Floss In Development Cooperation - Theory And Challenges

Free/Libre Open-Source-Software in Development Cooperation – Theory and Challenges

Dissertation Zur Erlangung des akademischen Grades doctor rerum agriculturarum (Dr. rer. agr.)

eingereicht an der Landwirtschaftlich-Gärtnerischen Fakultät der Humboldt-Universität zu Berlin von Dipl. Phys. Martin Voß, MBA geb. 24.3.1970, Preetz/Holst. Präsident der Humboldt-Universität zu Berlin Prof. Dr. Christoph Markschies Dekan der Landwirtschaftlich-Gärtnerischen Fakultät Prof. Dr. Dr. h.c. Otto Kaufmann Gutachter 1. Herr Prof. Dr. Hans E. Jahnke 2. Herr Dr. Michael La Rosa Pérez

Tag der mündlichen Prüfung: 20.12.2006

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

TABLE OF CONTENT List of Figures .................................................................................... III List of Tables...................................................................................... IV Abstract ............................................................................................. VI Zusammenfassung ............................................................................ VII Acknowledgements...........................................................................VIII Preface ............................................................................................... IX 1 Introduction............................................................................... 1 1.1 The Problem .............................................................................. 1 1.2 Objectives of the study............................................................... 3 1.3 Approach and Methodology ........................................................ 4 2 Free/Libre and Open-Source-Software ....................................... 7 2.1 History....................................................................................... 7 2.2 Open-Source-Software status..................................................... 9 2.2.1 Motivation for participation in FLOSS projects ......................... 11 2.2.2 Organization and communication ............................................ 12 2.2.3 The role of firms....................................................................... 13 2.3 Advantages and Disadvantages to users................................... 16 3 Information and communication technology as an instrument in development cooperation...................................................... 19 3.1 Development policy objectives .................................................. 19 3.2 Development policy strategies .................................................. 21 3.3 The status of ICT in less developed countries ........................... 27 3.4 ICT for development ................................................................. 29 3.4.1 ICT and the MDGs ................................................................... 29 3.4.2 ICT for growth and empowerment ............................................ 31 3.5 Examples of ICT in development cooperation............................ 37 3.5.1 Radio based service.................................................................. 37 3.5.2 Mobile phone based project...................................................... 38 3.5.3 Individual computing ............................................................... 39 4 FLOSS within development cooperation ................................... 42 4.1 Special aspects of Open-Source-Software in development cooperation.............................................................................. 42 4.1.1 ICT sustainability and autonomy ............................................. 44 4.1.2 Security ................................................................................... 46 4.1.3 Intellectual property rights....................................................... 47 4.2 The Status of FLOSS in development cooperation..................... 48 4.2.1 Country ICT policies options .................................................... 48 4.2.2 Examples of FLOSS ICT policies............................................... 53 4.2.3 Case studies of FLOSS in development cooperation .................. 54 4.2.4 Experiences and "Lessons Learned" ......................................... 56 5 Implications of FLOSS strategies for development cooperation.. 58 5.1 Creating an enabling environment for FLOSS........................... 58 5.1.1 FLOSS advocacy and education ............................................... 59 5.1.2 Market demand ....................................................................... 59 5.2 Readiness and awareness of actors in development cooperation.............................................................................. 60 I

FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

5.2.1 Readiness ................................................................................ 60 5.2.2 Awareness ............................................................................... 62 5.2.3 Examples of projects in development cooperation which are not using and promoting FLOSS .............................................. 63 6 Awareness of actors of development cooperation for FLOSS...... 66 6.1 Survey Design.......................................................................... 66 6.1.1 Methodology ............................................................................ 66 6.1.2 Questionnaire Design............................................................... 67 6.2 Survey realization .................................................................... 71 6.3 Data analysis........................................................................... 73 6.3.1 Data overview .......................................................................... 73 6.3.2 Quantitative analysis ............................................................... 76 6.3.3 Qualitative analysis ................................................................. 88 7 Discussion............................................................................... 94 7.1 Literature ................................................................................ 94 7.1.1 FLOSS in general ..................................................................... 94 7.1.2 ICT application in development cooperation ............................. 96 7.1.3 FLOSS application in development cooperation ........................ 97 7.2 Survey Results....................................................................... 100 7.2.1 Quantitative results ............................................................... 101 7.2.2 Qualitative results ................................................................. 102 7.2.3 Common findings................................................................... 104 8 Conclusions and Outlook....................................................... 107 Appendix......................................................................................... 110 A Millennium Development Goals.............................................. 110 B Open Source Definition .......................................................... 111 C Questionnaire ........................................................................ 113 D Maps ..................................................................................... 115 References....................................................................................... 120

