that sign language evolves constantly, because it is adapted to the lexical needs of people with disabling hearing [5]. These people use sign language as a simple way of communication between themselves and the rest of the world, but the individuals in their environment do not know it in its entirety, resulting in a lack of communication and isolation [6]. An issue arises in the various applications that implement cameras or Augmented Reality techniques, because the results can be largely influenced by environmental conditions, such as lighting and the colors of objects in the scene [7]. However, the implementation of new technologies makes it easier and improves the learning of sign language, for example, the development of some functional prototypes, whose main objective is to have different approaches to detect and recognize gestural patterns, using various devices and sensors [8]. The prototype is an easy-to-manipulate learning system intended to implement the use of the Microsoft Kinect V2 device, which integrates a large number of sensors that allow the detection of the user’s body movement [9]. It also has a RGB camera and an infrared camera which provide a three-dimensional motion capture, thus allowing the evaluation for the recognition of sign language patterns [10]. This research proposes an innovative prototype of Ecuadorian sign language learning to improve reading, writing and communication for people with disabilities and their social circle. By using this prototype, users can use updated alternatives to teach and learn sign language. The present work developed a didactic and easy-to-use application based on Augmented Reality, which allows the learning of Ecuadorian sign language in an interactive way to complement the learning and user experience. This application consists of two stages: the learning stage where Augmented Reality is applied with the help of Unity software and Vuforia SDK, and the evaluation stage using the Kinect V2 SDK and Visual Gesture Builder for sign language pattern recognition. Finally, the application’s performance tests are conducted for prototype validation. The article is organized as follows: Sect. 36.2 describes the basic concepts used for the creation of the functional prototype, Sect. 36.3 shows the stages and the design developed, Sect. 36.4 indicates the evaluation of the proposed learning system and validation of the results, and Sect. 36.5 presents the conclusions on the work.

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36.2 Methodological Framework 36.2.1 Sign Language Sign language is the first language of people with hearing loss and is considered their mother tongue, with gesture generation and perception capabilities. Like spoken languages, each country has its own linguistic structure [11]. In the case of Ecuadorian sign language and on the basis of the National Constitution, from 2008 sign language is recognized as the natural language of deaf people [12].

36.2.2 Augmented Reality Augmented Reality is a technology that provides a combination of perception and interaction with the physical world, thus allowing the user to increase his/her relationship with the real environment through the additional information acquired by different technological supports [14]. AR technology comes in three different forms [15]: • Augmented Reality Management in a Traditional Computer: A camera is integrated into the computer to digitize the captured image, which is subsequently added to a software that selects specific data from a database in real time. • Augmented Reality Management on Laptop: In the case of advanced mobile devices, cameras are incorporated to capture mobile images in order to reproduce the effect of Augmented Reality. • Augmented Reality Management with Specific Equipment: Specific devices are presented to capture and visualize the environment through a lens, showing other graphic information such as special glasses.

36.2.3 Microsoft Kinect Microsoft Kinect V2 sensor, created in 2014, is a low-cost device that allows to track three-dimensional anatomical motion through a combination of a high-resolution color camera with 1920 × 1080 pixels and an IR sensor that emits rays with a wavelength of 850 nm [16, 17]. Kinect V2 serves as an input device to capture measured depth information based on time of flight (ToF), which serves for merging 3D data, tracking the body and other applications [18–20].

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36.2.4 Blender It is a free open-source software that allows the design and creation of threedimensional graphics. It has capabilities of modeling, lighting, animation and 3D rendering, thus allowing to perform the following functions [21, 22]: Animation and manipulation of objects, sculpted materials and textures, lighting and rendering of animation objects and rigging and character animation.

36.2.5 Vuforia Development Vuforia is a platform that allows users to create 3D images and texts. It provides tracking of numerous types of objectives such as: flat images, three-dimensional objects, geolocation, no markers, online and offline recognition objectives, thus providing a wide range of multimedia resources for the design and construction of different applications with Augmented Reality [23]. The functions presented by Vuforia are: object recognition, image recognition and star-object rating [24, 25].

36.2.6 Unity Unity is a real-time 3D cross-platform engine created by Unity Technologies that allows to create scenes that support lighting, textures and cameras. Unity apps are compatible with Windows, Mac OS X, iOS, Android, Wii, PlayStation, Xbox360, Nintendo [26]. The Unity 3D platform uses the C, C++ and C Sharp, programming language, which are supported by Microsoft; it also allows the Vuforia SDK plugin to develop apps and games of Augmented Reality [27, 28].

36.3 Design The goal of the case study is to develop a functional application that is interactive and accessible for learning sign language. The user will have a system divided into two stages: The diagram of the overall application process is described in Fig. 36.1, where the computer manages the learning system by obtaining data sent by the user through the sensor. Different tools are available for the operation of the application: Blender allows the design and modeling of the 3D hand; Visual Gesture Builder where gesture detection is performed using the Kinect V2 sensor by creating a database for the evaluation stage; Unity where the graphical environment of the application is developed; Visual Studio Community allows the programming of different scripts in the

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Fig. 36.1 General process diagram of the application of sign language learning system

C# language to create multiple functions or animations; Vuforia development which facilitates the recognition and qualification of objects to perform Augmented Reality.

36.3.1 3D Hand in Blender In this case the Blender software was used for 3D hand design and modeling, as shown in Fig. 36.2. At the end of the creation of the 3D, rigging is done, which consists on creating a system of bones for the 3D hand, in order to move and gesticulate the joints of the hand to perform all the letters of the Ecuadorian sign language. Fig. 36.2 3D hand-blender

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Fig. 36.3 Diagram of the database process—VGB

36.3.2 Database in Visual Gesture Builder The Visual Gesture Builder platform was used for creating the database, which enables gesture detection. Figure 36.3 describes the general process for creating the database in VGB. Using the main functions of Microsoft Kinect V2 sensor SDK, depth data and the image of the sensor’s RGB camera are received, this results in clip recording by verifying that the view hand status option is active. The gesture recognizer is trained by using the Visual Gesture Builder software, taking into account that to get the hand state data the parameters of using the hands and ignoring the lower body must be configured. When creating the database, it is observed that there are false positives and false negatives, so clips should be added with the gestures that are not interested to be recognized, and when the database is set it must be linked to Unity to compare it to the real-time image at run time.

36.3.3 Design and Development of the Prototype in Unity In this case after adding two Kinect device plugins, gesture recognition and the one with all the capabilities of the Kinect V2 SDK, the respective settings are made to link and test the sensor on the Unity 3D platform, in which the different scenes are created for the development of the application. The main scene has an interactive menu added to a panel (canvas) that has a cursor managed by Microsoft Kinect V2 sensor, which allows to press the four buttons whose function is to change scenes programmatically. The scenes of the application are indicated below: 1. 2.

Letters: In this scene, all the letters of the Ecuadorian sign language are performed with Augmented Reality and Vuforia as indicated in Fig. 36.4. Evaluation: The evaluation stage of the learning system is performed in this scene by linking the database created in VGB (Visual Gesture Builder) with

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Fig. 36.4 Letter scene-Augmented Reality

Unity, i.e., a real-time comparison with the VGB database is performed by the Kinect V2 sensor camera to analyze sign language pattern recognition.

36.4 Results 36.4.1 Learning Stage and Augmented Reality To perform Augmented Reality, the analysis of the images that will be processed by Vuforia is done, in which the star-object rating must be taken into account. For this reason, letters with details were used to obtain 4 or 5 stars of qualification and have better results and optimal detection of the image. Figure 36.5 presents the result of Augmented Reality involving the RGB camera of the Microsoft Kinect V2 sensor that detects the processed Image of Vuforia, compares it in real time and then shows the 3D modeling done in Blender. In this way, the user is taught the form of the hand that represents each letter of the alphabet in the Ecuadorian sign language.

36.4.2 Evaluation Stage The database is created by using Visual Gesture Builder. At first, it was decided to create a general base of all letters, but there was too much interference in the gesture detection and also there was sensor depth noise, so it is decided to have a database for each letter. The final result of the evaluation stage is represented in Fig. 36.6, whenever the

454 Fig. 36.5 Result of Augmented Reality of the letter A and L

Fig. 36.6 Result of the evaluation stage by signaling letter A and F

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Fig. 36.7 Accuracy for gesture recognition

gesture recognition analysis is sent assertively to the user using Unity 3D UI elements; otherwise, the camera will continue to be compared in real time with the database until the user performs the correct signal.

36.4.3 Analysis of Gesture Recognition The system was tested by making the sign 20 times at the evaluation stage, with the aim of calculating the accuracy of gesture recognition using Eq. (36.1) [29]. Accuracy =

No of Gesture Correctly Recognized ∗ 100 Total Number of Gesture

(36.1)

The value of accuracy is the one that controls how accurate the results of sign recognition are, and this depends on the training time of the recognizer and it is the relationship between the gestures correctly recognized with the total gestures performed. Figure 36.7 presents the accuracy values that were obtained during testing. The results obtained through sign recognition analysis were significant since eighteen gestures out of twenty were recognized correctly; in this way, an accuracy value of 90% was obtained. The difference relies during signaling, i.e., when the user must correctly place the position of the fingers, otherwise it may turn out as a false positive as occurred during the experimental process. In general, an average accuracy of 0.9 was obtained, which is a significant value for a reliable detection at the time of signaling during the evaluation stage; the latter demonstrates the decrease of false positives, thus having optimal sign recognition.

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36.5 Conclusions The functional prototype of Ecuadorian sign language learning system with the use of the Microsoft Kinect V2 sensor turns out to be a support and inclusion application for people with hearing impairment and their social circle, providing interactive learning experiences based on the use of new technologies such as Augmented Reality. The database made in VGB can be a useful tool as it provides hand gesture recognition based on information obtained by the Kinect V2 sensor. However, an important limitation occurred, i.e., there were too many false positives when training the recognizer because of the interference and the noise. At the moment of solving the problem by increasing the training clips and applying the filter (Filter Results) on each frame for the AdaBoostTrigger gesture type, an accuracy value of 90% was obtained, which indicates the reliability of gesture recognition. This value is affected due to the false positives that were obtained when performing the tests.

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13. Guante traductor de lengua de señas | Psicología—Neuropsicología [Online]. Available: http:// bancodeideas.gob.ec/proyecto/view?data=aWQ9NjU1MA%3D%3D. Accessed: 03 Aug 2020 14. Basogain, X., Olabe, M., Espinosa, K., Olabe, C.R.J.C.: Realidad Aumentada en la Educación: una tecnología emergente. Semana 5, 12–15 (2010) 15. Aplicaciones de los dispositivos móviles augmented reality, an evolution of the application (2012) 16. Silverstein, E., Snyder, M.: Comparative analysis of respiratory motion tracking using Microsoft Kinect v2 sensor, no. February, pp. 193–204 (2018) 17. Liu, T., Li, L., Zhang, X.: Real-Time 3D Virtual Dressing Based on Users’ Skeletons, no. Icsai, pp. 1378–1382 (2017) 18. Yang, L., Zhang, L., Dong, H., Alelaiwi, A., El Saddik, A.: Evaluating and improving the depth accuracy of kinect for Windows v2. IEEE Sens. J. 15(8), 4275–4285 (2015) 19. Tokuoka, M., et al.: Development of Gesture Recognition Sub-system for BELONG Increasing the Sense of Immersion for Dinosaurian Environment Learning, vol. 1, no. Csedu, pp. 493–498 (2017) 20. Visual Gesture Builder (VGB)—TheWindowsUpdate.com [Online]. Available: http://thewin dowsupdate.com/2017/05/04/visual-gesture-builder-vgb/. Accessed: 30 July 2020 21. Morelli, R.D.: Modelado paramétrico 3d, render y animación con software libre: interacción freecad + blender (2015) 22. Ma, L., Sacks, R., Kattel, U., Bloch, T.: 3D object classification using geometric features and pairwise relationships. Comput. Civ. Infrastruct. Eng. 33(2), 152–164 (2018) 23. Bos, A., Kuhn, I., Luigi, R., Guarese, M.: Educational Technology and Its Contributions in Students’ Focus and Attention Regarding Augmented Reality Environments and the Use of Sensors, no. June 2019 (2020) 24. Garcia, C.A., Caiza, G., Naranjo, J.E., Ortiz, A., Garcia, M.V.: An approach of training virtual environment for teaching electro-pneumatic systems. IFAC-PapersOnLine 52(9), 318–323 (2019) 25. Tierra, C., Fernanda, G., Andrade, M., Carlos, J.: Aplicación de Realidad Aumentada para visualizar variables en Procesos Industriales 26. De Creación, M., Ouazzani, I., Peralta Donate, J.: Manual De Creación D Videojuego Con Unity Universidad Carlos Iii Manual De Creación De Videojuego Con Unity 3D (2016) 27. Koca, B.A.: Augmented Reality Application for Preschool Children with Unity 3D Platform, pp. 19–22 (2019) 28. VisualStudio: Visual Studio para PC y Mac (2019)

Chapter 37

Virtual Education: University Students’ Experiences in the Time of Covid-19 Margoth Luliana Berrio-Quispe , Dina Emeteria Chavez-Bellido, and Romel Ramón González-Díaz

Abstract The purpose of this study is to unveil the significant experiences about e-learning that students at a private university in Lima had. The information was collected through a virtual forum with the participation of 43 students from the first cycle of university education and according to the inclusion and exclusion criteria, 10 students were selected as the unit of analysis. An interpretative hermeneutic analysis was also carried out using Atlasti.8 as a tool. The main findings refer to making teaching processes more dynamic and flexible, incorporating collaborative virtual learning strategies, creating new synchronous and asynchronous working conditions, in accordance with the existing situation through distance classes via Covid-19.

37.1 Introduction Given the COVID-19 pandemic, education systems have made substantial modifications to their technological infrastructures to enable them to remain in the education market [1, 2]. To this end, Latin American universities, and consequently in Peru, were forced to suspend their face-to-face activities and resort to virtual education to address this social-educational crisis [3]. Before this health crisis, there were 8% of higher education institutions that taught virtual classes using social networks and not digital platforms [4]. This transition from the presidential to the virtual has been a drastic and radical process. At the beginning, universities responded with gradual responsibility in the technological-academic aspect [5]. In the meantime, some technical specialties, due to their nature, made the transition to virtual difficult, which led to an interruption in on-site training in the face of this educational limitation. This situation becomes more M. L. Berrio-Quispe · D. E. Chavez-Bellido Universidad Ricardo Palma, Lima 15037, Peru R. R. González-Díaz (B) Centro Internacional de Investigación y Desarrollo—CIID, 230001 Montería, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_38

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acute when describing the vulnerable sectors in rural areas where there are serious connectivity problems (internet) and some areas do not have electricity [6–8]. Although the youth of this millennium are more familiar with technology, it has been for the Peruvian educational system to abruptly convert its face-to-face classes into virtual ones [1]. The main cause of resistance to change is represented by the lack of technological equipment and accessories necessary for synchronous educational connections. As a result, a decrease in university enrollment was observed, which set off alarm bells in political and social organizations in the region, which publicly express the need to define public policies to reduce school dropout rates and promote the active participation of the academic community in the progress of Peruvian society and guarantee a generation of relief for regional economic development. And the second cause was the lack of knowledge about the management of the platforms of both teachers and students, which initially limited the virtual classes. Peruvian university students in times of social isolation are adapting to this new modality of virtual classes. Some have assumed it with responsibility and good disposition, others have joined it with a certain fear and others have preferred to wait for “normality”. But, really, today the normality is the virtual one. Due to this circumstance, educational institutions at all levels are adapting, updating and improving in terms of technology, equipment and training for their teaching and learning staff [9]. Social isolation due to the pandemic caused an emotional earthquake in the world’s population, unprepared for resources to undertake other forms of family, work, and social coexistence. The university, a subject of study, was not exempt from this shock. Both its authorities, administrative staff, teachers and students adapted to the changes needed to move towards this new modality, the virtuality in all the steps: administrative and pedagogical. Therefore, this study is oriented to reveal how the students’ experience has been in the process of their learning in the virtual classroom. It is considered necessary to deepen this topic under the approach of qualitative research, using a forum among students of initiation course to their university studies. It is urgent to recognize their experiences and academic, physical, emotional or technological weaknesses that are immersed in the teaching–learning process. This allowed to deepen the practical process of learning of the students during the synchronous and asynchronous virtual classes in a frame of space and time, the concerns, emotions, resources and limitations are necessary elements to unveil because not all have the same process of adaptation or academic performance, since there are diverse factors that influence their academic and human development.

37.1.1 Learning in the Virtual World The characteristics of non-attendance teaching necessarily lead to the non-existence of physical class. This requires a methodology that has to change the way teachers traditionally teach and students learn. There are different formulas of non-attendance teaching, but invariably studying at a distance implies effort and constancy. It is necessary, therefore, a methodology that facilitates it, a methodology adapted to the

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growing and changing needs of some social sectors that want to access the university and that present very different characteristics of age, place of residence and personal situation. It is an education that requires an open and flexible methodology and that, at the same time, gives a quality university education and tools for continuous training. In this way it allows to cover a much wider range of students and objectives. It is necessary to consider the fact that it is not necessary to coincide in space or time to develop a personal learning process that allows those who follow it to achieve the objectives they have set. The advantages of this system are obvious: overcoming problems of displacement, caused by distance or by some physical limitation; fulfilling the desire of many adults to start or resume studies at the university level; and the possibility of continuing studies despite working hours, including those of continuous training. Traditionally, above all in face-to-face teaching, the emphasis has been on content, its transmission and reception. This means that the teacher unquestionably sets the pace through the classes. It is he who is in charge of generating and collecting this content—by way of research— which he will later transmit and disseminate and, in the end, evaluate the reception. But times have changed and a new, more open methodological concept is needed, which offers the student the tools to build his own teaching–learning process. That takes more into account the student as a recipient and elaborator of this content and, therefore, makes him/her the protagonist of the acquisition of knowledge. The transmitter of information has to become a facilitator in the process. Thus, the technique, teaching, research and management will be instruments at the service of the formation of students and not ends in themselves. The profile of the student who opts for a non face-to-face teaching can vary a lot. The diversity of age, time available, academic background and geographical origin will undoubtedly mark the methodology to be followed. The different student profiles will coincide with different learning styles. In any case, it is the student who decides. All this leads to a methodology focused on the student, because it is he who will set his own learning pace. In the nonattendance university system, the learning process should be planned in advance in a more evident way, if possible, than in the attendance. The difficulties in which the student can find himself should be foreseen and elements should be available to him to facilitate, at every moment, the way to overcome them. This leads us to develop a globalizing approach to the subjects of study that is posed from the perspective of constant interrelationship. From this perspective it is much more feasible to share strategies between subjects and even between specialties. In addition, it ensures a greater connection between the contents of the different subjects. The adjusted pace of the contents in each subject will require a global design of specialization to ensure adequate intra- and inter-subject coherence. This type of approach favors the learning of diverse contents, it does not accept to develop only concepts to memorize, but it watches over working what trains the student as a professional in the sense of knowing how to do and knowing how to be, it does not only focus on knowledge. All this process helps the student to acquire a progressive autonomy and to assimilate the basic strategies of study (capacity to contrast, analyze, synthesize).

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Fig. 37.1 Qualitative-naturalistic research route

37.2 Materials and Methods The purpose of this study was to unveil the experiences with virtual learning that the students of a private university in Lima had. The information was collected through a virtual forum with the participation of 43 students from the first cycle of university education (unit of analysis). The procedure for analyzing and interpreting the information is defined in Fig. 37.1. It was also assumed as a paradigm of naturalistic research and the hermeneutic method was applied to the interpretation of the forum. Subsequent paragraphs, however, are indented. Figure 37.1 shows the detail of the procedure to develop qualitative research from the naturalistic paradigm, initially we used the definition of the problem question, which was applied to 3 students included in the unit of analysis [10]. From there emerged the guiding categories that guide the hermeneutic-interpretative process, where according to the researchers’ expertise they codify the different written discourses and their relationship with the guiding categories. Afterwards, the hermeneutic analysis is carried out using the construction of semantic networks to visualize the network of codes, the code-document co-occurrence and the SDI are calculated. All this generates the conditions for the relativization of the information in the interpretation of the data.

37.3 Results Once the experiences of the students in the forum were collected, they were subjected to a hermeneutic interpretative analysis under the analysis of semantic networks and code-document co-occurrence, with the purpose of determining the emerging categories that respond to the objective of this study. The semantic network of codes derived from the forum of university students from the first cycle of a private university in Lima was initiated based on three guiding categories: teaching competence, perception of learning, and information

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technology. From this, the emerging categories with the highest level of rooting and density emerged: adaptation to virtuality, good experiences, teaching accompaniment, significant learning, connection problems and social limitation, highlighted in red in Fig. 37.2. It is worth noting the emergence of other ordinary categories that are not very representative, such as: stress and anxiety, open to change, limited communication, didactic resources and technological teaching competence. As can be seen, the semantic network is hierarchical by nature and naturally makes visible an order between emerging and ordinary categories. In addition, this network graphically constructs the meanings of the reality revealed by the students. In order to deepen the significant findings revealed in the forum of the first cycle of a university in Lima. In Fig. 37.3, we can see the percentage participation of the codes in the totality of the discourse of the students participating in the forum. The students’ forum reveals that 20.13% of the students’ discourse coincide with the need and willingness to adapt to virtuality, 13.64% perceive the virtual classes as good experiences on the part of the students, 11.69% of the teachers’ accompaniment

Fig. 37.2 Semantic network of codes derived from the forum of the first cycle of the private university of Lima, Peru

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. . . . . . . . . . . . .

Fig. 37.3 Cooccurrence code-speech of the forum of the first cycle of a university in Lima

has been decisive through their empathy and commitment to their students, 11.69% mention that in the development of the virtual activities they have built significant learning. However, 10.39% of the students showed connection problems (internet), as well as 9.09% problems with electronic devices, which limits access to educational content and platforms. Likewise, it stands out in 8.44% of the students’ discourse that they feel somewhat uncomfortable because they have a social limitation due to the fact that the university is a space for social exchange. It is also worth mentioning that other ordinary categories with less significance were presented, such as 5.84% of the discourse shows stress and anxiety about the transition from face-to-face to virtual classes, in a way that is marked by emotions of uncertainty and ignorance of the new model of classes and life [11].

37.4 Discussion of Results Although students handle a large percentage of current technology, a low level of knowledge was revealed in the use of office, a basic tool that they had to use as a resource to write their papers. This limitation was overcome with the support of the teacher and their colleagues, in some cases. As for the good experiences lived by the students in classes, it was not easy, at the beginning, due to the novelty of virtuality, because he was seized by the uncertainty of the new type of the teaching–learning process; however, he was able to adapt to this new academic life, thanks to the effort of this and his teacher [12, 13].

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With respect to the teaching accompaniment, this practice took two forms: synchronous and asynchronous (platform, phone calls, WhatsApp and emails), during the teaching–learning process, and despite this there were students who failed some subjects. This shows that despite the effort made by both the teacher and the student, not all of their needs were met [14–16]. The significant learning of the student was achieved in its majority thanks to several factors: the effort of the student to learn, the effort of the teacher to create didactic- empathic classes in the virtual world and the accompaniment of his or her classmates during the classes and outside of them. Technology in education is very good, but it also allows the student to relax and make the mistake of plagiarizing during exams because of the ease of capturing information from web pages and communication between peers during the evaluation process [17]. The virtual classes revealed that most of the students did not have internet access and if they did, it was of low resolution, neither did they have access to technological equipment and accessories to receive the classes. Most of them received classes through their cell phones, so the participation of some of them was lower compared to those who did have the equipment. This is a sample of the economic level of the students belonging to a private university in Lima. The limitation of interpersonal relationships has been a vital shortcoming in the lives of the students who wanted to share experiences with their friends in a face-toface way and could not do so virtually as they would have liked; however, they did get to know each other via camera and to work in groups, thanks to which the bonds of friendship were strengthened [18–20]. The same happened with the experience of the teacher and students.

References 1. Tosso, M.P., Sáinz, M.S., Casado, C.M.: Educational inequalities derived from COVID-19 from a feminist perspective. Analysis of the discourse of Madrid education professionals. Rev. Int. Educ. Justicia Soc. 9(3), 157–180 (2020) 2. Alarcón Meza, E.I., Hall-López, J. A.: Physical activity in university student athletes, prior and in confinement due to pandemic associated with COVID-19. Retos 39, 572–575 (2021) 3. Paredes-Chacín, A.J., Inciarte González, A., Walles-Peñaloza, D.: Higher education and research in Latin America: transition to the use of digital technologies by Covid-19. Rev. Cienc. Soc. 26(3), 98–117 (2020) 4. Iglesias, E., González-Patiño, J., Lalueza, J.L., Esteban-Guitart, M.: A manifest in a time of pandemic: for a communitarian, sustainable, intergenerational and critical education. Rev. Int. Educ. Justicia Soc. 9(3), 181–198 (2020) 5. Hernández, J., Torres Ardila, D., Camargo, E.. Digital era in times of pandemic: education, color, knowledge and communication. Utopia y Praxis La tinoamericana 25(Extra 8), 216–230 (2020) 6. Ignacio, P. E., Joel, A. V., Olga, M. M., Cesar, C. B., Javier, S. R., Darwin, A. Q., Alejandro, B. F., Andrés, M. F.: Small rural operators techno-economic analysis to bring mobile services to isolated communities: the case of Peru Amazon rainforest. Telecommun. Policy 44(10) (2020) 7. Jiménez-Quintero, A.M.: The role of economic development: policy options for increased peasant participation in Peru and Bolivia. Systematization of significant pedagogical practices

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Chapter 38

StarsCTF: A Capture the Flag Experiment to Hack Player Types and Flow Experience Divina Vitorino , Ig Ibert Bittencourt , and Geiser Chalco

Abstract A cybersecurity professional is expected to have a range of skills and abilities to have a good performance. Gamification has become a powerful ally to increase the engagement of professionals and students. In this study, we present StarsCTF, a Capture the Flag experiment designed to assess player types and their levels of engagement. In a paired experiment, the individual Jeopardy format (called Open World) was used, and a new game mode was developed, including new game elements (called DMC). Our results show that the Achievement and Immersion profiles were the most positively impacted due to the presence of game elements that favored these profiles. Open World mode performed better than DMC, possibly the freedom to solve challenges in a random order is an important factor in the progression of the competition.

38.1 Introduction According to research conducted by the Information Systems Audit and Control Association (ISACA), IT knowledge, and hard skills (30%) are the second biggest gap for cybersecurity professionals. The estimated time to fill an open position is between three and six months. On the other hand, the same survey also found that the level of confidence in preparing students at universities for real problems is low (46%). Despite this, 64% of Latin companies require a university degree to fill an entry-level position [1]. In Brazil, the dropout rate on high degree courses in Information Security in 2018 was 36.6% [2]. D. Vitorino (B) Universidade de São Paulo, São Carlos, SP 13566-590, Brazil e-mail: [email protected] I. I. Bittencourt · G. Chalco Universidade Federal de Alagoas, Maceió, AL 57072-900, Brazil e-mail: [email protected] G. Chalco e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_39

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The use of gamification in cybersecurity enables the training of practical skills in a safe environment, developed for learning and which allows trial and fail. This learning method, called Challenge-Based Learning, allows the participant to propose solutions to a presented problem, thus encouraging the development of soft skills, such as the ability to solve problems. As it is a complementary activity, there is (in most cases) a pedagogical schedule to be followed, allowing the approach of several subjects, going beyond the content studied. In this scenario, the teacher has more of a tutor role, intending to help the participant to reach the goal [3]. In this paper, we analyzed the impact of Capture the Flag (CTF) on participant engagement. This study aimed to assess how each player type is impacted by the experience by analyzing their levels of engagement using the Flow experience and Player type assessment as a metric. The flow experience helps to understand how engaged the participant was in the activity and whether it was enjoyable and memorable [4]. This paper is organized as follows: in Sect. 38.2, a background with the History of Capture the Flag and its definition. Also, the works related to gamification, cybersecurity, and flow. Section 38.3 presents the definition of Gamification and Flow Theory. Section 38.4 contains the methodology and execution of the experiment. Section 38.5 presents the analysis, interpretation of the results, and limitations of the study. In part 5, the Conclusion and Future Works.

38.2 Background 38.2.1 History of Brazilian Capture the Flag Brazil has events considered traditional in the area, such as: (i) H2HC—Hackers to Hackers Conference: the oldest conference, the first edition occurred in 2004, Brasilia, DF, and the CTF competition was opened to the general public through a server connection. Created by Rodrigo Branco and Filipe Balestra, H2HC is the oldest Brazilian Hacker Conference. The event occurs annually in São Paulo and has technical lectures from intermediate to advanced level. According to the organizers, the main objective of promoting the CTF competition is to encourage the community to collaborate and evolve productively. This is so important that the challenges are developed by volunteers (verbal contribution). (ii) BSides: São Paulo edition was created by Alberto Fabiano (in memoriam), Anchises Moraes, Ranieri Romera, and Thiago Bordini. The first one occurred in 2011 and it is a place to share knowledge between the community. It has a 24-h CTF that starts on the day before the main event. (iii) Cryptorave: is organized annually using crowdfunding. The first edition occurred in 2014 and both the event and CTF lasted 24 h. (iv) Hackaflag (Roadsec): the first CTF was a local competition and occurred in 2014. Since 2017 it has an online phase in addition to the traditional local model. Roadsec was idealized by Anderson Ramos and is a traveling event that occurs annually in several cities of

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Brazil. In each city, there is a competition, and all the winners go to the finals in Sao Paulo, where the winner of the year is known (verbal contribution). A new competition emerged in 2020, called Ultimate Hacker Championship (UHC). Created by Igor Rincon and Carlos Vieira, the competition takes place online weekly and is broadcast live on the social network Twitch [5]. There are other local CTF competitions in other states that occur inside conferences, i.e., AraHacker (Arapiraca—Alagoas), JAMPASEC (João Pessoa—Paraiba), CAJUSEC (Aracaju—Sergipe), Darkwaves (Natal—Rio Grande do Norte), BHACK (Belo Horizonte—Minas Gerais) and also online competitions organized by the community.

38.2.2 Capture the Flag Capture the Flag (CTF) is a competition where the main purpose is to exploit or defend vulnerabilities of a system or application. CTFs are competitions composed of several challenges (commonly called challs) and the main objective is to find the flag that generally can be hidden inside files, pieces of source code, images, and so on. There are used Information Security topics to build the challenges, i.e., Cryptography, Forensic, Programming, Web, etc. [6]. CTF can be played individually, or the participant can be part of a team. There are four types of CTF competitions: Jeopardy, Attack/Defense, Mixed, and King of the Hill. For this experiment, we use the individual format Jeopardy, where the player receives a series of exercises of different degrees of difficulty to solve. The rules for the competition may vary from one to another, the organization can choose the rules that fit better for the CTF event.

38.2.3 Related Work The use of Capture the Flag as an engagement tool in the study of Cybersecurity has been showing good results in different scenarios. A case study proposed by Feng [7] with 51 students had a positive experience with this format collecting data using a survey. A narrative was built based on a known book story (the Divergent series) and as the story progresses, there is an increase in the degree of difficulty of the challenges. Nguyen and colleagues [8] conducted a literature review on live competitions identifying the ten biggest problems in this format regardless of style and proposed an analysis scheme. They argue that Information Security should have a specific pedagogical theory, due to the different characteristics of the area. This theory should be oriented to collaborative learning and focused on experimentation and communication. In this study, they also expose the lack of empirical evidence and evaluation in many papers [9].

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A deeper analysis at an experimental level on how the Capture the Flag can be a powerful tool to engage students is needed. The usage of statistically validated psychometric models can help to collect more assertive data and consequently improve the design of gamification experiences. As far as we know, our study is the first that analyzes the player type of CTF player.

38.3 Gamification and Flow State Gamification is the use of game elements in contexts that are not games. A non-game context is a context where the main objective is not entertainment [10]. The game differs from play due to the existence of clear rules and objectives, since playing is usually improvised and with little or no organization. The first registered use of the Gamification term was in 2008, but the massive adoption occurred only in the second half of 2010. The game elements are elements found in most, but not necessarily all games and are one of the blocks needed to build a memorable experience for the player. But not all players have the same motivation to play. To evaluate and classify the various types that exist, studies were conducted, considering the different aspects of a player’s personality (i.e., behaviors, pleasures). There are models, such as Bartle’s player type, Hexad, and Brainhex [11]. In this paper, we used the model developed by Nick Yee. Yee [12] proposes a more detailed model, based on Bartle’s player types focused on behavior and preferences, with three main components and ten subcomponents: (i) Achievement (Advancement, Mechanics, Competition), (ii) Social (Socializing, Relationship, Teamwork) and (iii) Immersion (Discovery, Role-playing, Customization, Escapism). Flow state defines an optimal experience. These experiences represent the moment of the overcoming of a complex task [4]. During the flow, all the attention is directed to achieve the goal. According to Csikszentmihalyi, for an activity to drive the participant to the flow state, it must have the following characteristics: (i) clear objectives, (ii) immediate feedback, (iii) tasks with the possibility of completion, (iv) immersion that removes the concerns, (v) high concentration on the task, (vi) a sense of control of the own actions, (vii) ignore feelings (like hunger and pain), (viii) change of the conception of time and (ix) autotelic experience. These characteristics are as known as dimensions. The model shows the psychological states that are activated according to the stimulus that is received during an activity (Fig. 38.1). The reaction varies according to the balance between the required skills and the proposed challenge. The closer to equilibrium, the greater the chances of reaching the flow state. If this state is reached, the individual experiments pleasure and satisfaction sensations, indicating that internal expectations have been met.

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Fig. 38.1 Flow emotional states [author image]

Fig. 38.2 Experiment design [author image]

38.4 Material and Methods 38.4.1 Design The design chosen for the experiment was paired. There were two environments in two sessions (event Day 1 and event Day 2) that occurred in June 2020. The former design—called Open World—was a traditional Gamification format, individual Jeopardy-style CTF with challenges developed by instructional designers. The other design was called DMC (Dynamics, Mechanics and Components). This new one was built using the same challenges developed by the designers but presented with other game elements (Fig. 38.2).1 The selection of the participants was based on convenience and without a probabilistic sample. The target population of the experiment was higher education students in Information Security or related areas (undergraduate and graduate) and professionals. The participants were aware that the data collected during their participation would be used for scientific research purposes and the consent was collected in the instruments used.

1

For the new design, we created a story. To read the CTF story, access this link: https://bit.ly/3l6 RvBg.

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38.4.2 Instruments As instruments for data collection, we used: (i) DFS—Dispositional Flow Scale [13]: this questionnaire assessed the participant’s level of engagement before the competition. (ii) Questionário de Perfil de Jogador—QPJ-BR: validated adapted version from Yee’s Player Types. It uses the same three main components (Achievement, Immersion and Socializer) to classify the player. Data collected before the competition. (iii) FSS—Flow State Scale [13]: This questionnaire assessed the participant’s level of engagement after the competition. (iv) Platform data: reports extracted from the CTFd platform helped to analyze the player’s performance with data such as scores and more resolved challenges.

38.4.3 Hypothesis The objective of this study was to analyze the impact of the Capture the Flag experience and to achieve this, we used the Flow scale as a metric. We developed two hypotheses to support this objective: • RQ1: What is the impact of flow experience on player types? – Hnull: There is no correlation on the variance between player type and flow experience. – H1: There is a correlation on the variance between player type and flow experience. • RQ2: What is the impact of the flow experience on the performance of the players based on the game mode (Open World or DMC)? – Hnull: There is no correlation on the variance between the player performance and the game mode. – H1: There is a correlation on the variance between the player performance and the game mode.

38.4.4 Experiment Execution The elaboration of CTF events was divided into phases: (i) Development: three cybersecurity professionals were invited to deploy the platform and build the challenges for the pilot experiment. We chose CTFd, an open-source project, because of the data available to be extracted, which would allow a better analysis. (ii) Pilot: competition was attended by 10 security professionals and students. The feedback collected was used to improve the experience for the final competition, and (iii) Execution: two events, Day 1 and Day 2, organized as online individual competitions. Both were 24-h events and occurred in June 2020. The challenges built by invited designers

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were used and the participation was open to general public, and participation in both events was voluntary. To gain access to the platform, the player must previously register with a valid email address. Participants who signed up received a token which guaranteed access to one of the environments (Open World or DMC). There was a unified ranking for the two environments per competition day. To encourage participation, there was an award for the winners and the players who responded all the forms received a certificate of participation.

38.5 Results Invalid data removed from analysis: (i) Day 1: 73 participants attended, 53 played on Open World and 20 on DMC. We considered valid the data from the participants who answered the three questionnaires (QPJ-BR, DFS and FSS), totalizing 18 participants (10 for Open World and 8 for DMC). Two players who engaged in gaming the system2 and the data were excluded from the analysis. (ii) Day 2: 46 participants attended, 42 played on DMC and 4 on Open World. Due to gaming the system episodes, the samples did not have a reasonable amount of data for analysis in both environments, so the sample was discarded.

38.5.1 Data Analysis Analysis pack for Excel was used for data analysis. To do the validation of the hypotheses, we used non-paired Student’s t-test and Pearson’s Correlation Coefficient, considering a Confidence Interval of 95%.

38.5.2 First Event—Day 1 For the analysis of RQ1: Evaluate the impact of flow experience on player types, we considered 14 participants. Four outliers were detected and removed. To calculate the player type, we considered the participant’s score in three categories, since the characteristics are complementary. We used a non-paired t-test with the data collected in the DFS (before the competition) and FSS (after the competition) questionnaire to check for significant variance (Table 38.1). We found significant variances on dimensions 1, 6 and 9. Also, we made a correlation analysis to check if there was a positive or negative impact for each player type and what the weight of this correlation was—weak, moderate or strong. Only moderate and strong correlations were 2

Gaming the system is an attempt to circumvent a competition. To know the report generated for this analysis, access the link: https://bit.ly/3jASdGG.

474 Table 38.1 t and p-value for flow experience

D. Vitorino et al. Flow dimension (DFS x FSS)

t-value

p-value

Dimension 1

1.7056

0.0007

Dimension 2

1.7247

0.0530

Dimension 3

1.7056

0.1134

Dimension 4

1.7081

0.0873

Dimension 5

1.7056

0.2158

Dimension 6

1.7207

0.0184

Dimension 7

1.7108

0.1519

Dimension 8

1.7081

0.0862

Dimension 9

1.7056

0.0178

significant = p < 0.05

considered. So, for RQ1, the alternate hypothesis is valid for Flow dimensions 1, 6 and 9 (Table 38.2). For the analysis of RQ2: Evaluate the impact of the flow experience on the performance of the players based on the game mode (Open World or DMC), we considered 18 participants. To calculate the performance of the player, we made a correlation analysis between the participants who played Open World using their competition score versus data from the DFS and FSS questionnaires. Then, we performed the same procedure with DMC participants. Considering the flow dimensions with significant variance found and related to the participants’ performance, we have a table with the relationship between dimensions X performance by game mode. So for RQ2, the alternative hypothesis is valid for both modes (Table 38.2).