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

LIST OF FIGURES Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure Figure

1: 2: 3: 4: 5: 6:

Population Trends in Developing Regions.............................. 3 Brief history of FLOSS .......................................................... 8 Porter 5 Forces Analysis ..................................................... 14 Growth & Empowerment Development Strategy .................. 23 The determinants of empowerment ..................................... 26 Telephone subscribers per 100 inhabitants, Africa 19952004 ................................................................................. 29 7: Influence of ICT on development strategy components ........ 32 8: NRI 2003–2004 vs GDP per Capita, Partial Log Regression.. 33 9: NRI and HDI, 2003 ............................................................. 34 10: Developments of Telecommunications in Peru................... 36 11: Range of technologies and users relevance........................ 37 12: Schematic Diagram of SIMpill Service Delivery.................. 39 13: Simputer and 100$ Laptop ............................................... 40 14: IT-Strategy Map for Developing Countries ......................... 43 15: Operationalization of ‘awareness and perception of software’ ........................................................................... 68 16: Operationalization of ‘awareness and perception of FLOSS’69 17: Operationalization of ‘actors in development cooperation‘.. 70 18: Response over time of the FLOSS survey........................... 73 19: Age distribution of participants......................................... 74 20: Distribution of experience of participants.......................... 75 21: Distribution of gender and origin of participants ............... 76 22: Histogram for ‘country of origin’ for participants not coming from Germany....................................................... 76 23: Recoding of variables ‘Age’ and ‘Years experience’ ............. 77 24: Frequencies for prospects and risks of software ................ 78 25: Frequencies for prospects and risks of FLOSS................... 80 26: Frequencies for prospects and risks of FLOSS, only for participants who used FLOSS ........................................... 82 27: Crosstabulation of ‘Used FLOSS’ and age.......................... 83 28: Crosstabulation of ‘FLOSS reduces costs’ and ‘years experience’........................................................................ 85 29: Crosstabulation of ‘increases human capital’ and ‘fosters participation’ .................................................................... 86 30: Frequencies of ‘Know FLOSS’ and ‘Used FLOSS’ with 95% confidence intervals .......................................................... 87 31: Frequencies for provision of answers to open questions .... 88 32: Rural Population in Total Population (2004).................... 115 33: World by Income - GDP per capita .................................. 116 34: Internet Users Worldwide................................................ 117 III

FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Figure 35: Router and population density........................................ 118 Figure 36: Human Development Index............................................. 119

LIST OF TABLES Table 1: Crosstabulation of “Years experience” and “Age”................... 75 Table 2: Frequencies for prospects and risks of software.................... 77 Table 3: Frequencies for selected questions, only for participants without experience with software in development cooperation....................................................................... 79 Table 4: Frequencies for prospects and risks of FLOSS ...................... 80 Table 5: Frequencies for prospects and risks of FLOSS, only for participants who used FLOSS ........................................... 81 Table 6: Crosstabulation of “Used FLOSS” and “Age” ......................... 83 Table 7: Crosstabulation of “FLOSS reduces costs” and “Years experience” ....................................................................... 84 Table 8: Crosstabulation of “Increases human capital” and “Fosters participation” .................................................................... 85 Table 9: Levels of significance and strengths of associations .............. 87

IV

FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Acronyms CSS

Closed source software

FAO

Food and Agriculture Organization of the United Nations

FDI

Foreign direct investment

FLOSS

Free/Libre and Open-Source-Software, in the literature FOSS is used synonymously for FLOSS