38.5.3 Discussion For RQ1—the correlation between player types and flow experience—we found significant correlation on the following dimensions: (i) dimension 1—clear objectives, (ii) dimension 6—sense of control and (iii) dimension 9—autotelic experience. The Achievers were impacted positively by the autotelic experience (Dimension 9), the immersion player type had a positive variance on Dimensions 1, 6 and 9 on the results after the competition and the Socializer player type was the least engaged, with all significant flow dimensions tending to a negative variance. Using Yee’s table of components and subcomponents [12] to map the elements used on the challenges, it was possible to have an overview of the resolved challenges in both environments. The Open World’s challenges have elements to satisfy players with high scores in the player type achievement (Challenges, Feedback and Points), and DMC ones have elements to satisfy achievement and immersion player types (Narrative, Progression Restrictions, Challenges, Feedback and Points).

Moderate—negative

Moderate—negative

FSS

Moderate—negative

FSS

DFS

Moderate—negative

DFS

Weak—negative

FSS

Socializer

Weak—negative

DFS/FSS

DFS

Immersion

Moderate—positive

Moderate—negative

Moderate—positive

Weak—negative

Moderate—positive

Weak—negative

Dancey & Reidy Psychology scale (positive or negative values) [15] 0.1–0.3—weak 0.4–0.6—moderate 0.7–0.9—strong 1—perfect

Dimension 9

Dimension 6

Dimension 1

Table 38.2 Significant dimensions x correlations Achievement

Moderate—positive

Weak—negative

Weak—positive

Weak—negative

Weak—negative

Weak—negative

Open word

Moderate—negative

Weak—positive

Moderate—negative

Weak—negative

Weak—negative

Weak—positive

DMC

Strong—negative

Weak—negative

Weak—negative

Moderate—negative

Weak—negative

Moderate—negative

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For RQ2—the correlation between the correlation between game modes and flow—we found for Open World: FSS—Dimension 6 and FSS—Dimension 9, all negative. For DMC: DFS—Dimension 6 and FSS—Dimension 9, also all negative. Analyzing the platform’s data, it was possible to check that the number of challenges solved on Open World was bigger than the challenges solved on DMC. On Open World players solved 15 (easy, medium and hard ones) while on DMC 8 challenges were solved, 7 easy and one medium. It was possible to identify that one player kept trying to submit the correct flag until the end of the competition, which can lead to thinking of a potential lack of skill and possibility of frustration [16]. So, due to the characteristics of the competition, the freedom to solve challenges in any order had a direct impact on the score of the players and consequently on their flow experience. Due to the COVID-19 pandemic, the design of the original project was changed to an online format. Also, It was not possible to predict in advance the number of participants who would attend the event, since it is quite common for players to register just before the competition or even with the competition in progress. A method for automatically distributing tokens would be extremely useful to ensure a better distributed sample.

38.6 Conclusions and Future Works The purpose of this study was to evaluate the performance and engagement levels of the experiment participants using the player type and the Flow experience as metrics. We built the experiment environment using an open-source tool, CTFd. The environment contained two experiences, one called Open World, which contained game elements normally used in CTF competitions and the other called DMC, which contained the same challenges, but in addition to other game elements. A paired experiment was carried out in two editions in June 2020. The profiles Immersion and Achievement had more positive effects, due to the elements present in the competition. The vast majority of the challenges solved were of easy and medium difficulty in the Open World environment and of easy difficulty in the DMC mode. Participants failed to solve a medium difficulty cryptography challenge and were unable to advance the story. An important fact is that in both environments not all the available challenges were solved, which leads us to believe that either there were too many challenges for the competition or the level of difficulty of the challenges was demanding a lot of time from the participants. This study advances the literature using psychometric validated methods for the analysis of player types and experience of flow with environments with different gamifications. In future studies, a larger and more diverse sample in player types and genres can help build better experiences and attract more talents to the Cybersecurity area.

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References 1. ISACA: State of Cybersecurity 2020 Part 1: Global Update on Workforce Efforts and Resources, 2020. Accessed: Aug 16, 2020 [Online] 2. Deloitte: Tendências em gestão de riscos cibernéticos e segurança da informação na América Latina e Caribe, 2020. Accessed: Aug 16, 2020 [Online] 3. Mansurov, A.: A CTF-based approach in information security education: an extra-curricular activity in teaching students at Altai State University, Russia. MAS 10(11), 159 (2016). https:// doi.org/10.5539/mas.v10n11p159 4. Mirvis, P.H., Csikszentmihalyi, M.: Flow: the psychology of optimal experience. Acad. Manage. Rev. 16(3), 636 (1991). https://doi.org/10.2307/258925 5. Equipe TecMundo: Campeonato ao vivo vai premiar Hackers por invasão de sistemas, Tecmundo, 2020. https://www.tecmundo.com.br/seguranca/154535-campeonato-vivo-pre miar-hackers-invasao-sistemas.htm. Accessed Aug 09, 2020 6. McDaniel, L., Talvi, E., Hay, B.: Capture the Flag as cyber security Introduction. In: 2016 49th Hawaii International Conference on System Sciences (HICSS), pp. 5479–5486 (Jan 2016). https://doi.org/10.1109/HICSS.2016.677 7. Feng, W.: A ‘Divergent’-Themed {CTF} and Urban Race for introducing security and cryptography. In: Presented at the 2016 {USENIX} Workshop on Advances in Security Education ({ASE} 16), 2016. Accessed Sept 27, 2020 [Online]. Available https://www.usenix.org/con ference/ase16/workshop-program/presentation/feng 8. Katsantonis, M., Fouliras, P., Mavridis, I.: Conceptual analysis of cyber security education based on live competitions, pp. 771–779 (2017). https://doi.org/10.1109/EDUCON.2017.794 2934 9. Nguyen, T.A., Pham, H., Chi, H., City, M.: A Design Theory-Based Gamification Approach for Information Security Training, pp. 36–39 (2018). Accessed Sept 08, 2020 10. Deterding, S., Dixon, D., Khaled, R., Nacke, L.: From game design elements to gamefulness: defining ‘gamification’. In: Proceedings of the 15th International Academic MindTrek Conference: Envisioning Future Media Environments, pp. 9–15. New York, NY, USA (2011). https:// doi.org/10.1145/2181037.2181040 11. Dixon, D.: Player Types and Gamification. In: Presented at the CHI 2011, Vancouver, BC, Canada (2011). Accessed Sept 05, 2020 [Online]. Available http://gamification-research.org/ wp-content/uploads/2011/04/11-Dixon.pdf 12. Yee, N.: Motivations of Play in MMORPGs, p. 46 (2005) 13. Jackson, S.A., Eklund, R.C.: Assessing flow in physical activity: the flow state scale–2 and dispositional flow scale–2. J. Sport Exerc. Psychol. 24(2), 133–150 (2002). https://doi.org/10. 1123/jsep.24.2.133 14. Andrade, F., Marques, L., Bittencourt, I.I., Isotani, S.: QPJ-BR: Questionário para Identificação de Perfis de Jogadores para o Português-Brasileiro. Anais do XXVII Sim-pósio Brasileiro de Informática na Educação (SBIE 2016) 1(Cbie), 637 (2016). https://doi.org/10.5753/cbie.sbie. 2016.637 15. Akoglu, H.: User’s guide to correlation coefficients. Turkish J. Emerg. Med. 18(3), 91–93 (2018). https://doi.org/10.1016/j.tjem.2018.08.001 16. Weiss, R., Turbak, F., Mache, J., Nilsen, E., Locasto, M.E.: Finding the Balance Between Guidance and Independence in Cybersecurity Exercises. Austin, TX, Aug 2016 [Online]. Available https://www.usenix.org/conference/ase16/workshop-program/presentation/weiss

Chapter 39

Transfer of Knowledge and Technology to Ecuador’s Business Network Diana Morales-Urrutia, Lorena Rivera-Badillo, Tania Morales-Molina, and Christopher López-Samaniego

Abstract Currently, universities perform a more leading role in economic growth and social progress, as their mission has extended beyond the scientific character and contributes to the promotion and generation of new ventures, through an established link with industries. The role of higher education institutions today is to support and promote entrepreneurial skill in students and staff in general, so that it is transferred to the reality that today’s society faces and timely solutions are given to the needs identified through technology transfer in the implementation of a new spin-off or startup. The data analyzed come from the Science, Technology, and Innovation Activities (STIA) survey for the period 2012–2014. The objective of the study was to analyze cooperation for the transfer of technology and knowledge between public and private organizations and companies in Ecuador. The results show that there is greater cooperation with customers and suppliers. In conclusion, despite the existence of policies aimed at cooperation between government, business, and university, no visible results are evident in the Ecuadorian business network.

39.1 Introduction In recent decades, innovation has become a key element for the development and survival of companies; however, the introduction of this type of process requires companies to have close collaboration with academia through the so-called transfer of university technology. In this sense, authors such as Ungureanu and Ungureanu [1] consider that universities play a fundamental role in the implementation of innovation in order to promote business development and creativity, aimed at meeting not only D. Morales-Urrutia (B) · L. Rivera-Badillo Facultad de Ciencias Administrativas, Grupo de Investigación Desarrollo Territorial, Empresa e Innovación, Universidad Técnica de Ambato, Ambato EC180206, Tungurahua, Ecuador e-mail: [email protected] T. Morales-Molina · C. López-Samaniego Facultad de Ciencias Administrativas y Económicas, Universidad Tecnológica Indoamérica, Quito EC180103, Tungurahua, Ecuador © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_40

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organizational, but also social objectives, in the sense of contributing to existing needs and deficiencies at the local, regional, or international level. The transfer of university-industry technology has awakened special interest [2, 3] and has become the central focus of the strategies and policies of a great part of countries worldwide, making universities ambidextrous institutions with two missions: on the one hand, scientific and, on the other hand, commercial [4], that is, through the transfer of knowledge, they promote the third mission that consists of the link generated between university and companies through intermediary organizations. In the same line of argument, Cunningham et al. [5] show that, within knowledgebased economies, universities are regarded as an important source of knowledge responsible for providing support to the business sector, specifically in terms of knowledge transfer, advice, consulting, incubators, and others. O’Kane et al. [6] agree that universities are relevant players in today’s business environment, as they contribute and encourage companies with specific behaviors to promote the generation and development of new knowledge. Thus, Muscio et al. [7] mention that as universities are knowledge-building centers, they are governed and controlled by different public policies and specific legislations of technology transfer; these are financed directly for the ultimate purpose of implementing a set of innovation and entrepreneurship policies, which are of benefit and joint work between the Higher Education Institutions (HEI) and the business sector [8–10]. The research problem detected is related to the existence or not of knowledge and technology transfer in the business environment of Ecuador and the relationship with public and private institutions. Therefore, the objective of the research was to analyze cooperation for the transfer of technology and knowledge between public and private organizations and companies in Ecuador. Methodologically, the article is structured in the documentary bibliographic review and in a descriptive analysis, making use of the data provided by the Science, Technology, and Innovation Activities (STIA) survey for the period 2012–2014. The contribution of this work allows us to provide a panorama of the transfer of knowledge and technology, and the novelty is specifically in the case of Ecuador because there are no studies in this regard and much less regarding the function of the triple helix in this context. Therefore, it arouses the interest of researchers in this field. The study carried out allows important contributions to be made because the role of the triple helix and its application in a developing country are identified, in addition to the fact that researchers will be able to delve into certain aspects that are identified here by economic sectors, public and private institutions, generation of innovations and the relationship between them. Finally, the article is structured as follows, in addition to the introduction and conclusions, the first section describes the role of universities in entrepreneurial environments and knowledge and technology transfer policies, and in a second section, it addresses the results and discussion of the main findings related to the study phenomenon.

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39.2 The Role of Universities in the Entrepreneurial Environment For several decades, universities have produced knowledge and, at the same time, have been responsible for conducting processes for its dissemination, linking research, teaching, and companies [11, 12] stimulating in this way the generation of innovative results and technological products. In this context, given the significant changes that have taken place, HEI have had to adapt their structure to the reality of the environment and to the external conditions presented by society, that is, universities have had to assume three main functions simultaneously: teaching, research, and business innovation. In this regard, the business mission of universities is to support the exploitation of ideas and move toward new business opportunities and economic development [13]. Similarly, Trequattrini et al. [14] consider universities to take on a crucial role in acting as intermediaries, as they can promote and generate local intellectual capital and foster the growth of learning.

39.2.1 Universities’ Technology Transfer Policies The process of business transformation adopted by universities has identified a number of determinants, such as the resources and capacities of HEI, the role played by the university community, the regional innovation system, as well as the role of institutions [15]. In response to these events, the establishment of both formal and informal organizational and governance structures has emerged, which allows to generate and promote entrepreneurship through the inclusion of university small business centers, research groups, liaison offices, technology transfer centers, and incubators [16–19]. According to Cunningham et al. [20], the process of innovation, the creation of value, and generation of ventures carried out by universities is within a clearly defined institutional context. In this sense, North [21] states that the entrepreneurial phase of HEI is determined by a series of formal codes and regulations such as: political, economic and legal, as well as informal aspects such as: values, attitudes, standards of behavior, culture, entrepreneurship, and others [22, 23]. On the other hand, absorption capacities and the role of ecosystems to stimulate technological transfer have certain influence on the effectiveness shown by the transfer policies carried out by universities [24, 25]. In the same sense, authors such as Kallio et al. [26] mention that social capital, whether considered as organizational linkage, personal creative, etc., is presented as an important aspect through which greater absorption capacity can be achieved in regional innovation systems. From another point of view, other authors such as Audretsch et al. [27], Lehmann and Menter [28], and Lehmann et al. [29] have considered factors such as regional

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cluster structures, industrial density, networks and alliances, and others, in order to achieve solid business and regional innovation results.

39.2.2 Technology Transfer Processes In the process of technology transfer, universities do so through formal research structures directly with other companies or startups, with the goal of bringing the research result to the business field. With regards to the most widely used means to produce technological transfers, both formal and informal transfers are considered. On the one hand, the formal means are those formed by structures based on specific procedures, while non-formal ones are carried out through a contact of the research center with the company [1]. Also, the steps that must be taken in order to commercialize the technologies obtained from research-by-research centers are: (a) applied research; (b) preliminary disclosure; (c) disclosure of technology; (d) evaluation; (e) intellectual protection; (f) commercialization of the technology; (g) analysis of business development options through innovation; and (h) hiring [30]. On the other hand, the main types of legal agreement for technology transfer are [30]: Contracts for the sale of total or partial transfer of intellectual property rights; Intellectual property contracts; Know-how contracts; Franchise contracts; Joint venture contracts; Technical cooperation; Trade agreement with technical assistance; Outsourcing agreement

39.3 Methodology The data analyzed for research come from statistical sources of the Science, Technology, and Innovation Activities (STIA) survey period 2012–2014 and 2015. For the construction of the study domains, the branches of economic activity were grouped into four defined groups: exploitation of mines and quarries, manufacturing, commerce (includes wholesale trade and trade and repair of motor vehicles and motorcycles), and services (includes activity branch D, E, F, H, I, J, K, L, M, N, and Q). Likewise, three strata have been considered within each domain of study: Companies with staff occupied between 10 and 49, companies with staff occupied between 50 and 499, and companies with busy staff greater than or equal to 500, or that the average annual total sales are greater than or equal to USD 5,000,000. This research presents a mixed approach since it provides detailed information from the selected sources, making it possible to link qualitative and quantitative data to measure the variables in a given time and space. Similarly, descriptive research is applied to describe the events of a particular phenomenon, developing characteristics and patterns relevant to the research.

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39.4 Results and Discussion The data analyzed in Figs. 39.1 and 39.2 reveal the absence of the linkage of the triple helix in the Ecuadorian case, since there is no evidence of zero cooperation with universities and public entities; despite the establishment of specific institutions oriented to collaboration and transfer of knowledge and technology for the business network, this aspect is not being enhanced for economic development and growth. 50.00% 40.00% 30.00% 20.00% 10.00% 0.00%

SMALL

MEDIUM

LARGE

Fig. 39.1 Organizations that cooperated with companies in product and process innovation activities by company size. Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014)

50.00% 45.00% 40.00% 35.00% 30.00% 25.00% 20.00% 15.00% 10.00% 5.00% 0.00%

Type of I + D cooperaon Type of Training cooperaon Type of Informaon cooperaon Type of Financing cooperaon

Type of engineering and design cooperaon Type of technical assistance cooperaon Type of Product Trial cooperaon

Fig. 39.2 Objectives of cooperation with organizations for the development of product and process innovation activities (expressed as a percentage). Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014)

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MEDIUM

LARGE

Fig. 39.3 Companies with product and process innovation activities whose cooperation partners were in the country, depending on company size (expressed in percentage). Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014)

14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00% SMALL

MEDIUM

LARGE

Fig. 39.4 Companies with product and process innovation activities whose cooperation partners were in the country, depending on company size (expressed in percentage). Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014)

The data analyzed for Figs. 39.3 and 39.4 highlight a fact that is of interest, given that small enterprises are the ones that generate linkage of cooperation with national and international entities or bodies, highlighting that it is not the large companies that generate innovations the most, through these agreements given their physical and financial capacity. It should also be noted that Ecuador has a greater number of small businesses that generate the most income and places of work. Figure 39.5 shows results like those already presented above, as small businesses are the ones that perform patent searches to the greatest percentage, to improve their processes or introduce new changes or improvements to their products. Regarding large enterprises, in the case of Ecuador, they lag their international peers, since their participation in the pursuit of intellectual property protection is low. The search for patent information is related to facts such as technological advances and market information, in this context, it should be noted that small enterprises seek to introduce new technologies in order to generate innovations; however, these

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7.00% 6.00% 5.00% 4.00% 3.00% 2.00% 1.00% 0.00% SMALL

MEDIUM

LARGE

Fig. 39.5 Companies that have undertaken patent search or use information services or patent libraries, depending on company size (expressed in percentage). Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014) 30.00% 25.00% 20.00% 15.00% 10.00% 5.00% 0.00% Keep up with technological change

Finding specific informaon related to a technological problem

SMALL

Watch competors

MEDIUM

Obtain market informaon

Other reasons

LARGE

Fig. 39.6 Business objectives for patent search, depending on company size (expressed as a percentage). Source Science, Technology, and Innovation Activities Survey (STIA 2012–2014)

processes should be accompanied by experience and scientific knowledge by universities and public institutions in order to apply the basic principles of the triple helix (company-government-university) (Fig. 39.6).

39.5 Conclusions In general, recent years reflect limited changes in the transfer of knowledge and technology in Ecuador’s business network, despite the existence of a political, social, and economic context aimed at the technological transformation of companies. In the light of the results, the poor link between companies with public entities responsible for generating and transferring information is evident; however, despite these facts, the efforts that small businesses are making in order to be competitive through the introduction of technologies and the generation of innovations in both processes and products should be highlighted.

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In this context, policymakers should take these results into account to take action and reformulate some of the strategies and policies to achieve a complete threepropeller linkage in the country. Acknowledgements To the Technical University of Ambato, Research and Development Department (DIDE). This article arises from the results of the research Project entitled “Study for the implementation of the Business Centre of the Faculty of Administrative Science”, PFCA15. To the Indoamerica Technological University for its support and collaboration in research.

References 1. Ungureanu, M., Pop, N., Ungureanu, N.: Innovation and technology transfer for business development. Proc. Eng. 149, 495–500 (2016) 2. Minguillo, D., Tijssen, R., Thelwall, M.: Do science parks promote research and technology? A scientometric analysis of the UK. Scientometrics 102(1), 701–725 (2015) 3. Perkmann, M., Tartari, V., McKelvey, M., Autio, E., Broström, A., D’Este, P., Sobrero, M.: Academic engagement and commercialisation: a review of the literature on university–industry relations. Res. Policy 42(2), 423–442 (2013) 4. Huyghe, A., Knockaert, M., Wright, M., Piva, E.: Technology transfer offices as boundary spanners in the pre-spin-off process: the case of a hybrid model. Small Bus. Econ. 43(2), 289–307 (2014) 5. Cunningham, J.A., Lehmann, E.E., Menter, M., Seitz, N.: The impact of university focused technology transfer policies on regional innovation and entrepreneurship. J. Technol. Transf. 44(5), 1451–1475 (2019) 6. O’Kane, C., Mangematin, V., Geoghegan, W., Fitzgerald, C.: University technology transfer offices: the search for identity to build legitimacy. Res. Policy 44(2), 421–437 (2015) 7. Muscio, A., Quaglione, D., Vallanti, G.: Does government funding complement or substitute private research funding to universities? Res. Policy 42(1), 63–75 (2013) 8. Cunningham, J.A., Link, A.N.: Fostering university-industry R&D collaborations in European Union countries. Int. Entrepreneurship Manage. J. 11(4), 849–860 (2014) 9. Audretsch, D.B.: From the entrepreneurial university to the university for the entrepreneurial society. J. Technol. Transf. 39(3), 313–321 (2014) 10. Lehmann, E.E., Menter, M.: University–industry collaboration and regional wealth. J. Technol. Transf. 41(6), 1284–1307 (2016) 11. Guerrero, M., Urbano, D.: The development of an entrepreneurial university. J. Technol. Transf. 37(1), 43–74 (2012) 12. Audretsch, D.B., Hülsbeck, M., Lehmann, E.E.: Regional competitiveness, university spillovers, and entrepreneurial activity. Small Bus. Econ. 39(3), 587–601 (2012) 13. Guerrero, M., Cunningham, J.A., Urbano, D.: Economic impact of entrepreneurial universities’ activities: an exploratory study of the United Kingdom. Res. Policy 44(3), 748–764 (2015) 14. Trequattrini, R., Lombardi, R., Lardo, A., Cuozzo, B.: The impact of entrepreneurial universities on regional growth: a local intellectual capital perspective. J. Knowl. Econ. 9(1), 199–211 (2018) 15. Agrawal, A.K.: University-to-industry knowledge transfer: literature review and unanswered questions. Int. J. Manage. Rev. 3(4), 285–302 (2001) 16. Tseng, A.A., Raudensky, M.: Performance evaluations of technology transfer offices of major US research universities. J. Technol. Manage. Innov. 9(1), 93–102 (2014) 17. Guerrero, M., Toledano, N., Urbano, D.: Entrepreneurial universities and support mechanisms: a Spanish case study. Int. J. Entrep. Innov. Manage. 13(2), 144–160 (2011)

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18. Hülsbeck, M., Lehmann, E.E., Starnecker, A.: Performance of technology transfer offices in Germany. J. Technol. Transf. 38(3), 199–215 (2013) 19. Cunningham, J.A., Menter, M., Wirsching, K.: Entrepreneurial ecosystem governance: a principal investigator-centered governance framework. Small Bus. Econ. 52(2), 545–562 (2019) 20. Cunningham, J.A., Menter, M., O’Kane, C.: Value creation in the quadruple helix: a micro level conceptual model of principal investigators as value creators. R&D Manage. 48(1), 136–147 (2018) 21. North, D.C.: Institutions, Institutional Change and Economic Performance. Cambridge University Press, Cambridge (1990) 22. Grimaldi, R., Kenney, M., Siegel, D.S., Wright, M.: 30 years after Bayh-Dole: reassessing academic entrepreneurship. Res. Policy 40(8), 1045–1057 (2011) 23. Guerrero, M., Urbano, D., Cunningham, J., Organ, D.: Entrepreneurial universities in two European regions: a case study comparison. J. Technol. Transf. 39(3), 415–434 (2014) 24. Audretsch, D.B., Cunningham, J.A., Kuratko, D.F., Lehmann, E.E., Menter, M.: Entrepreneurial ecosystems: economic, technological, and societal impacts. J. Technol. Transf. 44(2), 313–325 (2019) 25. Etzkowitz, H., Leydesdorff, L.: The dynamics of innovation: from national systems and “mode 2” to a triple helix of university–industry–government relations. Res. Policy 29(2), 109–123 (2000) 26. Kallio, A., Harmaakorpi, V., Pihkala, T.: Absorptive capacity and social capital in regional innovation systems: the case of the Lahti region in Finland. Urban Studies 47(2), 303–319 (2010) 27. Audretsch, D.B., Lehmann, E.E., Menter, M.: Public cluster policy and new venture creation. Economia e Politica Industriale 43(4), 357–381 (2016) 28. Lehmann, E.E., Menter, M.: Public cluster policy and performance. J. Technol. Transf. 43(3), 558–592 (2018) 29. Lehmann, E.E., Menter, M., Wirsching, K.: Firm performance and regional innovation mechanisms: the moderating role of absorptive capacities. Front. Entrepreneurship Res. 37(11), 243–248 (2017) 30. Transfer of Technology: UNCTAD Series on Issues in International Investment Agreements. United Nations Publication, New York and Geneva (2001)

Chapter 40

Technology-Based Companies: The Case of South American Countries Tania Morales-Molina, Gabriel Núñez-Torres, Voroshilov Hernández-Espín, and Hugo Yánez-Rueda

Abstract In recent decades, technology-based companies have achieved significant global recognition, given their importance and substantial contribution to the economic and sustainable development of organizations and society at large, through job and wealth creation. The research objective focuses on determining the relationship between technology-based companies and R&D and innovation spending. To meet the objective, the methodology applied was based on the application of Pearson’s correlation coefficient statistical technique, since it allows to obtain an association coefficient between variables that do not behave normally. The results indicate that R&D spending and innovation are representative factors for the operation of technology-based companies.

40.1 Introduction Currently, the role of technology-based companies (TBCs) is considered globally significant for economic development, as it acts as a growth engine that has promoted the creation of industrial parks; through these, they have generated more income and better employment opportunities [1, 2]. In this sense, Ajagbe [3] states that in order for this type of company to contribute to the development of knowledge-driven economy, and they require a high degree of innovation and orientation to industrial development that will allow them to evolve rapidly and enter globalization. TBCs are new companies, which are commonly small, but are regarded as important sources of jobs in knowledge, and promoters of technological change and innovation [4]. These companies are also characterized because they face major growth T. Morales-Molina (B) · G. Núñez-Torres · V. Hernández-Espín Facultad de Ciencias Administrativas Y Económicas, Universidad Tecnológica Indoamérica, Quito EC180103, Tungurahua, Ecuador e-mail: [email protected] H. Yánez-Rueda Facultad de Jurisprudencia, Ciencias Políticas Y Económicas, Universidad Tecnológica Indoamérica, Quito EC180103, Tungurahua, Ecuador © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_41

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challenges, for which intense innovations of business models and processes of rapid and early internationalization, are often combined [5]. Thus, authors such as Maine et al. [6] define TBCs as young in the market, whose main activity focuses on the research and development of certain sectors. On the other hand, Maula [7]; Maula et al. [8] consider TBCs to be private companies that have been on the market for at least six years, and are engaged in operations in the life, medical and health sciences, communications, software development and IT services, among others. On the other hand, Rickne and Jacobsson [9] show that the competitive strength that is produced within TBCs comes from the knowledge, skills and experiences created not only to operate established processes, but also to generate products, processes and services [10]. In this regard, Bell and Pavitt [11] consider that for the development of different skills to exist, continuous and systematic investment in knowledge-based assets is necessary. Those skills are generated through research and development (R&D), patents, product design, production engineering, quality control, staff training, among others [10, 12]. Therefore, all knowledge-based assets and financial structure will enable a TBC to become innovative, and to master-new technologies [13]. With regard to the life cycle of TBCs, it mainly depends on the management skills of the investors who lead the foundation of the company, that is, they must implement significant changes, specifically in the creative agreements that are necessary to avoid technological and financial complexities [14–17]. On the other hand, although such companies can succeed over the years, Ogbari et al. [18] mention that TBCs face a number of challenges, both internal (business orientation, finance and other factors) and external (competition, technological advancement and the unpredictable market) that must be addressed in a timely manner for companies of this type to develop in the market. On this subject, entrepreneurial guidance refers to the methods and styles that are applied within an organization, with the aim of implementing the founding strategy of the start-up [19, 20]. In this regard, authors such as Miller [20] and Covin and Slevin [21] agree that the main dimensions of business orientation are innovation, risk-taking likelihood, and proactivity. Concerning technological skills, they are a fundamental aspect, considering that the level of technological knowledge of a company, patents, processes and production practices are factors that act as a source of sustainable, competitive advantage over time for organizations [22]. Financial stability is another internal challenge that high-tech companies must face, since for day-to-day operations, such as acquisition of assets, and skilled staff jobs, external financing are required, which could come from banks or capital injection from other companies. Thus, TBCs also require funding research and development processes, investments, and production [3]. As far as external challenges are concerned, according to Ogbari et al. [18], they are all aspects related to environmental factors that in one way or another, directly affect the activities of the organization. First, the external links are mentioned. According to

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Pfeffer and Salancik [23], some organizations rely heavily on their external environment to meet and develop the entire value chain; some companies lack the necessary resources and are, therefore, forced to outsource to other organizations that have the capacity to supplement them in the areas that are required. The problem detected is related to the existence of factors such as R&D and innovation that affect technology-based companies in Ecuador. Therefore, the objective of the research focuses on determining the relationship between technology-based companies and R&D and innovation spending. Methodologically, the article is structured in a documentary bibliographic review and a descriptive analysis, making use of the data provided by the Global Entrepreneurship Monitor Project (GEM) for the period 2008–2014. The contribution of this work makes it possible to provide a panorama of spending on R&D and innovation by technology-based companies, and the novelty is specifically in the case of Ecuador because there are no studies in this regard in this country, so it is it arouses the interest of researchers in this field. The study carried out allows important contributions to be made because it identifies some factors that would be influencing technology-based companies in a developing country, in addition to the fact that researchers will be able to delve into certain aspects that are identified here regarding the valuation of innovation and investment in R&D by Ecuadorian companies. Finally, the article is structured as follows; in addition to the introduction and conclusions, the first section describes methodological aspects, and in a second section, the results and the discussion of the main findings related to the phenomenon of study are addressed.

40.2 Methodology The data analyzed for research come from statistical sources of the Global Entrepreneurship Monitor Project (GEM). The selected variables, on the one hand considered independent, R&D spending and innovation; and, on the other hand, the dependent variable: the percentage of all TEA entities reporting commercial activity in a technology sector. According to the OECD classification, they are related to the theoretical foundations set out in the study. The sample selected for this study corresponds to the Global Entrepreneurship Monitor Project (GEM). Also, the time frame for analysis covers the period 2008– 2014. The selection of these variables responds to a double-selection criterion: on the one hand, the relationship presented by these and on the other hand, the statistical availability of variables. Pearson’s correlation coefficient statistical technique was applied for data processing because it allows to obtain an association coefficient between variables that do not behave normally. It is calculated based on a series of assigned ranges. The values range from − 1 to 1, with 0 being the non-correlation value, and the signs indicate direct and reverse correlation [24].

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40.3 Results and Discussion Considering the results, Fig. 40.1 shows that TBCs have evolved differently during the 2008–2014 period in each of the countries considered for analysis. As shown in Fig. 40.1, Chile and Argentina are the two South American countries that stand out. On the one hand, Chile shows that the percentage of evolution shown by TBCs has not been sustainable over time, as there is only one significant peak in growth in 2011, while for the remaining years it had a drop. For the Argentine case, there is a practically similar situation. However, while the results are not so encouraging, these are the two countries that are more prominent than the other. On the other hand, in countries such as Brazil and Peru, despite making efforts to implement such companies, positive evolution has not been possible. This fact could be explained by the strong investment that these companies require to take off and subsequently, remain in the market. Analysis of Table 40.1 shows that the minimum correlation level is 0.50, i.e., it is slightly closer to 1 than 0. Therefore, the results show that there is a positive correlation; a high rating is given to the country situation. The scientific and technological basis efficiently support the creation of new, world-class companies based on technology in at least one area and R&D transfer level. Therefore, what is raised when choosing the variables that allow the relationship between TBCs and R&D spending is accomplished. When analyzing the significance, we see that it is 0.000 again, so it is true that it is greater than 0.05, and is even greater than 0.01, indicating that the correlation that has been established is most likely true. When analyzing Table 40.2, it is observed that the minimum correlation level is 0.50, that is, it is slightly closer to 1 than to 0. Therefore, the results show that there is a positive correlation, i.e., high rating is given to the situation of innovation, which is highly valued by companies and by consumers. Consequently, the above is achieved 8.00 7.00 6.00 5.00 4.00 3.00 2.00 1.00 0.00

2008 PERU

2009

2010

ARGENTINA

2011 BRAZIL

2012 CHILE

2013

2014 COLOMBIA

Fig. 40.1 Growth of technology-based companies; 2008–2014 period. Source Global Entrepreneurship Monitor (GEM, 2008–2014)

In my country, start-ups and growing companies have as much access to new research and technologies as large established companies

In my country, new technologies, science, and other knowledge are efficiently transferred from universities and public research centers to growing start-ups

TEA technological sector

0.306

0.074

35

Sig. (bilateral)

N

35

N

Pearson correlation

0.102

Sig. (bilateral)

35

35

1

0.505** 0.002

35

0.002

35

0.000

0.703**

35

0.142

35 0.254

0.505**

0.503

0.117

In my country, start-up and growing companies can afford the latest technology

35

0.074

0.306

In my country, start-ups and growing companies have as much access to new research and technologies as large established companies

35

1

35

35

0.281

Pearson correlation

N

0.281 0.102

1

In my country, new technologies, science, and other knowledge are efficiently transferred from universities and public research centers to growing start-ups

Sig. (bilateral)

Pearson correlation

TEA technological sector

Table 40.1 R&D spending variable correlations

35

0.431

0.137

35

0.709

0.065

35

0.083

0.297

In my country, adequate government subsidies are available for start-ups and growing companies, to acquire new technology

35

35

0.011

0.426*

35

0.000

0.648**

35

0.000

0.720**

35

0.000

0.701**

35

0.003

(continued)

0.486**

0.505** 0.002

R&D transfer level

In my country, the scientific and technological base efficiently supports the creation of new technology-based companies in at least one area

40 Technology-Based Companies: The Case of South American Countries 493

In my country, the scientific and technological base efficiently supports the creation of new technology-based companies in at least one area

In my country, adequate government subsidies are available for start-ups and growing companies to acquire new technology

In my country, start-ups and growing companies can afford the latest technology

35

0.648**

35

0.505**

0.002

35

N

Pearson correlation

Sig. (bilateral)

N

35

0.000

0.709

0.083

0.065

35

Sig. (bilateral)

35

N

0.142

0.297

0.503

Sig. (bilateral)

0.254

In my country, new technologies, science, and other knowledge are efficiently transferred from universities and public research centers to growing start-ups

Pearson correlation

0.117

TEA technological sector

Pearson correlation

Table 40.1 (continued)

35

0.011

0.426*

35

0.431

0.137

35

35

0.457

0.130

35

0.027

35

0.522

0.112

35

35 1

0.373*

0.027

0.373*

In my country, adequate government subsidies are available for start-ups and growing companies, to acquire new technology

35

1

0.703** 0.000

In my country, start-up and growing companies can afford the latest technology

In my country, start-ups and growing companies have as much access to new research and technologies as large established companies

35

1

35

0.522

0.112

35

0.457

0.130

In my country, the scientific and technological base efficiently supports the creation of new technology-based companies in at least one area

35

0.000

0.750**

35

0.001

0.533**

35

0.000

0.610**

(continued)

R&D transfer level

494 T. Morales-Molina et al.

35

35

35

N

0.000

0.003

Sig. (bilateral)

0.720**

In my country, start-ups and growing companies have as much access to new research and technologies as large established companies

0.000

0.701**

0.486**

Pearson correlation

*Correlation is significant at level 0.05 (bilateral) **Correlation is significant at level 0.01 (bilateral) Source Ecuadorian Institute of Statistics and Census (2020)

R&D transfer level

In my country, new technologies, science, and other knowledge are efficiently transferred from universities and public research centers to growing start-ups

TEA technological sector

Table 40.1 (continued)

35

0.000

0.610**

In my country, start-up and growing companies can afford the latest technology

35

0.001

0.533**

In my country, adequate government subsidies are available for start-ups and growing companies, to acquire new technology

35

0.000

0.750**

In my country, the scientific and technological base efficiently supports the creation of new technology-based companies in at least one area

35

1

R&D transfer level

40 Technology-Based Companies: The Case of South American Countries 495

In my country, consumers like to try new products and services

In companies in my country, you can see that there is an interest in experimenting with new technologies and trying out new ways of doing things

TEA technological Sector

0.056

0.751

35

Sig. (bilateral)

N

35

N

Pearson correlation

0.063

Sig. (bilateral)

35

0.905

0.021

35

1

35

35

0.317

Pearson correlation

N

0.317 0.063

1

In companies in my country, you can see that there is an interest in experimenting with new technologies and trying out new ways of doing things

Sig. (bilateral)

Pearson correlation

TEA technological Sector

Table 40.2 Correlations of the innovation variable

35

1

35

0.905

0.021

35

0.751

0.056

In my country, consumers like to try new products and services

35

0.061

0.320

35

35

35

0.243

0.203

0.632** 0.000

35

0.000

0.588**

35

0.999

0.000

Valuation of innovation from the point of view of companies

35

0.049

0.656** 0.000

35 0.336*

35

0.125

0.264

0.414* 0.013

Innovation is highly valued by consumers

Innovation is highly valued by companies

35

0.000

0.655**

35

0.029

0.370*

35

0.922

− 0.017

(continued)

Valuation of innovation from the point of view of the consumer

496 T. Morales-Molina et al.

Valuation of innovation from the point of view of companies

Innovation is highly valued by consumers

Innovation is highly valued by companies

0.999

35

Sig. (bilateral)

N

35

0.000

N

Pearson correlation

0.125

Sig. (bilateral)

35

N

0.264

0.013

Sig. (bilateral)

Pearson correlation

0.656**

0.414*

Pearson correlation

35

0.000 35

0.243

35 0.203

0.588**

0.000

35

0.049

35 0.632**

0.336*

0.061

0.320

In my country, consumers like to try new products and services

35

0.000

In companies in my country, you can see that there is an interest in experimenting with new technologies and trying out new ways of doing things

TEA technological Sector

Table 40.2 (continued)

35

0.000

0.571**

35

0.002

0.497**

35

1

Innovation is highly valued by companies

35

0.113

0.273

35

1

35

0.002

0.497**

Innovation is highly valued by consumers

35

1

35

0.113

0.273

35

0.000

0.571**

Valuation of innovation from the point of view of companies

35

0.000

0.699**

35

0.000

0.698**

35

0.001

0.525**

(continued)

Valuation of innovation from the point of view of the consumer

40 Technology-Based Companies: The Case of South American Countries 497

-0.017

0.922

35

Pearson correlation

Sig. (bilateral)

N

TEA technological Sector

*Correlation is significant at level 0.05 (bilateral) **Correlation is significant at level 0.01 (bilateral) Source Ecuadorian Institute of Statistics and Census (2020)

Valuation of innovation from the point of view of the consumer

Table 40.2 (continued)

0.000 35

35

0.655**

0.370* 0.029

In my country, consumers like to try new products and services

In companies in my country, you can see that there is an interest in experimenting with new technologies and trying out new ways of doing things

35

0.001

0.525**

Innovation is highly valued by companies

35

0.000

0.698**

Innovation is highly valued by consumers

35

0.000

0.699**

Valuation of innovation from the point of view of companies

35

1

Valuation of innovation from the point of view of the consumer

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499

by choosing the variables that allow us to analyse the relationship between TBCs and innovation.