FLOSS4D

Free/Libre and Open-Source-Software for development

FOSSFA

Free Software and Open Source Foundation for Africa

FSF

Free Software Foundation

GDP

Gross Domestic Product

GPL

General Public License

GPT

General Purpose Technology

GTZ

Gesellschaft für Technische Zusammenarbeit

HDI

Human Development Index

ICT

Information and communication technology

ICT4D

Information and communication technology for development

IPR

Intellectual property rights

IT

Information technology

ITU

International Telecommunication Unit

LDC

Least Developed Country

LLDC

Landlocked Developing Country

MDG

Millennium Development Goals

NGO

Non-government organization

NRI

Networked readiness index

OSI

Open Source Initiative

PRA

Participatory Rural Appraisal

SIDC

Small Island Developing Country

TCO

Total cost of ownership

UNCTAD

United Nations Conference on Trade and Development

UNDP

United Nations Development Program

UNESCO

United Nations Educational, Scientific and Cultural Organization

WTO

World Trade Organization

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Abstract Agriculture in development regions is often characterized by rural and remote settings, poverty, low levels of education and high degrees of illiteracy. Against this background the theoretical framework for the application of information and communication technologies and in particular the application of Free/Libre Open-Source-Software (FLOSS) in development regions is being outlined and the challenges for the application analyzed. It is elaborated that FLOSS supports current development objectives. In addition the special situation of rural development regions is supported. Improved means of communication, additional sources of household income and distant learning programs are just a few examples for rural development where FLOSS is applicable. One challenge which is derived from the literature research is the appropriate awareness of actors for the application of FLOSS in development cooperation. This aspect is further analyzed by an expert survey. The results suggest that the awareness and perception of FLOSS by actors in development cooperation can be described as uneven. This relates to the level of knowledge about FLOSS itself as well as to the perception of the suggested prospects and risks.

Key words: Information technology, development regions, ICT strategies, Free/Libre Open-Source-Software, rural development

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Zusammenfassung Die Landwirtschaft in den Entwicklungsregionen wird oft durch ländliche und abgelegene Situationen, Armut sowie geringes Bildungsniveau einhergehend mit einer hohen Rate von Analphabetismus charakterisiert. Vor diesem Hintergrund werden die theoretischen Rahmenbedingungen für die Anwendung von Free/Libre Open-Source-Software (FLOSS) in den Entwicklungsregionen aufgezeigt sowie die Herausforderungen analysiert. Es wird aufgezeigt, dass mit Hilfe von FLOSS aktuelle Entwicklungsziele, insbesondere auch für die ländliche Entwicklung, unterstützt werden können. Exemplarische Beispiele dafür sind Verbesserung der Kommunikationsinfrastruktur, Schaffung von zusätzlichen Einkommensmöglichkeiten und Fernbildungsprogramme. Aus der Literaturrecherche wird als eine wesentliche Herausforderung die angemessene Wahrnehmung der Anwendung von FLOSS durch Akteure der Entwicklungszusammenarbeit abgeleitet. Dieser Aspekt wird durch eine schriftliche Expertenbefragung weiter analysiert. Die Ergebnisse legen nahe, dass das Bewusstsein und Wahrnehmung als uneinheitlich innerhalb der Gruppe der Akteure beschrieben werden kann. Dieses Ergebnis bezieht sich sowohl auf den Wissensgrad über FLOSS im Allgemeinen als auch auf die Wahrnehmung der abgeleiteten Perspektiven.

Schlagworte: Informationstechnologie, Entwicklungsregionen, IKT Strategien, Free/Libre Open-Source-Software, ländliche Entwicklung

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Acknowledgements Only the help of many people made it possible that I was able to finish this thesis. I would like to express my sincere gratitude to all of them. First of all I want to thank Prof. Dr. Jahnke who enabled me to pursue the idea of this interdisciplinary subject. Without his continuous support and suggestions this work would not have been possible. I also received much support from all members of the department Development Planning and Project Management. Especially the expertise of Mrs. Nowak was very helpful during the planning, execution and analysis of the survey. Further I would like to express my gratitude towards all individuals and organizations supporting my survey. In particular Dr. Hülsebusch, member of the organizing committee of the Tropentag 2005 in Hohenheim, Mrs. Grundmann, member of SLE and Prof. Dr. Hoffmann, from the University Hohenheim and director of ATSAF, provided much help. Last but not least I want to thank my beloved wife Cissa for her support, patience and never ending encouragement as well as my son Henry who, despite of his young age of four months, had a big influence on the completion of this thesis. Martin Voß

November 2006

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FREE/LIBRE OPEN-SOURCE-SOFTWARE IN DEVELOPMENT COOPERATION – THEORY AND CHALLENGES

Preface At the beginning was an idea. In this case the “beginning” was a discussion with Prof. Dr. Jahnke. Within this conversation the idea was born to analyze relationships between development cooperation and new technologies. At a request of Prof. Dr. Jahnke I started to investigate the subject and after additional dialogues the topic evolved: Free/Libre Open-Source-Software in Development Cooperation – Theory and Challenges. I enjoyed this interdisciplinary work very much and I feel grateful that I was given the chance for this thesis.