40.4 Conclusions The study looked at aspects related to the operation and development of technologybased companies, and a descriptive study assessed the factors related to R&D and innovation spending. The results show that the growth and permanence of TBCs have a highly significant relationship with the analyzed variables, since the changes that have emerged in recent decades have required companies to introduce continuous improvements in technological fields. This also highlights the fundamental role of this type of business and its contribution to the economic development of different economies, through the promotion of parks and incubators that generate knowledge, sources of employment and wealth creation. In general, the emergence and evolution of such enterprises depend on the social, economic, and political environments of the countries that start-up. Additionally, the level of commitment to the design and implementation of policies aimed at supporting TBCs is a fundamental aspect. In Ecuador, the adaptation of this type of trade has been progressive in recent years; therefore, the permanence and expansion of this will depend on the design and implementation of policies and guarantees granted by regulatory bodies to both entrepreneurs and users, with the aim of generating confidence in its use within society.

References 1. Ismail, K., Ajagbe, A.M.: The roles of government in the commercialization of technology based firms. Middle-East J. Sci. Res. 16(2), 229–236 (2013) 2. Pinkwart, A., Proksch, D.: The Internationalization behavior of German high-tech start-ups: an empirical analysis of key resources. Thunderbird Int. Bus. Rev. 56(1), 43–53 (2014) 3. Ajagbe, A.M., Long, C.S., Aslan, S.A., Ismail, K.: Investment in technology based small and medium sized firms in Malaysia: roles for commercial banks. IRACST-Int. J. Res. Manage. Technol. (IJRMT) 2(2), 147–153 (2012) 4. Autio, E., Sapienza, H., Almeida, J.: Effects of age at entry, knowledge intensity, and imitability on international growth. Acad. Manage. J. 43(5), 909–924 (2000) 5. Onetti, A., Zucchella, A., Jones, M.V., McDougall-Covin, P.: Internationalization, innovation and entrepreneurship: business models for new technology-based firms. J. Manage. Governance 16(3), 337–368 (2012) 6. Maine, E.M., Shapiro, D.M., Vining, A.R.: The role of clustering in the growth of new technology-based firms. Small Bus. Econ. 34(2), 127–146 (2010) 7. Maula, M.V.: Corporate Venture Capital and the Value-Added for Technology-Based New Firms. Helsinki University of Technology (2001) 8. Maula, M.V., Keil, T., Zahra, S.A.: Top management‘s attention to discontinuous technological change: corporate venture capital as an alert mechanism. Organ. Sci. 24(3), 926–947 (2013)

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9. Rickne, A., Jacobsson, S.: New technology-based firms in Sweden-a study of their direct impact on industrial renewal. Econ. Innov. New Technol. 8(3), 197–223 (1999) 10. Figueiredo, P.N.: Industrial policy changes and firm-level technological capability development: Evidence from northern Brazil. World Dev. 36(1), 55–88 (2009) 11. Bell, M., Pavitt, K.: The development of technological capabilities. In: Haque, I. U. (ed.) Trade, Technology and International Competitiveness, pp. 69–101. EDI Development Studies, Washington, D.C (1995) 12. Reichert, F.M., Zawislak, P.A., & Pufal, N.A.: Os 4Ps da capacidade tecnológica – uma análise de indicadores de medição. In XXVII Simpósio de Gestão da Inovação Tecnológica (2012) 13. OECD: Oslo Manual: Guidelines for Collecting and Interpreting Innovation Data. OECD Publishing (2005) 14. Jones, O., Jayawarna, D.: Resourcing new businesses: social networks, bootstrapping and firm performance. Ventur. Cap. 12(2), 127–152 (2010) 15. Cheng, C.C.J., Huizingh, K.R.E.: When is open innovation beneficial? The role of strategic orientation. Product Dev. Manage. Assoc. 31(6), 1235–1253 (2014) 16. Du, J., Leten, B., Vanhaverbeke, W.: Managing open innovation projects with science-based and market-based partners. Res. Policy 43(5), 828–840 (2014) 17. Fernandes, C.C., Oliveira, M.M., Jr., Sbragia, R., Borini, F.M.: Strategic assets in technologybased incubators in Brazil. Eur. J. Innov. Manage. 20(1), 153–170 (2017) 18. Ogbari, M.E., Atolagbe, T.M., Adeboye, M.M., Uzuegbunam, J.: Challenges of technologybased entrepreneurial firms on performance drive in Nigeria. Covenant J. Entrepreneurship 1(1) (2017) 19. Lumpkin, G.T., Dess, G.G.: Clarifying the entrepreneurial orientation construct and linking it to performance. Acad. Manage. Rev. 21(1), 135–172 (1996) 20. Miller, E.L., Gans, P.B., Garing, J.: The snake range decollement: an exhumed mid-tertiary ductile-brittle transition. Tectonics 2(3), 239–263 (1983) 21. Covin, J.G., Slevin, D.P.: Empirical relationship among strategic posture environmental context variables, and new venture performance. Front. Entrepreneurship Res. 16(5), 124–133 (1989) 22. Zakrzewska-Bielawska, A.: High technology company–concept, nature, characteristics. In: Proceedings of the 8th WSEAS International Conference on Management, Marketing and Finance, pp. 93–98. Recent Advances in Management, Marketing and Finances (2010) 23. Salancik, G.R., Pfeffer, J.: Effects of ownership and performance on executive tenure in US corporations. Acad. Manage. J. 23(4), 653–664 (1980) 24. Martínez, R., Tuya, L., Martínez, M., Pérez, A., Cánovas, M.: El coeficiente de correlación de los rangos de Spearman. Caracterización. Habanera de Ciencias Médicas, 1–4 (2009)

Chapter 41

University Educational Environment in the Information Exchange Agents Evaluations Olga Shipunova , Elena Pozdeeva , Vladimir Evseev , Inna Romanenko , and Elena Gashkova Abstract The multi-agent approach in the study of university learning environment opens up the prospect of constructive analysis of the different information interconnections in process professional training specialist. The authors aim to identify criteria for assessing the quality of the learning environment and meaningful motivations of participants in the educational process. E-learning at a level mediated by computer software technology is accompanied by a transformation of the established system of relationships of traditional participants in the educational process. Students, teachers, leaders who enter into interactions within the educational system of the university have different goals that determine their attitude to the E-learning environment. The distance E-learning format adds a new level of communication to the student–teacher relationship system, which has its own technological and semantic features and creates barriers to information and cognitive exchange. In this regard, the study of the university educational environment as a multi-agent system and comparative analysis of the positions of its participants are relevant. The study is based on a methodology of system approach. The empirical base is compiled by survey data of representative groups, obtained by the method of online and offline questionnaires. The research results can serve as a basis for improving the educational policy of the university and technologies for information support of the educational process. The revealed tendencies of target coincidence and problem points in information exchange agents interaction are a tool for predicting changes in the university electronic environment to increase the effectiveness of professional training of a qualified specialist.

O. Shipunova (B) · E. Pozdeeva · V. Evseev · I. Romanenko Peter the Great St. Petersburg Polytechnic University, 195251, Polytechnicheskaya str, 29, St. Petersburg, Russian Federation I. Romanenko Herzen State Pedagogical University of Russia, 48 Moika Embankment, Saint Petersburg, Russian Federation I. Romanenko · E. Gashkova St. Petersburg University, Universitetskaya Emb., 7/9, 199034 St. Petersburg, Russian Federation © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_42

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41.1 Introduction Development of the specialist’s professional behavioural skills to a level, sufficient for modern information technology culture, takes place in the conditions of multilevel interactions, where various social institutions and virtual networks act as active agents. Studying the subjects’ evaluation positions of the educational process in the modern world requires taking into account new levels of media communication. Information databases, system products and programmes also become agents of communication in professional activity and training, and these agents exchange acquired knowledge using some specific language and “rules of communication” (protocols) established in the system. Examples of such language are the knowledge query manipulation language (KQML) or the FIPA’s agent communication language (ACL). Modern digital technologies set specific benchmarks for young people, which influence their ideas about professional career and productive strategies for achieving it [1, 2]. Digital literacy becomes an indicator of professionalism in any field of activity, providing high-speed mastering of large information volumes along with the necessary skill of navigation in a computer-mediated network of interactions [3, 4]. The network and interactive nature of new media require participant’s additional skills that would allow effective, ethical and safe interaction [5]. In the context of ideas about the diverse nature of information exchange agents, the education sphere is a multi-agent system [6]. Evaluation of information exchange effectiveness constitutes an integral basis for analyzing various positions of traditional participants of the learning process [7]. The multi-agent approach in complex analysis of the university’s E-learning environment emphasizes the impersonal format of subject-to-subject communication in the educational field based on information exchange. Upon that the task of assessing the prospects for E-learning environment development deals with specifying various target settings, whilst applying to online courses and distance forms of information exchange in the educational process. Our study aims to draw up an integrated approach to the analysis of problems of university educational environment digitalization based on revealed evaluative positions of the educational process agents and points of communicative tension in the conditions of distance education.

41.2 Literature Review Currently, many researchers draw attention to assessing the prospects of learning through software products of an interactive virtual media environment and emphasize the new problems of higher education caused by the inclusion of information net technologies into the learning process management [8, 9]. The concept of polymedia [10] emphasizes the correlation of information environment management with the

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human emotional world and interpersonal relations. The infosphere hidden influence on the subject’s behaviour in a digital society is analyzed in the nudge theory [11], in the studies of manipulating mechanisms of subjects’ consciousness and subconscious. The soft influence of the infosphere on the subject’s decision-making gets through the semantic framework despite the freedom of choice. The information environment itself carries some agenda, which still inclines him to a specific behaviour [12]. Under the influence of informational prompts, a person is likely to perform impulsive actions, guided nature of which he wouldn’t recognize [13]. Measuring the success of digital technologies implementation in the university educational system needs accounting the cumulative effect of mediums, concerning values and motivation of its participants. New problems associate with ethical norms and rules of communication on the platforms and resources provided by the University for executing educational and communicative tasks [14, 15]. The priority of e-technologies of information exchange between the educational process agents shifts the assessment of education quality to the evaluation of the media conditions for digital interactions. The E-learning expansion requires to introduce a certain level of digital literacy for a student to successfully navigate the virtual professional environments. Criteria for assessing the education quality reduce to determining the threshold for entering the interactive system, to the technical problem of agents’ information traffic (student-to-teacher, teacher-to-manager/employer). In this case, the goals are limited to the technique of providing feedback between the system agents. The effectiveness of formal feedback increases requiring a sufficient level of digital competence of system agents [16]. Recent studies emphasize the problem of students’ adaptation to the digital learning environment, which indicates not only the technological threshold of information exchange in the electronic system but also the value barriers and personality typology in assessing distance learning [17]. Technological evolution includes significant changes in the processes of knowledge generation and transfers through new virtual instruments and learning environments focused on the background knowledge of students [18]. In modern literature, the concept of smart learning is being developed [19, 20], the role of online platforms as a tool for developing student cognitive abilities is emphasized [21]. In this study, we use the concept of a multi-agent system, which is developing in informatics, as applied to an integrated learning environment of a university. This will make it possible to use various combinations of traditional and digital interactive systems in the study of information exchange in the process of training a specialist and improving his qualifications [22]. Digital technologies for information exchange management in the educational processes related to the development of intelligent and adaptive environments that put devices with information collection sensors in the place of the physical network space. In this case, the task to combine the contextual information of the educational process agents is solved using a standardized protocol as an intermediary connecting semantic difference in contexts without the direct participation of specific persons. A study by Jun et al. [23] propose a contextual model based on a multi-agent learning environment that shows the perspective of

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an adaptive learning service for efficient communication in agents’ collaboration scenarios. The development of the E-learning environment and digital competencies of students constitute the main trend in modern education [24–26]. These studies deal only with the technological aspect of digital learning and pay the main attention to the students’ adaptation to the digital environment and the use of smart tools in information exchange within a multi-agent system. The specificity of the perception and use of information by the agents of the system constitutes a new set of tasks in extending E-learning. In formational behaviour depending on the background knowledge and personal experience of the student is considered in the work [27].

41.3 Methodology The theoretical basis of this study is the concept of a multi-agent system that emphasizes the combination of different subjects of information exchange in the university communication environment. This combination requires harmonizing the goals and intentions of the participants in the educational process, as well as harmonizing the hidden contexts of their goals and intentions. In the study of evaluation criteria for the educational environment, we use elements of the matrix approach and the actor-network theory of action. From this point of view, we can consider the frames and various intellectual and socio-technical networks as impersonal actors and the education quality in the digital environment as a process of meaningful cooperation of subjects interacting in the framework of a multi-agent system based exchange of information. In this article, we proceed from the fact of digitally formatted subject-to-subject communication in the educational sphere, and the abstract agents are reference groups of students, teachers and managers. Currently, the technological aspect of education digitalization has a priority in the educational system organization. Therefore, the main criterion for distance education quality assessment in the presented sociological surveys is the effectiveness of information exchange in computer-mediated interactive forms. The specified criterion of information exchange effectiveness allows us to evaluate the distance education from the students’ and the teachers’ point of view in the following parameters: (1) (2) (3) (4)

Preferences in choice of training format: traditional, online, mixed Motivation to apply to online training format Free choice of time and place of training The individualized approach to education

The empirical basis of the study was the monitoring of agents evaluative positions according to the criterion for assimilating information in different learning models, the criterion of freedom of choice place of study and the criterion individualization of the educational route. The factual base of the study includes data from online and

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offline surveys conducted at Peter the Great St. Petersburg Polytechnic University (SPbPU) [28], as well as data from sociological study the importance of online learning at St. Petersburg Electrotechnical University “LETI” was carried out in 2018 in the form of a questionnaire survey amongst graduate students of technical faculties (at a rate of 133 respondents) [29].

41.4 Results According to the results of the survey at the Ural State University of Economics and the Ural Federal University (the sample size in 2016 was 830 respondents) as advantages of online education (Table 41.1; Fig. 41.1), students see the possibility of combining work and study (72%), the ability to study from home (58.6%) and a certain freedom of choice of time for classes (26%) [30]. For teachers, the main motivational factor for their active involvement in mastering and development distance technologies in education are material incentives (Table 41.2), which open up the prospect of additional income (77.9%). Dominant motivational factors for teachers also include an opportunity to obtain further knowledge and skills (50.6%), an opportunity for self-actualization (42.9%) [31]. A study of the dynamics of Peter the Great St. Petersburg Polytechnic University students’ attitude towards distance education was held in 2019 and based on the survey of the SPbPU students (random selection of 140 respondents). It showed that 59% of respondents believed that the digital space of the university would create the conditions for more convenient learning. Moreover, 46.3% of students took a favourable view of the mixed educational model as the one contributing to the most Table 41.1 Motivating factors of students for educational agents to choose E-learning model Motives of students

The possibility of combining work and study (%)

Data based on a survey 72 at UrSEU and UrFU

The opportunity to study from home (%)

The freedom to choose the time for classes (%)

58.60

26

Fig. 41.1 Students’ assessment of online learning model by the criterion of freedom (based on a survey at UrSEU and UrFU)

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Table 41.2 Motivating factors of teachers for educational agents to choose E-learning model Motives of teachers

The possibility of additional income (%)

The opportunity to obtain additional knowledge and skills (%)

The possibility of self-realization (%)

Data based on a survey at the Tomsk Polytechnic University

77.90

50.60

42.90

Table 41.3 Students’ choice of learning models (Based on surveys in St. Petersburg Polytechnic University—SPbPU and University of Electrical Engineering—LETI)

University

Traditional model (%)

Online model (%)

Mixed model (%)

LETI

11

16

54

59

46.30

SPbPU

effective uptake of information (Table 41.3). At the LETI, the study of students’ attitudes towards educational models shows a clear preference for a mixed learning model: 11% of respondents chose the traditional model, 16% chose the online model and 54% chose the mixed one. The results of evaluating the effectiveness of information exchange in different learning models show a high level of assimilation of educational material in a mixed educational model. Students of St. Petersburg State University gave their assessment to the judgement: “In a mixed learning model, there is a high degree of information assimilation”. The survey included the following evaluation: 1—I fully agree 2—I mostly agree 3—mostly disagree 4—I disagree 5—I do not know (see Table 41.4). 50% of students surveyed said that learning in a hybrid learning format was more effective. Table 41.4 Information exchange efficiency in a mixed learning model Evaluation position

Strongly agree Rather agree Rather disagree Disagree

I don’t know

Grade scale

1

In a mixed 12.6 learning model, information assimilation is most effective (%) SPbPU students’ evaluation positions

2

3

4

5

36.8

24.2

21.1

5.3

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41.5 Discussion The university educational environment state and trends of its development as a whole represent via an integrated multivariate assessment of learning results by all agents in terms of meeting their needs and expectations. The study allows us to display the goals and assessments of education digitalization processes by learning process agents in the following table (Table 41.5). Analysis of agents’ goals and evaluative positions matrix concerning the digital learning environment shows that neither side yet sees the systematic manifestation of introduced innovations. The study of satisfaction with the quality of educational programmes implemented at Peter the Great St. Petersburg Polytechnic University in the form of a survey covered 4040 students from all institutes and fields [28]. The following diagram (Fig. 41.2) presents the parameters for assessing the degree of compliance of students’ expectations and the real learning process. A comprehensive assessment of the education quality is a derivative of the feedback functioning in university. Feedback allows getting students’ opinion about the learning process, based on their experience and evolved ideas on teaching, educational process organization, support from teachers and managers in the learning process, and on the current state of the educational and communication environment as a whole. A generalized picture of students’ subjective assessments of the education quality at Peter the Great St. Petersburg Polytechnic University shows a relatively high level of a conscious choice of professional profile and a rather high appraisal of the education quality on the criterion of meeting students’ expectations. Table 41.5 Evaluation criteria for the digital learning environment as a multi-agent system Criteria

Administration

Teachers

Students

Goals

• A promotion in university world rating • Smart university model

• Technologies for achieving education quality • New opportunities for achieving educational goals

• Demand for the acquired knowledge and skills • Creative self-realization

Current issues of E-learning system implantation

• Low dynamics of new technologies introduction • Managing the problematic landscape of transition to mixed educational models

• The decrease in • Support in adaptation performance to a mixed indicators at the stage educational model • Development of of distance creative and critical technologies thinking introduction • Professional retraining • Digital literacy • Change in approaches to load calculation

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Fig. 41.2 Correlation of students’ motivational factors and learning outcomes at SPbPU

The criterion of the quality of information exchange in assessing the format of learning allows us to identify the leading motivational factors that determine the position of teachers and university leaders in assessing the prospects of expanding E-learning.

41.6 Conclusion Interaction technologies based on multiagency allow solving the problems that are characterized by frequent changes and complex relations between their elements. Unlike, traditional systems where the solution is found using centralized, sequential and deterministic algorithms. In multi-agent systems, the result is achieved via distributed interaction of numerous autonomous agents, whose common purpose is to find the most appropriate and relevant solution. Monitoring of motivational factors for educational system agents most contribute to the comprehensive analysis of the University educational environment effectiveness as a multi-agent system. Modelling the matrix of positions of the educational process agents as managers (administration), teachers and students, allows analyzing the self-referentiality of the educational system. Since these agents have different goals in the educational process, digital learning environment assessment reduces to one criterion, namely the quality of information exchange between system agents. Each of these agents, in turn, represents a complex multi-agent system in terms of combining the channels for information obtaining, perception and processing. Analysis of evaluative positions criteria for learning process subjects, in the framework of the multi-agent approach, allows detecting the fields of communicative tension in university educational environment. Therefore, we get the basis for the development of social technologies for educational environment managing, along with monitoring of the educational process agents’ positions. The revealed trends of diversity and similarity positions in criteria for the digital educational environment

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evaluation point to the complexity of a new level of conditions and technologies for performing educational tasks. This paper presented students’ assessment positions on the digital educational and communicative environment based on sociological surveys in several Russian universities, which represented only two regions of Russia. Further research towards a comprehensive assessment of the quality of online education in terms of multiagent approach is related to the need to take into account the time factor and the fluidity of the student and teaching contingent of the university.