IX

INTRODUCTION

1 Introduction Information and communication technologies (ICT) have gained a considerable importance in many aspects of nowadays life. The end of the last century has seen a boom in the spread of internet technologies. Even though stock markets overvalued many of the newly emerging companies with the well known consequences, the trend has not stopped. Alongside with the spread of the internet, Free/Libre Open-SourceSoftware (FLOSS) has acquired a noteworthy market share in many segments of the software industry.1 The most famous examples for FLOSS include Linux in the operating system segment and the Apache webserver as a middleware product.2 The openly available software products also had an important impact on the momentum of the newly established internet based businesses during the boom phase in the late 1990’s. Without license fees for operating systems and server software, market entry barriers have been lowered significantly.

1.1 The Problem As one result of the growing integration of global business and the spread of internet access and technologies the global society has transformed into a knowledge society. It has become increasingly important for all economic actors to participate in the global knowledge network. For actors from less developed and transitioning countries this is still a big challenge. Availability of ICT infrastructure is just one aspect. Other limiting factors include the education of actors, both in terms of awareness as well as in terms of capabilities to utilize information and com-

1

2

Within this document, except otherwise noted, the term ‘FLOSS’ represents all Software which has been published under a license that complies to the Open Source Definition published by the Open-Source-Initiative (OSI). A copy of that definition can be found in Appendix B. FLOSS and Open-Source-Software are used as synonyms. Netcraft (2005)

1

INTRODUCTION

munication technologies. This phenomenon of “haves” and “have-nots” with regards to ICT access is commonly referred to as ‘digital divide’.3 The elimination of this digital divide is already at the center of many activities in international development cooperation. The United Nations Millennium Development Declaration states explicitly that the global community will try to “ensure that the benefits of new technologies, especially information and communication technologies […] are available to all.”4 There are also guarded hopes that investments in ICT foster improvements of other objectives of development cooperation. These goals include poverty reduction in general, gender issues, good governance and improvement of education and participation. One special aspect of ICT for development cooperation (ICT4D) is the utilization of FLOSS (FLOSS4D).5 The United Nations Conference on Trade and Development (UNCTAD) discusses the application of FLOSS in development cooperation6 and the UNDP7 together with UNESCO8 view FLOSS as “an avenue for economic and technological empowerment”.9 It is regarded as a tool which can help providing sustainable ICT solutions in development cooperation. In addition common barriers like high license fees and intellectual property issues can be tackled. In order to promote Open-Source-Software in development cooperation effectively it could be advantageous to foster shared ideas about the benefits and modes of application. Local actors as well as international consultants and agencies would have to be empowered to utilize FLOSS and generate the anticipated benefits.

3 4 5 6 7 8 9

Dutta et al. (2004), page 65 General Assembly of the United Nations (2000), page 6 4D is the abbreviation of “for development (cooperation)” United Nations Conference on Trade and Development (2003), pages 95 ff. United Nations Development Program United Nations Educational, Scientific and Cultural Organization UNDP/UNESCO (2003), page 2

2

INTRODUCTION

1.2 Objectives of the study Less developed countries are among other things characterized by low levels of income. Most of these countries are located in the tropical and subtropical regions, as illustrated in Figure 33. In these areas high rates of rural population can be observed, on average 50% of the population (Figure 32). The majority is engaged in agriculture but accounts only for about one quarter of the income. Considering poor people it is estimated that even three quarters live in rural situations.10 Despite urbanization 60% are expected to be still rural in 2020. Within the next three decades it is predicted that the majority of the population in developing countries will be rural.11 “However, as a result of the constantly increasing proportion of urban dwellers (40 percent in 2000 rising to 56 percent in 2030), the total rural population is actually expected to decline after 2020” (Figure 1).12 A more or less constant level of population in agriculture has to provide an increasing urban population with food. Dixon emphasizes though, that rural to urban migration rates are hard to predict as they depend on international commodity prices, urban employment growth, and real exchange rates.

Figure 1: Population Trends in Developing Regions13

10 11 12 13

International Fund for Agricultural Development (2001) Gasperini (2004) Dixon (2001), page 3f. Dixon (2001), page 4

3

INTRODUCTION

The outlined population development underpins the importance of rural development. Thereby rural areas in developing countries are commonly characterized by high importance of agriculture, long distances, poverty, lack of services and institutions, low levels of education and high rates of illiteracy, missing access to markets and poor health facilities. The following discussion of the challenge of applying information and communication technologies in development cooperation takes this special situation into account. The considerations are supplemented by a review of potentials and limits of FLOSS application in this context. This also includes an analysis of the awareness and perception for the potentials and limits by actors of development cooperation. This study has two main objectives. The first one is to underpin the applicability of software in general and FLOSS in particular in development cooperation. Especially the compatibility of Open-Source-Software strategies with latest development policy approaches will be illustrated. Secondly this thesis aims to shed light on the question of awareness and perception of ICT and FLOSS of actors of development cooperation. The key questions to be answered in this study are: 1. Can FLOSS be regarded as a valid tool in development cooperation supporting latest development strategies and objectives? 2. What is the awareness and perception of actors in development cooperation of Open-Source-Software? For one the questions help to provide the theoretical framework of the application of FLOSS in development cooperation. For the other they aim to highlight the theoretical and practical challenges for FLOSS application in development regions.

1.3 Approach and Methodology In order to asses the applicability of FLOSS in development cooperation a comprehensive literature review was conducted. This also includes the 4

INTRODUCTION

origin and development of the FLOSS software model and the application of ICT in general in development cooperation. Chapter 2 summarizes the development of the Open-Source-Software phenomenon and its impact on the IT industry. Special attention is drawn to the current status of FLOSS including organizational issues as well as the increasingly important role of commercial firms. The illustration of ICT in development cooperation in chapter 3 includes an analysis of recent development strategies as well as a discussion of development objectives which are aided by the appropriate application of ICT. The chapter is concluded by case studies of ICT in development cooperation. Chapter 4 takes up the discussion about the application of FLOSS within development cooperation. In addition to a presentation of pros and cons and experiences from the past, countries’ ICT policy options for FLOSS are described. The analysis in chapters 2 to 4 is mainly based on my master thesis.14 I am using parts of that work without additional citation. From the findings based on the literature review implications of the application of FLOSS in development cooperation are derived in chapter 5. FLOSS strategies make demands on various levels. From a country’s perspective an enabling environment has to be established. From an actors view readiness and awareness for FLOSS itself and its expected advantages have to be assured. These implications are the basis for the analysis in Chapter 6. A questionnaire is used to determine if FLOSS is perceived as a valid tool by experts of international development cooperation. In addition light is shed on the homogeneity of the perception of Open-Source-Software using qualitative and quantitative analysis of the collected data.

14

Voss (2006) “Potential Analysis of Open-Source-Software as an Instrument in Development Cooperation”

5

INTRODUCTION

Chapter 7 discusses the findings from the literature review as well as from the empirical study. This also includes an assessment of the methods and results of this thesis. Concluding remarks and future prospects round off the thesis.

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

2 Free/Libre and Open-Source-Software This chapter provides an introductory overview about Open-SourceSoftware. More comprehensive presentations can be found in the literature.15 Open-Source-Software has gained considerable importance within the last couple of years. An increasing number of companies are participating in Open-Source projects or are using FLOSS products. This is particularly evident in the case of the operating system Linux which is one of the most successful FLOSS projects.16 More and more companies utilize Linux even for the very core of their business. Unilever, as one example, announced that by 2006 all IT applications will run on Linux while IBM agreed to provide the technical support for this shift.17 In addition to commercial companies many public authorities are switching their IT infrastructure to FLOSS.18 FLOSS products are also successful in other market segments. The Netcraft web server survey indicates an almost 70% market share for the Open-Source Apache web server.19

2.1 History The FLOSS phenomena itself is nothing new. The roots of Open-SourceSoftware development can be found in the computer departments of American universities (Stanford, Berkeley, Carnegie Mellon and MIT) in the 1960’s and 1970’s.20 By that time the small software developer community exchanged source code and improvements of existing programs freely for mutual benefits. But with the rising software industry an increasing number of programs became proprietary and the aca-