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Chapter 42

The Role of Information Technologies in a Criminal Investigation for the Portuguese Security Forces: A Case Study of the Guarda Nacional Republicana Amílcar Pereira, António Lobo de Carvalho, and Luís Malheiro Abstract The aim of this study is to analyze the main contributions of the use of information technologies to enhance the operational efficiency of the investigation structure of the Portuguese Security Force (Gendarmerie Status), named Guarda Nacional Republicana (GNR). In this work, a conceptual framework of the criminal investigation and its organic structure at the level of the GNR was carried out, and, in the same way, the legal regime inherent to the criminal investigation was analyzed and its functional aspects characterized. The role of information, as a central instrument for the institution was also evaluated, their respective functionalities are considered and the main challenges that remain are highlighted. Finally, the importance of information systems and technologies in criminal investigation and in the cooperation and interoperability of the criminal investigation structure was considered. For that, a methodology based on the hypothetical-deductive model was followed, using exploratory interviews and consequent elaboration of hypothesis, verified through confirmatory interviews. Overall, information technologies are crucial for criminal investigation activity in GNR, can help predict, monitor, and adapt to the evolution of the current criminal reality—increasing situational awareness. However, it is essential to mention that these tools are only one more resource available to support the decision-making process, in which the human element continues to be central.

A. Pereira Guarda Nacional Republicana/Military Academy, Lisbon, Portugal e-mail: [email protected] A. L. de Carvalho Guarda Nacional Republicana, Lisbon, Portugal e-mail: [email protected] L. Malheiro (B) Military Academy/Military Academy Research Center, Lisbon, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_43

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42.1 Introduction Technological instruments are increasingly rooted in organization’s structure, culture, procedures, and intervention, becoming natural needs [52]. Thus, the increasing use of technological tools, still designated as new, the result of their constant evolution has effects in multiple dimensions, from the outset, concerning information. One of the main consequences of using information technologies (IT) is the extension in quantity and the quality of data [14]. As a result, information plays a decisive role in the operational effectiveness of criminal investigation (CI) structures in anticipating and combating criminal phenomena [62]. Consequently, one of the guiding principles of this investigation is that if crime evolves, its response should evolve [74]. Thus, given the development of a crime whose nature adopts numerous forms of manifestation [56], the monitoring, adaptation, and innovation of technological resources constitutes a current requirement of the CI [1], under penalty of its obsolescence for a reasonable, prompt, and timely response to new forms of criminal action [9]. However, as foreseen in the 2018 Annual Internal Security Report (AISR) [61], the investment and strengthening of Security Forces and Services (SFS) with new technological tools should be complemented by the valorization of human resources [61]. Although IT translates into tangible advantages in the operational intervention of CI structures, it should be noted that they are not sufficient to improve operational performance in reducing crime [31]. Consequently, investigative difficulties must be overcome continuously from a close link between human and technological resources [12]. Thus, as the central axis of this investigation, the following main question (MQ) was structured: “What are the main contributions of Information Technologies to increase the operational effectiveness of the organs of the criminal investigation structure of the territorial units of GNR?” The stated MQ contributes to the General Objective (GO) of the research [20], translating into “Analyze the main contributions of the use of information technologies to increase the operational effectiveness of the organs of the criminal investigation structure of the territorial units of GNR.” Therefore, to disaggregate the GO into more restricted and elementary aspects [13], the following were outlined as Specific Objectives (SO): SO1—Describe the role of criminal information in responding to criminal phenomena; SO2—Identify the strengths and weaknesses underlying the structure and operation of information systems and technologies in the criminal investigation structure of the Territorial Units of GNR; SO3—Identify the improvements to be implemented in information systems and technologies to strengthen the operational effectiveness of the criminal investigation structure of the territorial units of GNR. In this sense, an analysis model was constructed using research questions [49] responsible for circumscribing the axes from which the researcher will channel his effort [55], i.e., the Derived Questions (DQ) of the research, translating into the following: DQ1: What is the role of criminal information in responding to criminal phenomena? DQ2: What are the advantages and disadvantages of the operation and use of information systems and technologies by the criminal investigation structure

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of the territorial units of GNR? DQ3: What improvements should be implemented in information systems and technologies to reinforce the operational effectiveness of the criminal investigation structure of the territorial units of GNR? Consequently, documentary research and bibliographic research were used as data collection instruments [26] and fifteen interviews with military personnel in the GNR officer category, with functions and in-depth knowledge in CI and IT. As far as data processing and analysis are concerned, the model proposed by Sarmento [58] was adopted, based on the categorization of the raw facts of the interviews, organizing them and attributing meaning to them [21].

42.2 The Criminal Investigation The term Investigation comes from the Latin word “investigatione” (in + vestigius + actio), which integrates the action-oriented to trace the footprint [74]. Therefore, we elucidate the investigating concept while looking at the trails and paths left in a particular event to achieve knowledge, a truth [74]. Thus, from a classical perspective, CI presents as its purpose the location, collection, conservation, examination, and interpretation of evidence leading us to the understanding and demonstration of the material truth of the facts, translators of the consummation of a particular criminal offense [35]. However, it should not be arrested only with the probative purposes described and all the evidence supporting the thesis of innocence [74] since a significant structure of CI requires strategy and planning [43]. Paulsen and Robinson [44] argue that the interpretation of the crime requires the integration of four fundamental minimum elements: the law, which determines which conducts embody the crime; a criminal, as an individual who violates legal norms; the target, whether person or object, on which the perpetrator acts and, finally, the place, the space–time location, in which the three dimensions mentioned compete. Thus, CI structure develops a set of principles, rules, and procedures, that is, an operating system, from which its activity is pursued [11]. As a result, following Braz [73], the primary challenge for CI is efficiency. CI is structured on a scientific, systematic, and integral basis, which requires specialization, training, teamwork, and the use of sophisticated technological equipment and means [11] as contributions to its operational maximization [45]. The CI comprises all the steps that, in the context of criminal procedural law, aim to determine the existence of a crime, ascertain its agents and their responsibility, and discover and collect the evidence in the proceedings [4]. Considering the Law of Criminal Investigation Organization (LCIO), it is verified that, according to its Article (Art.) 6 combined with Art. 7 and paragraphs 1, 6 and 7 of Art. 8, the CI powers attributed to the GNR fall within the crimes whose nature most affects the population itself in their daily lives1 [74]. As a Criminal Police Agency (CPA) of general competence, GNR is responsible for investigating crimes whose jurisdiction 1

Law No. 49/2008 of August 27: Criminal Investigation Organization [4].

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is not reserved for other CPAs and is delegated by the competent Judicial Authority (JA) (Art. 6 of the LCIO). In turn, in the field of criminal investigation and prevention, criminal phenomena emerge for which the Law of Criminal Policy Act (LCPA) gives precedence to its investigation, i.e., so-called priority prevention crimes, and priority investigation crimes, as provided for in Art. 4 and Art. 5 of the LCPA, respectively. With a view to the sustained reduction of crime rates, Art. 17 of the LCPA identifies the sharing of information, materialized by cooperation between the CPAs, as a guideline for preventing and investigating the crimes mentioned.2 At the same time, about paragraph 3 of Art. 272 of the Constitution of the Portuguese Republic (CPR) [48], it is given the police as a security force responsible for ensuring internal security, crime prevention [62]. Thus, criminal prevention configures the set of actions developed by the security forces to avoid the consummation of facts contrary to the purposes of the internal security activity, agree with art. 1 of the Internal Security Law (ISL)3 [5]. On this path, as corroborated by Valente [74], crime prevention is also implemented in the pursuit of CI acts conducted by the CPAs that are subordinate to this constitutional command. The CPA has an accurate and in-depth technical knowledge essential to the pursuit of the CI activity [35]. Therefore, it is based on this premise that, according to Paiva [43], no law characterizes CI from a material, methodological, and epistemological perspective. The researcher does not project from the law which method and/or strategies should be adopted to investigate a crime. In this context, the technical and tactical autonomies are subjugated to the need for CI [74]. Because of this contextualization and considering the changes to the CI structure established in Order No. 18/14-OG, of March 11, 2014, the strengthening of the operational effectiveness of the GNR CI configures the active principle of its restructuring. Thus, under this Order, CI’s structure is assumed based on three functional aspects: CI—Operative, CI—Criminalistics and CI—Criminal Information Analysis. Given the diversity of sources that feed the information system (IS), it is imperative to highlight the human element [72] as a central agent in collecting factual data and precision as much as possible [8]. Considering Order No. 18/14-OG, it is perceived that the following bodies operationalize the operative aspect of the CI structure of the territorial units of GNR: the Criminal Investigation Center (CIC), the Operational Support Center (OSC), present only in the Sections of Information and Criminal Investigation (SICI) Type I, the Center for Investigation and Support for Specific Victims (CISSV), the Center for Investigation of Environmental Crimes and Offences (CIECO) and the Center for Investigation of Crimes in Road Accidents (CICRA) [23]. For its part, the purpose of the Criminalistics is to discover and reconstitute the material truth of the criminally relevant facts and the demonstration of their authorship [10]. Thus, the progressive importance of material evidence in the legalprocedural and technical-scientific level has led to the development of technical and 2 3

Law No. 55/2020 of 27 August: Criminal Policy Act—Biennium 2020–2022 [7]. Law No. 53/2008 of August 29: Internal Security Law [5].

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scientific police [36], which play a healthy and unique role in the evidential production process [11]. However, it is important to highlight the evidence’s materiality since the use of scientific, technical, or artistic methods, added to the proceedings in the field of evidence, requires that the evidence be always validated [35]. Consequently, criminalistics intervenes in a plurality of forensic areas, including forensic photography, lofoscopic identification [71], and genetic identification [37]. Under Order No. 18/14-OG, the Criminalistic structure of the Territorial Units of GNR is part of the Criminalistics Subsection, which forks into two central bodies: the Technical-Expert Center (TEC) and the Technical Support Center (TSC). At the level of the Operational Command (OC) is also provided for the digital forensic capacity, materialized by the Office of Forensic Digital Forensic Expertise, under the jurisdiction of the Criminalistics Division, as provided in Order No. 488/18-OG, of November 30 [25], of the OC, in conjunction with Order No. 18/14-OG [23]. Finally, the capacity for criminal information analysis emerges, based on the evolving nature of criminal data, following the sophistication of illegal analytical methods [47]. The analysis comprises the evaluation and comparison of information to interpret the data’s significance relating to a criminal investigation or evaluation [28]. Progressively, crime analysis consists of the systematic study of criminal problems and other aspects underlying the police mission, namely sociodemographic, time, and spatial factors, to support the police forces in combating, reducing, preventing, and evaluating crimes [57]. In this sense, information analysis uses historical elements, but virtually aspects of today and based on the future [8]. According to Order No. 18/14-OG, this strand is ensured by the Subsection of Analysis and Criminal Investigation, which includes the Centers for Analysis of Information and Criminal Information (CAICI) [23]. At the same time, it should be noted that the analyst is who directs the whole process and decides which tool, in each circumstance, better solutions can draw from the high volume of information that exists [29].

42.3 The Information The value of information is closely related to how it supports decision-makers in achieving organizational objectives [66], materializing the critical success factor of the mission [17]. Consequently, it is crucial to collect and process useful news in the fulfillment of the police mission, since they allow the flagging of threat agents, predicting occurrences and anticipating security measures [2]. However, the interpretation of the concept of information should not be confused with other co-existing concepts [34]. According to Ratcliffe [54], the DIKI continuum (Data-InformationKnowledge-Intelligence) sequence reproduces a means of conceptualizing the information and data sources that structure knowledge. In this sense, starting from their most elementary condition, the data is raw facts [66], i.e., observations and uninterpreted measurements [42]. In turn, the news relates to any fact, document, or material whose knowledge proves to be of interest, allowing

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to know better, both the adversary and its area of action [24]. Progressively, when framed in a context, in relation to space, time and the panorama of action [8], these translate into Information. Acting on Information not only means intervening on the data underlying them, but also intervening on established relationships, that is, on collective or individual standards [52]. In this follow-up, the process that allows the establishing relationships between the data, to generate useful information, requires knowledge [66], which is achieved when the meaning is structured [67], that is, when there is the ability to interconnect complex information systems, transposing them into a new reality [72]. However, the information when analyzed in isolation does not allow us to understand how the actors will act, what models will be adopted, the meanings to be achieved, as well as the opportunity to use their effort [1]. Thus, when we understand information in a related, contextualized, and organized way, we reach a higher level, the intelligence [8]. Intelligence consists of the set of news, data, and facts, which through a methodical and systematized process are converted into useful and relevant information [64] and for action-oriented purposes [42]. The current activity of the police forces is itself a single source of information [63] by virtue of the constant surveillance and prevention efforts conducted throughout the national territory [41]. Thus, the police are responsible for the task of forecasting/prevention [17]. To this end, it uses the production of information and further exploitation of products, in the context of the maintenance of public order and crime prevention, and in this area the concept of police information is framed [17]. Accordingly, police information is part of the set of information for the direct conduct of missions legally granted to police services [68], being an instrumental level, that is, strategic-operational [39]. According to Clemente [17], police information is organized based on a tripartite structure, divided into: counter-information, public order information, and criminal information. First, counter-information identifies the set of active or passive security measures of a certain nature [24] to prevent the improper collection of confidential information [19]. Public policy information, on the other hand, is intended to prevent occurrences of public policy and anticipate incivilities, in particular the production of criminal offenses, involving the knowledge resulting from pre-procedural activity in criminal matters [17]. In turn, criminal information falls within the field of activity limited to criminal investigation [16]. The importance of criminal information for CI activity is recognized by LCIO when creating an Integrated Criminal Information System provided for in Art. 11 of the LCIO and in Art. 1 of the LIISCPA (Law of Interoperability between Information Systems of Criminal Police Agencies)4 [18]. Pursued through access to integrated criminal information systems, the sharing of criminal information represents the instrument of cooperation most empowered for CI purposes [45]. From the foregoing, it would be a mistake to state that there is no relationship between information and CI, since the information is instrumental in the CI [46]. 4

Law No. 73/2009 of August 12: Conditions and Procedures to establish the Integrated Criminal Information System [6].

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42.4 From Information Systems to Information Technologies A system structures a set of components that relate to each other to achieve a common goal. However, we must consider that all these building components of the system represent more than the mere sum of the respective parts [60]. Adopting this holistic view, Laudon and Laudon [33] define an IS as a set of interrelated elements, competing to collect, store, process, and disseminate information, configuring these a unique instrument of decision support, by whom of law. In turn, Amaral and Varajão [3] affirm that the IS is translated into a set of procedures, information, people, and IT, structured to achieve organizational objectives by participating, both in planning, as in organizational decision-making and control. Thus, IS materializes support for the flow of data and information to meet the needs of people pursuing activities in organizational operations [50]. Its design is based on an efficient and compelling articulation of the multiple components: people, data set, hardware, software, communication systems, and organizational procedures, built based on a value criterion defined by its users [27]. In a sense, the evolution of IS supports its pillars in the term simplify, using IT [51]. Starting from the integration of the potential stemming from IT, IS becomes strategic resources that determine the achievement of organizational advantages [53]. The constant evolution of IT represents a potentiating factor, both in restructuring and boosting the quality, flexibility, and autonomy of organizational tasks [59]. Rascão [52] refers, IT is a heterogeneous set of knowledge, means, and know-how, systematized given production projecting, decisively, the manifestation of new forms and perspectives of interpreting the issues. Besides, Gouveia and Ranito [22] define IT as computer components (hardware and software), processing techniques, and technological tools for data and information communication from a strictly technical perspective. Subsequently, there are multiple expressions, with normative prevision, that translate one of the main instrumental activities of IT, i.e., Cooperation, as “Exercise in common” [48]; “Joint efforts” [70]; “Collaboration” [69]; “Information Sharing” [4, 5, 7]; “Exchange of Data and Information” [6]; “Points of contact” [5]; “Communication” [4, 5] and “Articulation” [4, 5]. Thus, the use of IT reinforces the articulation and cooperation between Security Forces and Services, namely through the exchange of information, resources, experiences, and good practices, as illustrated in Fig. 42.1. In this context, IT and the collection, storage, treatment, analysis, and dissemination allow the increase of both the quantity and the quality of information [14] by printing increased effectiveness and efficiencies to IS and superior robustness in technological infrastructures [40]. One of the most prominent errors in the non-feasibility of efficient intervention by the SFS is the implementation of conventional and obsolete methods in the monitoring and resolution of crimes, framed in a new social context in constant change [65]. Thus, since the timing for making decisions is increasingly lower [52], it is essential, in view of this requirement, the use of IT for faster detection and response

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Fig. 42.1 Schematic framework of an IT in information system—own elaboration based on [33, 40]

to crimes, as well as in improving evidence collection and developing new prevention and CI strategies [31]. The articulation between CI and IT has an effect in the field of criminal evidence collection. By means of certain software, it is possible to collect the communications, their storage and then read, by recording, in real-time, the content of the facts communicated between the interveners, under investigation in a particular criminal case [32]. Also, in the context of the collection of evidence, forensic digital tools with the ability to access information contained on mobile devices are used, with for example smartphones, extracting and decoding, both the easily accessible data present in the device’s internal memory (e.g., WhatsApp conversations), as well as all deleted data or files, restoring them (e.g., messages, photographs, or videos) [30]. There is evidence that, due to its natural perishability, requires an absolute guarantee of the integrity and inalterability of its elements to preserve the Chain of Custody of Evidence [10]. Thus, we refer to the lofoscopic identification, which, according to Braz [11], unequivocally translates the main method of evidential production. Therefore, the strength and value of the expert evidence, in addition to the form and method in which the tests are obtained, depend on technological equipment that preserves its quality, guarantees its storage, and promotes the validity of the expert conclusions [11]. On the other hand, the new IT based on powerful IT solutions, allow the achievement of high levels of performance in the crossing and correlation of data, significantly increasing the ability to process information and, mainly, its analysis [38]. The use of IT by the Criminal Information Analysis strand externalizes advantages, fundamentally, at two levels in CI: at the operational level, through the projection of intervention guidelines and work hypotheses based on diagrams, flowcharts of

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connections, timelines and probability matrices and, at the strategic level, through their support for police planning and management, through the prediction of crime and signaling of trends and evolutionary patterns [11]. Thus, one of the main advantages of using IT is the automatic processing in close support of the analyst thus enabling the processing of a source of information [8]. It should also be noted that the dissemination of decision support systems and technologies also stems from the need to characterize not only the authorship of the crimes, but also the criminal space [15]. In view of this requirement, the use of technological tools that enable analysts to map crime is crucial to carry out spatial analyses of crimes and disorders [57]. From the foregoing, we can conclude that IT have become a unique support for the development of any CI activity enabling, from the collection and evaluation to the treatment, analysis, and dissemination of information, fostering and producing a notorious efficacy and efficiency in prevention and CI mechanisms [35].

42.5 Analysis and Discussion of Results This investigation sought answer the central research question: “What are the main contributions of Information Technologies to increasing the operational effectiveness of the organs of the Criminal Investigation structure of the Territorial Units of GNR?” Because of the method followed, this question was disaggregated into DQ, which is then presented. Regarding DQ1: “What is the role of criminal information in responding to criminal phenomena?” It is essential to consider that criminal information falls within the field of CI activity. Thus, the use of criminal information is intended to fulfill the purposes of the CI, that is, to determine the existence of a crime, to identify and hold its agents accountable, as well as to discover and collect the evidence, in the event of a crime process, materializing evidence of investigation. In this sense, the collection, evaluation, treatment, analysis, and dissemination of this information configure unique techniques/tools for the investigation of crimes by the CPAs. The process of analyzing this information is continued, at SICI level, by CAICI, by producing information reports that will subsequently be disseminated to the operational bodies to support their planning and operational intervention. Consequently, criminal information will direct the investigation, establish procedures and techniques of action, collect, and investigate, identify, study, and monitor criminal phenomena, and determine the necessary means to employ. Thus, criminal information supports the analyst in his decision-making process and the development of research strategies, in conjunction with the active nuclei. Therefore, the sharing of criminal information is a single instrument of cooperation in responding to criminal phenomena. However, it should be considered that, at the level of the CI structure of the GNR Territorial Units, criminal information is not dissociated from police information since it complements each other, having effects, both in the field of repression and prevention.