15

16

17 18 19 20

E.g. Brügge et al. (2004), Grassmuck (2004) and Weber (2004) as a starting point for discussions about Open-Source-Software. In the general public Linux is used instead of the proper term “GNU/Linux”. In this document the term “Linux” is meant to denote “GNU/Linux”. Heise Online (2003a) Bundestux (2005) Netcraft 2005 Rasch (2000)

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

demic code sharing ceased. Coming from the collegial background at the MIT computer labs in the 1970’s Richard Stallman founded the GNU-Project, which in 1985 evolved into the creation of the Free Software Foundation (FSF). This organization was set up to promote GNU and other Free Software licensed under the GNU General Public License (GPL). Although other projects created free software as well (e.g. XConsortium or the Perl project) the FSF was the most visible by that time. Stallman and his fellow developers realized an important set of essential tools but were missing an operating system. Though work started on a kernel project called HURD it progressed very slowly. In 1991 Linus Torvalds published a Unix-like kernel to various mailing lists for review and received very positive feedback. Other programmers started to modify and enhance that kernel and Linux (Linus + UNIX) became the defacto kernel for the GNU operating system. With GNU/Linux the first Unix-like free operating system became available.

E. Raymond: IBM supports OSI Foundation Linux L. Torvalds: Linux-Kernel R. Stallmann: FSF Foundation

2000

1998 1991

1985

Figure 2: Brief history of FLOSS Another milestone in the history of FLOSS was the publication of Eric Raymond’s “The Cathedral and the Bazaar” in 1997.21 In his essay, which spread quickly through the developer community, Raymond argues that Open-Source licenses result in higher quality and less expen21

Raymond (2001)

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

sive software. In the same year Netscape faced enormous losses in market shares for its browser software Netscape Navigator. Influenced by Raymond’s article Netscape decided to open its browser software to the Open-Source community in early 1998. Following Netscape’s decision Raymond and fellow Open-Source evangelists founded the OpenSource-Initiative (OSI). The main idea was to promote free software to the business community in a more pragmatic way than the FSF and to provide a body for certification of Free/Open-Source licenses. The common rules for these licenses are articulated in the Open-SourceDefinition (refer to Appendix B, Open Source Definition). This pragmatic approach resulted in additional interest of the business community and an increasing number of companies announced support for the Linux operating system. E.g. in 2000 IBM planned to invest one billion dollars in Linux.22

2.2 Open-Source-Software status Today FLOSS is an important part of the software industry. Big companies like IBM and HP are investing in FLOSS projects, both by funding as well as by active participation. The German Federal Government is taking part in this development model and the European Union is analyzing possibilities for the application of Open-Source-Software. 23 At the same time the FLOSS model is discussed controversially and emotionally. Naturally companies like Microsoft, whose business model traditionally relies on license fees, try to emphasize the disadvantages of the FLOSS model.24 On the other side “Open-Source-Evangelists” describe in an almost romantic way the Open-Source-Movement as an al-

22 23

24

Linux Today (2000) The German Government financed the development of a free groupware solution, which was released in June 2004 under the GNU General Public License (http://kroupware.org/faq/faq.html#General2), on the activities of the European Union see Schmitz/Castiaux (2002). Heise Online (2003b)

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

ternative system of values.25 For a more detailed discussion of FLOSS pros and cons see chapter 2.3. In addition the FLOSS phenomenon became a subject of scientific research in the last couple of years. Researchers are trying to explain the motivation of individuals for their participation in FLOSS projects with economic theories or are developing models for knowledge transfer in Open-Source-Software projects.26 The EU initiated a FLOSS report which concentrates on economic aspects and questions:27 •

How and to what extent are companies and public authorities using Open-Source-Software and why did they decide to do so?

•

Which business models for Open-Source based companies do really work?

•

Why are especially the big players in the software industry involved in Open-Source-Software projects and which are the political implications of that engagement?

Apart from the extensive final report the survey data collected is freely available and is used as the basis for additional research. The main results of the study are that FLOSS was mainly used on the server side as operating system (e.g. Linux), for databases and web server applications. The distribution on the desktop was low at the time of the survey. In addition it was stated that companies utilize FLOSS products mainly because of cost and license issues. Further important reasons are security concerns and the stability of selected Open-Source-Software products. The high investments of private companies and public authorities make Open-Source-Software an interesting research subject. But as Baake and Wichmann point out, the main focus of research is on individuals

25

26 27

“As a professional computer science educator, I see a danger in romanticizing the OSS world, especially for college audiences.”, Bezroukov (1999). E.g. Lerner/Tirole (2002) and Lanzara/Morner (2003). University of Maastricht /Berlecon Research GmbH (2002).

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

participating in Open-Source-Software projects.28 The contribution of private companies which seems to be very important for the huge success of FLOSS is just slowly gaining more attention. 2.2.1 Motivation for participation in FLOSS projects The impressive success of FLOSS raises the question why programmers spend their time and efforts on the creation of non-profit software instead of taking a career in a closed source software (CSS) company. The motivation of the individual programmer is the topic of many articles about the Open-Source phenomenon. Lerner and Tirole analyze the motivation using traditional economic theory.29 Using a net benefit analysis they conclude that the motivation is mainly based on the delayed benefits “career concern incentives” and “ego gratification incentives”. The former relates to future professional advantages like job offers or venture capital while the latter refers to an aspiration for peer recognition. Lerner and Tirole argue that from an economic view these motivations can be grouped together to the “signaling incentive”. This encouragement is stronger for Open-Source-Software than for CSS projects. Lee et al. continue this argument and develop a quantitative model. The main results from this quantitative analysis are:

30

1. FLOSS and CSS systems can coexist. FLOSS cannot exist alone but CSS can. 2. FLOSS needs a critical mass of excellent programmers to become visible and reach a level of sufficient quality. 3. An environment which is able to signal the capabilities of the individual programmers is an essential prerequisite for FLOSS. 4. Even if wages are set strategically in a CSS system there is a probability for a FLOSS system to emerge.

28 29 30

Baake/Wichmann (2004), page 3 Lerner/Tirole (2002) Lee et al. (2003), pages 21f.

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FREE/LIBRE AND OPEN-SOURCE-SOFTWARE

An interesting argument provided is that mediocre programmers in CSS systems can receive wages that exceed their capabilities. This can also be viewed as free-riding, a problem commonly only attributed to FLOSS. Lee et al. conclude that an equilibrium exists in which Open-SourceSoftware and closed source software can co-exist. In addition to these economic arguments von Hippel brings forward the point of lead user innovation.31 Even before FLOSS, users revealed their innovations freely, e.g. in the 18th century iron industry. The differences to Open-Source-Software are mainly the clear policies that demand project contributors to publish their code. Though much research on motivation for participation in FLOSS projects concentrates on individual programmers the results can be carefully transferred to the corporate world. An investment of a company in Open-Source-Software can also be considered as signaling to attract the best programmers available. 2.2.2 Organization and communication As stated above the success of FLOSS started at the beginning of the 1990’s with the evolution of Linux.32 Coinciding with the diffusion of the internet it became possible for developers spread across the world to participate in the development of Linux and other Open-SourceSoftware projects. Another important aspect of the availability of internet access was the possibility for quick release cycles and cheap ad-hoc communication technologies like electronic mail.33 The pure number of distributed developers and the complexity of the software (Linux in this example) can be regarded as a new phenomenon. In ‘traditional’ software development Brooks’ law predicts an increasing communication overhead by a rising number of developers on a team.34 Raymond argues in his essay “The Cathedral and the Bazaar” that Brooks’ law does 31 32 33

34

Von Hippel (2005), pages 9 f. Weber (2004), pages 94 ff. “During this period there were updates and re-releases almost every couple of days.” Weber (2004), page 103 Brooks’ law is often phrased as “Adding manpower to a late software project makes it later"