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Characterized the essential element of the IT in the pursuit of the CI activity, it results in analyzing DQ2: “What are the advantages and disadvantages arising from the operation and use of Information Systems and Technologies by the Criminal Investigation structure of the Territorial Units of GNR?”. Considering the main advantages, we see that IT allows the collection, storage, treatment, analysis, and dissemination of information, promptly, ensuring the centralization in a single repository of all information dispersed in multiple sources. Similarly, in addition to accessibility and, consequently, dissemination of information, IT is essential in ensuring the authenticity, reliability, confidentiality, and integrity of information, whether stored and/or preserved or shared between the CPAs, for prevention and CI, articulating close coordination and cooperation between them. In this sense, IT configures tools to support CI, producing effects at multiple levels. On the one hand, at the level of information, as a product, increasing both quantity and quality, accuracy, and safety. On the other hand, they make it possible to shorten and support the entire decision-making process, monetize means, identify, and define methodologies and techniques that lead to greater rigor and optimization of the research process and, finally, from a cross-cutting perspective, to print an increased efficiency in the operational intervention of the CI structure of the GNR Territorial Units. However, the operation and use of IT by SICI also manifest weaknesses. Since technological advances have progressively strengthened criminal activities, monitoring and adapting specialized tools is required under penalty of obsolescence for a timely, effective, and competent response. In the same vein, since IT is continuously evolving, it undertakes constant modernizations and changes, which requires an adaptation to their advances through licenses and/or updated versions. Besides, there is a need for access to multiple systems to collect and analyze information, creating redundancy and opportunity. In addition to logistics expenses and equipment costs, it is crucial to consider that IT cannot be viewed in isolation. These materialize support to all the activities developed by the human element. However, there are limitations in terms of the number of human resources in the CI structure and the level of its training, conditioning the monetization of the use of systems and IT and, consequently, the quality of information, whether inserted or produced from them. Finally, considering the last DQ, that is, the DQ3: “What improvements should be implemented in information systems and technologies, to enhance the operational effectiveness of the Criminal Investigation structure of the Territorial Units of GNR?”, it was concluded that improvements in interoperability between the systems used should be implemented in GNR, to centralize all individualized information in the multiple existing repositories, facilitating its synthesis, crossing, and correlation and, therefore, its sharing and analysis, fulfilling the principle of the need to know. In addition to strengthening the number of human resources and their training, it would be essential to invest in new systems and IT to optimize the entire information production cycle. Regarding H1: “Criminal information is intended to fulfill the purposes of CI and is used by CAICI in the production of information reports, thus contributing to determining the existence of a crime, identifying and holding its agents accountable,

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as well as discovering and collecting evidence in the context of the investigation.” has been fully confirmed. However, it is impossible to separate criminal and police information, particularly at the territorial unit level, was underlined, having effects both on prevention and the suppression of crime. Concerning H2: “The main advantages of using IT are the centralization of information, as well as its supervision and verification, in real-time, increasing its quality and reducing response time to operational needs. As for the disadvantages, IT requires a continuous updating of technical knowledge for the use of them and are based on high costs for their acquisition and maintenance.” was fully confirmed. IT is an essential foundation for the planning and intervention of CI bodies, enabling the recognition and decision-making of research techniques and tactics to be implemented and rationalizing their means. However, the permanent technological evolution affects criminal dynamics and their capacity for organization and articulation, which requires adaptation and monitoring by the CI structure. Finally, H3: “The main improvements to be implemented in this context are the development of the storage capacity and analysis of large amounts of information, which would allow, in an automated way, to correlate information from various sources, as well as to invest in the technical training of the military.” was fully confirmed. However, the main improvement highlighted is interoperability between systems and registration and access to information, generating constraints on analyzing, synthesizing, and sharing information.

42.6 Conclusions This investigation intended to answer the research question: “What are the main contributions of Information Technologies to increasing the operational effectiveness of the organs of the Criminal Investigation structure of the Territorial Units of GNR?” Thus, in conclusion, once the DQs are answered, the conditions for achieving the MQ are met. After analyzing the results obtained and the material collected and developed in the conceptual domain, we conclude that the operational benefits arising from the use of the Systems and IT by the GNR CI structure are multiple. Taking as a starting point the emerging potential sums in terms of information analysis, IT allows the achievement of high levels of performance in the centralization and synthesis of information, giving body to the projection of guidelines and hypotheses of investigation based on diagrams, schedules, and flowcharts. Consequently, it is possible to georeferenced criminal phenomena, analyze their history, interconnect relationships, establish criminal tendencies and their incidence and evolutionary patterns. In other words, they make it possible to identify new lines of investigation, decide and monetize the technical, tactical and methodologies to be implemented and, therefore, assist planning and intervention, both in the field of the general police mission, directing patrolling, and in the context of investigations pursued by the operational bodies. In turn, the link between CI and IT, produces

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effects at the level of research and/or information collection. The use of communications collection and storage software makes it possible, on the one hand, to re-enact the facts and, on the other hand, to monitor and identify criminal activity promptly. In turn, the search and collection of information are also ensured through access to the content present on mobile devices, extracting and decoding your data, allowing its collection, storage, and preservation to constitute evidence. Thus, the preservation of evidence, that is, the guarantee of the probative value of the facts collected, constitutes one of the primary potentialities of IT use. For this purpose, technological solutions are also competing which, in addition to identification, ensure, in an absolute and unequivocal manner, the integrity and inalterability of traces. In view of the previous, through the centralization and storage of information and, therefore, the steps collected under CI, means (human and material) are rationalized, dematerialized acts and procedures, streamlined communications, shortened decision cycles, suppressed redundancies and information, through their sharing, in a logic of cooperation and coordination. From the foregoing, we conclude that, increasingly, it is essential to use IT, since the evolution of the current criminal reality is characterized by its capacity for reorganization and re-articulation, dynamized by technological advances, which implies human resources, training, specialization and, consequently, investment in technical means and equipment. Therefore, it is that IT has become a strong pillar for the operational maximization of prevention and CI mechanisms.

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58. Sarmento, M.: Metodologia científica para a elaboração, escrita e a apresentação de teses. Universidade Lusíada Editora, Lisboa (2013) 59. Sequeira, B., Serrano, A.: Influências e efeitos dos SI/TI no desempenho profissional. In: Centro de Investigação de Desenvolvimento e Economia Regional. Acedido a 30 de março de 2020 em. https://sapientia.ualg.pt/bitstream/10400.1/4443/1/Influ%C3%AAncias%20e%20E feitos%20dos%20SI%20no%20Desempenho%20Profissional%20.pdf (2002) 60. Sillitto, H., Martin, J., McKinney, D., Griego, R., Dori, D., Krob, D., Godfrey, P., Arnold, E., Jackson, S.: Systems Engineering and System Definitions. INCOSE, USA (2019) 61. Sistema de Segurança Interna [SSI]: Relatório Anual de Segurança Interna 2018. Gabinete do Secretário-Geral do Sistema de Segurança Interna, Lisboa (2019) 62. Soares, P.A.F.: Meios de Obtenção de Prova no âmbito das Medidas Cautelares e de Polícia. Almedina, Coimbra (2014) 63. Sousa, P.J.L.: A Partilha de Informação entre as Forças e Serviços de Segurança e os Serviços Prisionais: Uma mais-valia! In: Chambel, E.M., Valente, M.G., Santo, P.E. (Coord.) Ciências Policiais – Estado, Segurança e Sociedade, pp. 167–190. Almedina, Coimbra (2011) 64. Sousa, P.M.L.: A Análise de Informações como um Contributo para que o Ministério Público ultrapasse uma certa passividade durante a Fase Preparatório do Processo. In: Silva, G.M., Valente, M.M. (Coord.) Estudos de Homenagem ao Juiz Conselheiro António da Costa Neves Ribeiro – In Memoriam, pp. 197–228. Almedina, Coimbra (2007) 65. Souza, J.L.C.: Crime, Polícia e Tecnologias da Informação. Police work and new Technologies 22(1), 301–324 (2016). https://doi.org/10.5433/2176-6665.2017.1v22n1p301 66. Stair, R.M., Reynolds, G.W.: Princípios de Sistemas de Informação (3ª Edição). Cengage Learning Edições, Brasil (2016) 67. Tomita, Y., Shirasaka, S., Watanabe, K., Maeno, T.: Applying design thinking in systems engineering process as an extended version of DIKW Model. In: 27th Annual INCOSE International Symposium (IS 2017). INCOSE, Australia. Acedido a 3 de abril de 2020 em (2017). https://onlinelibrary.wiley.com/doi/abs/10.1002/j.2334-5837.2017.00398.x?fbc lid=IwAR0NC7OccZgNkZd3_4KeF7PMvDzBEI98yW71RqmvXSyLZpqPH0sHCfYBT0M 68. Torres, J.E.: A Investigação Criminal na PSP – O Modelo Atual e Perspetivas de Evolução ao Encontro do Conceito de Polícia Técnica de Proximidade. In: Pereira, M.J., Neves, J. (Coord.) Estratégia e Gestão Policial em Portugal, pp. 575–636. INA—Instituto Nacional de Administração, Oeiras (2005) 69. União Europeia [UE]: Tratado sobre o Funcionamento da União Europeia (Versão Consolidada). In: Jornal Oficial da União Europeia (2016). Accessed March 16th of 2020. https://eur-lex.europa.eu/resource.html?uri=cellar:9e8d52e1-2c70-11e6-b497-01a a75ed71a1.0019.01/DOC_3&format=PDF 70. United Nations [UN]: Carta das Nações Unidas e Estatuto da Corte Internacional de Justiça. In United Nations (1945). Accessed March 27th of 2020. http://dag.un.org/bitstream/handle/ 11176/387353/PORTUGUESE-1976.pdf?sequence=1&isAllowed=y 71. U. S. Department of Justice: The Fingerprint—Sourcebook. National Institute of Justice, Washington (2004) 72. Valacich, J.S., Schneider, C.: Information Systems Today: Managing the Digital World, 8th edn. Pearson, London (2018) 73. Valente, M.M.G.: Investigação Preliminar, Meios Ocultos e Novas Tecnologias. Revista Brasileira de Direito Processual Penal 3(2), 473–482 (2017). https://doi.org/10.22197/rbdpp. v3i2.82 74. Valente, M.M.G.: Teoria Geral do Direito Policial (6ª Edição). Almedina, Coimbra (2019)

Chapter 43

Knowledge Production in Universities: An Analysis Based on Human Capital Theory, a Case of Accredited HEIs in Colombia Gustavo Moreno-López, Lillyana María Giraldo Marín, Ledy Gómez-Bayona, and Jesica Maria Rojas Mora Abstract The purpose of this paper is to analyze the results of knowledge production of researchers linked to Colombian Higher Education Institutions (HEIs), accredited in high quality; based on the basic elements or dimensions of human capital theory, the information will be collected and analyzed from a secondary source: the web page of the Administrative Department of Science, Technology and Innovation of Colombia (Colciencias), government entity that manages the scientific production supported by the group and researcher measurement model; likewise, the information will be tabulated, organized, and structured in such a way as to identify substantial elements to be able to infer and compare from their results. The results show the descriptive statistical information of each one of the regions in which the country is divided in the (Colciencias) model, allowing to identify the basic parameters, such as the mean and the median among other elements. For the different groups of analysis: classified researchers, training of researchers, classified research groups, and the productivity indicators are presented in reference with each of the seven regions: Capital District, Coffee Region, Pacific, Caribbean, Middle East, Center South, and Plains.

G. Moreno-López (B) Institución Universitaria Marco Fidel Suarez, Bello, Antioquia, Colombia e-mail: [email protected] L. M. G. Marín Universidad de Medellín, Medellín, Colombia e-mail: [email protected] L. Gómez-Bayona Universidad de San Buenaventura, Medellín, Colombia e-mail: [email protected] J. M. R. Mora Universidad Nacional, Medellín, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7_44

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43.1 Introduction This study is structured in a manner in which the first section is an introduction, which contextualizes the classification method for scientific production in Colombia. Afterward, the concept of human capital (HC) is developed and integrated into the analysis, along with knowledge production and management. Last, the results are presented, followed by the conclusion and theoretical references. Given the above study structure, this paper consolidates a future line of research that identifies the characteristics of HC that contribute to the production or generation of knowledge at higher education institutions. The arrival of the information society and its progression toward a knowledge society has made intangible, knowledge-based resources one of the main sources for the creation of a sustainable competitive advantage, value generation, and future performance for organizations [1–6]. The knowledge society calls for individuals replete with skill attributes that are defining characteristics of the day and age, such as commercial skills, emotional intelligence, interdisciplinary and effective teamwork, an entrepreneurial spirit, and close-knit social relationships [7]. It is noteworthy that all this theoretical interviewing leads to knowledge management, which is defined as information that combines with experience, context, interpretation, and reflection [8]. If a university is considered to be an institution that generates knowledge, it presumes a research-based perspective, which leads to the central pillar of HC theory analysis, in the fulfillment of its aim to discover the interactions associated with generating knowledge in university organizational processes, while considering that this is precisely where researchers interact. Moreover, a knowledge-based economy is considered to be principally characterized by its production of knowledge, and universities have an important role in all these processes. This approach has led to the ongoing concern over assessing intangibles [9]. With this forming the backdrop, Colciencias, as the governing body of research in Colombia, is considered to recognize, identify, and classify the production of new knowledge, along with establishing certain parameters in this regard. Starting in 1991, Colciencias began convening research groups and centers. In 2002, the feature of recognized and classified groups was introduced through the development of the ScienTI–Colombia platform, which modernized the management of the national science and technology system. Furthermore, the possibility of interacting in Latin America and the Caribbean was considered in order to exchange information sources. This led to the creation of GrupLAC and CvLAC, both platforms designed to store information from groups and people, respectively, dedicated to the visualization of the generation of new knowledge. In 2004, a group hierarchy was established and defined as the qualitative scales A, B, and C. In 2008, categories A1 and D were introduced into the classification, resulting in the following classification: A1, A, B, C, and D. Moreover, during February 2010–December 2011, new parameters were established to measure groups, including a scale to measure researchers on the basis of their academic–scientific production and trajectory. This consists of the following three categories: senior researcher, associate researcher,

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and junior researcher. Thereafter, on the basis of the analyses performed in 2016, it was decided to eliminate category D from group classification in the last call for the classification of researchers and research groups [10]. This call defined the research and technological development (or innovation) group as a set of people who interact with research and generate knowledge products in one or several aspects, according to short-, medium-, and long-term work plans, to address a particular problem [10]. The recognition of research groups is valid for 2 years. After carrying this out, Colciencias communicated that members of research and technological development or innovation groups be individuals performing a certain activity related to the group’s work. The CvLAC platform houses the curriculum vitae of people in the information system, and when they become group members, they are automatically classified according to four categories: researchers, researchers in training, undergraduate students, and related members. Simultaneously, these four member types are divided into four subtypes: (1) Researchers: emeritus, senior, associate, and junior; (2) Researchers in training: doctoral student, master’s or clinical specialty student, young researcher, researcher from the Onda program, undergraduate students, and related member; (3) Related member: related member with a doctorate, masters or clinical specialty associate, undergraduate associate, and related associate. The characteristics and requirements for each are established for inclusion in each category [10]. Moreover, it is necessary to allow for the fact that HC, in general, and being a researcher in particular, requires continuous education or knowledge updating, which results in principally a change that manifests at an individual level in the form of performance improvement, and at an organizational level, it manifests as an improvement in productivity and profitability. Investments in training and education directly and indirectly impact organizations, communities, and societies in general [11]. The organization of production, conceived from the interrelationships brought about by individuals who are part of research groups, is determined by the aspects of identity of each subject, which can generate tangible or intangible products from the information base. These are found in the media and networks as tangible knowledge in order for the creation of new knowledge [12]. However, from there, HC acts as an individual, and as a collective in formal or informal groups, creating knowledge as an intangible product and generating value for organizations. The current conditions of creating knowledge lead to questions about their transfer, which makes it necessary for the movement from tacit to explicit knowledge or toward being perceived differently to take place in order for knowledge to be codified. However, outcomes from different research groups cannot always be codified, and to a much lesser degree, intellectually protected, given that they are intangible. Therefore, the research question is: Does the production of knowledge at universities identify the characteristics of its human capital?

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43.2 Methodology The purpose of this study is to consult the information in the Colciencias database and extract from it all that can be used to clearly identify different analysis alternatives regarding knowledge production or generation at high-quality accredited universities operating in the Colombian territory. To this end, the “Science in figures” website (La ciencia en cifras) was used to extract the desired information, including information distribution, which is presented below in different tables. The most relevant aspect for analysis is identifying and classifying information, which is the reason why the results are presented in the structure of the model built by Colciencias for classifying groups and researchers. This way, the results from 52 currently accredited institutions are identified. That some of the accredited HEIs offer programs in different regions of the country marks another reference point for analysis. Colombian regulations require that they keep legal records of their offer in other regions. This can be applied to one or more programs, resulting in universities having different branches in different regions, i.e., one main campus and one or more satellite campuses. Consequently, it is necessary to consider not only the 52 HEIs, but also an additional 23 satellite campuses, totaling 75 elements to be analyzed. This information includes different groups, among which the following are emphasized: • Classified researchers (emeritus, senior, associate, and junior). • Education (post-doctorate, doctorate, masters, medical specialization, and undergraduate). • Classified research groups (A1, A, B, and C). • Group production, classified into four components (new knowledge, technological development and innovation, social appropriation of knowledge, and human resources training). • Last, it is important to clarify that while the study covers regions and institutions, the results are presented by region. Data distributed according to the information extracted from the Colciencias website is presented. Information on the accredited institutions that offer programs in each region is listed, highlighting that HEIs are concentrated in large cities.

43.3 Results The source of the information presented below comes from the Colciencias website, with the distributed data structured by region: Capital District; Coffee Growing Axis; Pacific Coast; Caribbean; Central East; Central South; and Plains. Similarly, political distribution is incorporated into the seven regions, which includes the departments or provinces into which the national territory has been divided, as follows: Capital District (Bogotá D.C.); Coffee Growing Axis (Antioquia, Caldas, Quindío, and Risaralda); Pacific Coast (Cauca, Chocó, Nariño, and Valle del Cauca); Caribbean

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Table 43.1 Descriptive analysis—researchers’ classification Capital district

Coffee growing axis

Pacific coast

Caribbean

Central east Central south

Plains

Min.: 24.44 Min.: 17.74 Min.: 9.62

Min.: 4.03

Min.: 4.03

Min.: 0.00

Min.: 0.00

1st Qu.: 28.81

1st Qu.: 18.63

1st Qu.: 9.96

1st Qu.: 4.74 1st Qu.: 5.05

1st Qu.: 0.14

1st Qu.: 0.00

Median.: 32.38

Median.: 19.38

Median.: 10.13

Median.: 5.77

Median.: 5.79

Median.: 0.38

Median.: 0.02

Mean: 31.58

Mean: 20.95

Mean: 12.91

Mean: 5.99

Mean: 5.66 Mean: 0.69 Mean: 0.02

3rd Qu.: 35.15

3rd Qu.: 21.70

3rd Qu.: 13.08

3rd Qu.: 7.02 3rd Qu.: 6.40

3rd Qu.: 0.94

3rd Qu.: 0.04

Max.: 37.10

Max.: 27.30

Max.: 21.77

Max.: 8.40

Max.: 1.99

Max.: 0.06

Max.: 7.04

Source Adaptation based on Colciencias (2017)

(San Andrés Archipelago, Providencia and Santa Catalina, Atlántico, Bolívar, Cesar, Córdoba, La Guajira, Magdalena, and Sucre); Central East (Boyacá, Cundinamarca, Norte de Santander, and Santander); Central South (Amazonas, Caquetá, Huila, and Tolima) and the Plains (Arauca, Casanare, Guaviare, Meta, and Vaupés). This structure incorporates the higher education institutions (HEI) in each province. This study used data associated with high-quality accredited HEIs. Consequently, while the distribution by region and province is preserved, the information under analysis is just that which pertains to accredited HEIs. The data analysis shows that as of February 2019, there are a total of 52 accredited HEIs in all the regions, with a significant percentage of the country’s classified researchers, as outlined below. Table 43.1 presents a descriptive analysis according to researchers’ classification organized by region. The data is statistically examined for it to yield certain specific characteristics. This information makes possible the identification of trends in each region with respect to information distribution and, therefore, the accumulation or concentration of associate researchers by region, which expedites the identification of where their impact is significant and where it is not. This is followed by data on researchers’ education, in which the inference corresponds to the level of education attained by the sum total of researchers who are affiliated with an accredited HEI in the country, which clearly shows distribution and impact by region (Table 43.2): Table 43.3 outlines a descriptive analysis according to researcher education, which is distributed by the sum total of each HEI, and by region. The data is statistically examined for them to yield certain specific characteristics. This information makes possible the identification of trends in each region with respect to information distribution and therefore the accumulation or concentration of associate researchers by region, which expedites the consolidation of different analyses on the basis of this information.

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Table 43.2 Distribution of researchers’ education by accredited HEI and region Researchers’ education

Capital district

Coffee growing axis

Post-doctorate

33.440

19.979

Doctorate

29.850

23.502

Master’s degree

23.932

16.805

Medical specialization

27.500

Undergraduate

18.339

Pacific coast

Caribbean

Central east

Central south

Plains

Total

8.799

3.934

7.764

0.829

0.000

74.741

11.519

5.682

6.193

0.402

0.031

77.179

8.807

7.228

6.357

0.506

0.040

63.677

18.125

3.750

4.375

5.625

0.312

0.000

59.687

12.457

6.228

6.920

4.152

0.346

0.000

48.443

Source Adaptation based on Colciencias (2017)

Table 43.3 Descriptive analysis of researchers’ education Capital district

Coffee growing axis

Pacific coast

Caribbean

Central east Central south

Plains

Min.: 18.34 Min.: 12.46 Min.: 3.75

Min.: 3.93

Min.: 4.15

Min.: 0.31

Min.: 0.00

1st Qu.: 23.93

1st Qu.: 16.81

1st Qu.: 6.23

1st Qu.: 4.37 1st Qu.: 5.62

1st Qu.: 0.35

1st Qu.: 0.00

Median.: 27.50

Median.: 18.12

Median.: 8.80

Median.: 5.68

Median.: 0.40

Median.: 0.00

Mean: 26.61

Mean: 18.17

Mean: 7.82 Mean: 5.63

3rd Qu.: 29.85

3rd Qu.: 19.98

3rd Qu.: 8.81

3rd Qu.: 6.92 3rd Qu.: 6.36

3rd Qu.: 0.51

3rd Qu.: 0.03

Max.: 33.44

Max.: 23.50

Max.: 11.52

Max.: 7.23

Max.: 0.83

Max.: 0.04

Median.: 6.19

Mean: 6.02 Mean: 0.48 Mean: 0.01

Max.: 7.76

Source Adaptation based on Colciencias (2017)

Table 43.4 presents data from the classification of research groups affiliated with high-quality accredited HEIs in the country, distributed by region. Table 43.5 outlines a descriptive analysis according to the classification of research groups, distributed by the sum total of each HEI, and by region. The data are statistically examined for them to yield certain specific characteristics. This information makes possible the identification of trends in each region with respect to information distribution and therefore the accumulation or concentration of associate researchers by region, enabling the consolidation of different analyses on the basis of this information. To expand upon this study’s objective, it is necessary to consider and propose a productivity indicator that is based on information regarding knowledge generation contained in the database extracted from the Colciencias website. This is organized in four large groups: production of new knowledge; technological development and

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Table 43.4 Distribution of classified research groups by accredited HEI and region Group classification

Capital district

Coffee growing axis

Pacific coast

Caribbean

Central east

Central south

Plains

Total

A1

34.799

32.505

11.663

8.222

6.501

0.765

0.000

94.455

A

31.758

23.491

13.254

8.661

6.037

0.787

0.000

83.989

B

22.517

20.034

9.246

4.538

7.962

1.284

0.000

65.582

C

17.605

10.459

8.093

4.259

6.484

0.568

0.047

47.515

Source Adaptation based on Colciencias (2017)

Table 43.5 Descriptive analysis—research group classification Capital district

Coffee growing axis

Pacific coast

Caribbean

Central east Central south

Plains

Min.: 17.61 Min.: 10.46 Min.: 8.09

Min.: 4.26

Min.: 6.04

Min.: 0.57

Min.: 0.00

1st Qu.: 21.29

1st Qu.: 17.64

1st Qu.: 8.96

1st Qu.: 4.47 1st Qu.: 6.37

1st Qu.: 0.71

1st Qu.: 0.00

Median.: 27.14

Median.: 21.76

Median.: 10.45

Median.: 6.38

Median.: 6.49

Median.: 0.78

Median.: 0.00

Mean: 26.67

Mean: 21.62

Mean: 10.56

Mean: 6.42

Mean: 6.75 Mean: 0.85 Mean: 0.01

3rd Qu.: 32.52

3rd Qu.: 25.74

3rd Qu.: 12.06

3rd Qu.: 8.33 3rd Qu.: 6.87

3rd Qu.: 0.91

3rd Qu.: 0.01

Max.: 34.80

Max.: 32.50

Max.: 13.25

Max.: 8.66

Max.: 1.28

Max.: 0.05

Max.: 7.96

Source Adaptation based on Colciencias (2017)

innovation; social appropriation of knowledge; and human resources training. Then, it is addressed with a human capital dimension, researchers’ knowledge or education, which is clearly highlighted in this study. To that end, it was necessary to define the parameters to enable this process. This was developed in the following manner: a data analysis was performed with the R-Studio tool, and the function that defines the productivity indicator as the result of the sum of all outputs by region, divided by the sum of all inputs by region, was established as the evaluation parameter. Both outputs and inputs are presented in the tables below. The following line of code performed the mathematical operation: The variables associated with the outputs and inputs are displayed in the Tables 43.6 and 43.7. Applying this formulation’s structure produced the following equation (Table 43.8): PI = PNK + TDI + SAK + HRT.

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Table 43.6 Products Variable

Production of new knowledge

Technological development and innovation

Social appropriation of knowledge

Human resources training

V_1

Research articles

Scientific-technical consultancy

Scientific event

Undergraduate thesis

V_2

Articles

Final report

Report

Master’s thesis

V_3

Books

Software

Work document

Project and development

V_4

Chapter in a research book

Industrial prototype Generation of Support in creating multimedia content courses

V_5

Chapter in a book Standards and regulations

Edition

Support for programs

V_6

Research books

Trade secret

Pedagogical strategies to advance the technical investigation corps (TIC)

Extension and social responsibility project

V_7

Artistic works or products, architecture and design

Procedure innovation

Generation of printed content

R&D+i project with training

V_8

Invention patent

Innovation generated in business management

Informative bulletin Doctoral thesis or outcome

V_9

Utility model patent

Spin-off

Generation of virtual content

V_10

Plant variety

Consultancy in arts, Citizen Research and architecture, and participation spaces creation project design

V_11

Animal variety

Distinguishing features

Knowledge communication strategy

–

V_12

–

Clinical practice regulations and standards

Artistic events

–

V_13

–

Industrial design

Citizen participation projects

–

V_14

–

Pilot plan

Creation of workshops

–

V_15

–

Registration of operating license agreements

Network of specialized knowledge

–

Consultancy to the Onda program

(continued)

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Table 43.6 (continued) Variable

Production of new knowledge

Technological development and innovation

Social appropriation of knowledge

Human resources training

V_16

–

Creative and cultural companies

–

–

V_17

–

Regulation and standards bill

–

–

V_18

–

Integrated circuit diagram

–

–

Source Adaptation based on Colciencias (2017)

Table 43.7 Inputs

Variables

Researchers’ education

V_19

Post-doctorate

V_20

Doctorate

V_21

Master’s degree

V_22

Medical specialization

V_23

Undergraduate

Source Adaptation based on Colciencias (2017)

Table 43.8 Productivity indicator Region

PNK

TDI

SAK

HRT

PI

Capital district

15.157

0.595

10.515

13.529

39.796

Coffee growing axis

14.649

0.744

10.417

11.826

37.636

Pacific coast

13.848

0.550

10.408

15.277

40.084

Caribbean

15.534

0.841

10.260

12.514

39.150

Central east

15.829

1.856

17.129

19.474

54.288

Central south

22.485

0.500

23.059

15.279

61.323

2.250

0.000

6.750

3.000

12.000

Plains

PNK production of new knowledge, TDI technological development and innovation, SAK social appropriation of knowledge, HRT human resources training, PI productivity indicator

43.4 Conclusions It can be inferred from the data analysis that the concentration of classified researchers and research groups does not necessarily generate a directly proportional impact on the productivity indicator, which may lead to future evaluations by HEIs. Similarly, it is considered that affiliation with researchers who hold postdoctoral, doctoral, and master’s degrees could influence the production of new knowledge to a greater degree.

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This is considered to enhance national and international interactions among Colombian researchers and institutions for the improvement of their research processes and consequently their academic dynamics. Researcher education significantly contributed to the results of this study as the final indicator results came from this point, considering that the function highlights inputs as the denominator. If we assess the different categories, neither people with a medical specialization nor those with an undergraduate degree significantly impact the result. It can, therefore, be concluded that the production of new knowledge in Colombia, which is associated with high-quality accredited universities is directly related to researcher education, particularly those listed in the Colciencias database as holders of post-doctorate degrees, doctors, and holders of master’s degrees, which represent the highest percentage in researcher education structure. By further expanding the analysis, it can be concluded that classified researchers, their education, and the classification of research groups are highly concentrated in the high-quality accredited HEIs (52). This raises questions regarding the productivity of research at HEIs that do not yet have this recognition. Furthermore, it can be inferred on the basis of the results derived from our research that the substantive functions of higher education are based on a larger proportion at accredited high-quality HEIs.

References 1. Amir, E., Lev, B.: Value-relevance of nonfinancial information: the wireless communications industry. J. Account. Econ. 22 (1996) 2. Bueno, E., Salmador, M., Merino, C.G.: Concepto y desarrollo del capital intelectual en la economía del conocimiento : una reflexión sobre el modelo Intellectus y sus aplicaciones. Estudios de economia aplicada (2008) 3. Edvinsson, L., Malone, M.S.: Intellectual Capital: Realizing Your Company\’s True Value by Finding Its Hidden Brainpower (1997) 4. Kendrick, J.W.: Some theoretical aspects of capital measurement. Am. Econ. Rev. 51(2), 102– 111 (1961) 5. Lev, B.: On the Usefulness of earnings and earnings research: lessons and directions from two decades of empirical research. J. Account. Res. 27, 153–192 (1989) 6. Lev, B.: Intangibles: Management, measurement and reporting (2001) 7. Kjelstrom, J.A., McDonald, K., Hargadon, A., Agatstein, W., Arnold, M.: The University of California, Davis, collaborative model for biotechnology education and training. J. Commer. Biotechnol. 18(4), 87–97 (2012). https://doi.org/10.5912/jcb.521 8. Davenport, T.H., De Long, D.W., Beers, M.C.: Successful knowledge management projects. Sloan Manage. Rev. 39(2), 43–57 (1998) 9. Sánchez, M.P., Elena, S.: Intellectual capital in universities: improving transparency and internal management. J. Intellect. Cap. 7(4), 529–548 (2006). https://doi.org/10.1108/146919 30610709158 10. Colciencias. Modelo de medición de grupos de investigación, desarrollo tecnológico o de innovación y de reconocimiento de investigadores del sistema nacional de ciencia, tecnología e innovacion, año 2017. Observatorio Colombiano de Ciencia y Tecnología, 2017, 1– 192. Recuperado de http://www.colciencias.gov.co/sites/default/files/upload/documents/doc umento-modelomediciogrupos-2015.pdf (2017)

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11. Nafukho, F.M., Hairston, N., Brooks, K.: Human capital theory: implications for human resource development. Hum. Resour. Dev. Int. 7(4), 545–551 (2004). https://doi.org/10.1080/ 1367886042000299843 12. Nonaka, I., Konno, N.: The concept of “Ba”: Building a foundation for Knowledge creation. Calif. Manage. Rev. 40(3), 40–54 (1998). https://doi.org/10.2307/41165942

Author Index

A Abelha, António, 271 Aguilera-Castillo, Andres, 397, 407 Almeida-Galárraga, Diego, 189 Amorim, Pedro Henrique Oliveira, 249 Andrade, Roberto, 25 Arévalo, Diana, 25 Avila, Diego Fernando, 83

B Ba´nski, Jerzy, 373 Baldeon, Karen, 447, 457 Barriga, Jhonattan, 3 Barrionuevo, Oscar, 173 Becerra, Fernando, 3 Belloir, Nicolas, 205 Benavides, Eduardo, 25 Berrio-Quispe, Margoth Luliana, 459, 469 Bittencourt, Ig Ibert, 467, 477 Bolgen, Nimet, 133 Borges, Luiz Eduardo Pizarro, 241 Borsic, Zlata, 105 Bozhilova, Maya, 71 Braga, Luís, 283 Bravo, Jorge M., 359 Buisson, Jérémy, 205

C Caiza, Gustavo, 119, 435, 447, 445, 457 Cañizares-Espada, Manuela, 47 Cárdenas-Delgado, Sonia, 295 Carvalho de, António Lobo, 513, 523 Carvalho, João Vidal, 15

Castaneda-Marroquin, Carlos, 37 Castro-Bolaño, Lauren J., 371 Castro, Joyce Denisse, 25 Castro-Suarez, John R., 227 Ceron, Alexander, 149 Chalco, Geiser, 467, 477 Chavez-Bellido, Dina Emeteria, 459, 469 Claramunt, Christophe, 71 Colón-Mercado, Annette M., 227 Cordas, Cristina M., 261 Cordero, Diego, 105 Coronado-Hernández, Jairo R., 307, 371 Cunha, Luís, 283

D Díaz, Andrea, 61 Díaz, Eleazar, 61 Díaz-Nafría, José María, 47 Dektyar, Yuri, 133 Demir, Didem, 133 Dornellas, Rafael Machado, 249

E Estrada, Carlos Andrés, 25 Evseev, Vladimir, 501, 511

F Fajardo-Toro, Carlos Hernán, 397, 407 Ferreira, Diana, 271, 283 Ferriol, Fermín, 319 Fuertes, Walter, 25

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 Á. Rocha et al. (eds.), Developments and Advances in Defense and Security, Smart Innovation, Systems and Technologies 255, https://doi.org/10.1007/978-981-16-4884-7

541

542 G Gallardo, Yessenia, 119 Gashkova, Elena, 501, 511 Gatica, Gustavo, 307, 319, 371 Gil-Barragan, Juan M., 397, 407 Gómez-Bayona, Ledy, 529, 539 Gonçalves, Divo, 345 González-Díaz, Romel Ramón, 459, 469 Guarda, Teresa, 47, 173 Guarnizo-Cabezas, Oscar, 189 Guerra, Laura, 61 Guisasola, Ana C., 271 Guzmán, Enrique, 307

H Herazo-Padilla, Nilson, 371 Hernández-Espín, Voroshilov, 489, 499 Hernández-Rivera, Samuel P., 227

I Icaza, Daniel, 105 Ivanov, Ivan, 71 Ivanov, Volodymyr, 133, 217

J João Nunes, M., 261

K Ka´ntoch, Kornel, 329 Kazanecka, Aneta, 329 Klavins, Maris, 133, 217 Krippahl, Ludwig, 261

L Laso, Pedro Merino, 71 Loachamín-Valencia, Mauricio, 295 Londoño-Peláez, Jorge Mario, 161 Lopes, Helga Santa Comba, 409, 419 López, Felipe A., 319 López-Samaniego, Christopher, 479

M Machado, José, 271, 283 Malheiro, Luís, 345, 513, 523 Marín, Lillyana María Giraldo, 529, 539 Marín, Manuel Antonio Fernández-Villacañas, 421, 431

Author Index Marcos, Ignacio Fernández-Villacañas, 421, 431 Martins, Luís, 283 Montaño-Gómez, José Antonio, 47 Mora, Jesica Maria Rojas, 529, 539 Mora, Víctor, 307 Morales-Molina, Tania, 479, 489, 499 Morales-Urrutia, Diana, 479 Moreno-López, Gustavo, 529, 539 Moura, José J. G., 261

N Neto, Cristiana, 271, 283 Nowakowska, Marta, 329 Nunes, João, 283 Núñez-Torres, Gabriel, 489, 499

O Oliveira, Fernando Quirino, 249 Oñate, William, 119, 447, 457

P Padilla, Diego Edison Cabuya, 37 Paez-Logreira, Hayder, 371 Parreño, Italo Fernando, 83 Pazmiño, Leandro, 3 Peña, Felix Fernández, 25 Pereira, Amílcar, 513, 523 Pereira-Carrillo, Jackeline, 189 Pereira, Robson Pacheco, 241, 249 Pérez, Ramón, 119 Pilar Tamayo Del, Aracely, 105 Pozdeeva, Elena, 501, 511 Pulido, Cristhiam, 149

R Ramírez-Ríos, Diana G., 371 Recabarren-Domínguez, Eduardo, 319 Reis, João, 329 Rezende, Izabella Helena Werneck Soares, 241 Riofrio, Adriana, 435, 445 Rivera-Badillo, Lorena, 479 Rivera, Leonardo C. Pacheco-Londoño, 227 Rivera, Richard, 3 Rodríguez-Reyes, Bryan, 295 Romanenko, Inna, 501, 511 Ron, Mario, 25 Rouco, Carlos, 261 Ruete, David, 307

Author Index S Saavedra, Marcela, 435, 445 Saeteros, Morelva, 435, 445 Salmon, Loic, 71 Samhan-Arias, Alejandro, 261 Santos dos, Henrique Cardoso, 249 Santos, Gilda, 261 Semaan, Felipe Silva, 241, 249 Seoane-Pujol, Isaac, 47 Shipunova, Olga, 501, 511 Silva Gomes da, Jorge Filipe, 409, 419 Silveira, João Almeida, 383, 393 Sousa, João P., 261 Stabnikov, Viktor, 217 Stoianov, Nikolai, 71 Suntaxi-Dominguez, Diego, 189

T Tirado-Espín, Andrés, 189 Touseau, Lionel, 205

543 U Uribe-Martes, Carlos J., 371

V Valério, Gabriel N., 261 Vaseashta, Ashok, 133, 217 Vázquez-Vélez, Karla M., 227 Velev, Grigor, 71 Victor, Avelino, 15 Victor, José Avelino, 173 Villalba-Meneses, Gandhi, 189 Villanueva-López, Vladimir, 227 Vitorino, Divina, 467, 477

Y Yánez-Rueda, Hugo, 489, 499 Yanakiev, Yantsislav, 71