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not apply to the Open-Source-Process with its internet based development model.35 Bezroukov on the other hand reasons that “the nonapplicability of the ‘mythical man-month postulate’ and Brooks' law is limited only to projects for which a fully functional prototype already exists and most or all architectural problems are solved”.36 Furthermore the project needs a strong leader who manages the tasks and developers. Even though Open-Source-Software development is sometimes described as a democratic process large FLOSS projects have central structures for decision making. E.g. the Apache Foundation introduced “a formal de facto constitution” and Linus Torvalds used to take all final decisions for Linux.37 The organizational form of many FLOSS projects since apache web server and Linux is a virtual and distributed team. The developers and many users are members of a virtual community whose communication is mainly based on mailing lists. At the beginning of the analysis of the Open-Source phenomenon the idea of a single community prevailed. Today the modularization of large projects like Linux supports the impression of an “ecology of development communities”.38 2.2.3 The role of firms In order to discuss the role of the corporate world, the economic impact of Open-Source-Software has to be analyzed. The application of Porter’s 5 forces analysis framework highlights the dramatic effects of FLOSS on the software market (Figure 3). This analysis can be carried out for different sectors. In the case of software producing companies the major threats are substitute products from the Open-Source world, rising customer power due to FLOSS alternatives and new entrants as financial entry barriers were lowered by FLOSS products. Another very important aspect is the rising intra-market competition. With successful FLOSS software providers in the sector, the market shares of CSS companies

35 36 37 38

Raymond (2001), pages 61 ff. Bezroukov (1999) Weber (2004), page 64 Tuomi (2001)

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are seriously at stake. An example for this situation is Oracle and its database product which is competing against the Open-Source MySQL database. As reaction to MySQL’s success Oracle has tried to shift its main revenue source from the database product to new territories. The acquisition of Innobase on the other hand is likely to be intended to weaken the Open-Source rival.39 It is noteworthy that one of the biggest software corporations in the world could have been challenged by a small start-up company. This is even more noteworthy as the complexity of a product usually imposes high entry barriers which demand high investments to overcome.

The bargaining power of suppliers

Suppliers

New Entrants The threat of new entrants

Competitive Rivalry

Customers The bargaining power of customers

The intensity of competitive rivalry

Substitute Products

The threat of substitute products

Figure 3: Porter 5 Forces Analysis40 Also interesting is the analysis of the impact of FLOSS on the companies using the internet as their main business environment. The complete dot.com boom of the late 1990’s would have probably not been possible without Open-Source-Software. Entry barriers were lowered tremendously by FLOSS applications. Linux as operating system, MySQL as database backend, the apache web-server as middle-ware product and freely available programming languages provided a cheap infrastructure for web-based businesses that allowed the use of cheap personal computers. 39 40

Heise Online (2005) Figure following Porter (1980), page 4

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Another important aspect is the rationale of firms for the participation in FLOSS projects or for the release of the source code as Open-Source. Hawkins was one of the first researchers addressing the issue whether a firm should publish its software under an Open-Source-License.41 He concludes that such behavior is in line with standard economic theory as firms “will consume the software available at the lowest costs, and will participate in the production of commodity components of their product line as a method of reducing costs”.42 IBM’s involvement in the eclipse consortium is a good example for this rationale. While the basic product is available under an Open-Source-License, IBM sells an enhanced version as part of the application-server product suite. Henkel argues that the main benefits are “increased sales of complementary goods” and “pricing pressure on competitors”.43 These arguments also explain the strategy of MySQL mentioned above. In the case of utility programs and modules the publication as OpenSource-Software guarantees the continuous maintenance of code even if the original developers left the company. Cisco’s release of CEPS, an enterprise printing system, followed this rationale.44 In-house tools have never been developed to create revenue by selling licenses. This is an important reason for releasing those tools as FLOSS, since passing it to the Open-Source-Community does not result in missed sales opportunities. Henkel’s example of the investment bank Dresdner Kleinwort Wasserstein demonstrates that an Open-SourceStrategy can be reasonable, especially for non-technical companies. If the developed software does not provide a competitive advantage it might be more expensive to keep it proprietary.45 Baake and Wichmann extend the analysis for the motivation of commercial companies to release software as Open-Source by developing a

41 42 43 44 45

Hawkins (2002), page 2 Hawkins (2002), page 16 Henkel (2003), page 15 Henkel (2003), page 16 Henkel (2003), page 17

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simple quantitative model. They conclude that not only the standard arguments like cost reduction have to be considered but rather “strategic considerations with respect to actual and potential competitors” have to be taken into account.46 Again the case of MySQL serves as a good example for these findings.

2.3 Advantages and Disadvantages to users Open-Source-Software is currently widely discussed and often at the center of emotional and heated debates. The most common advantages and disadvantages of FLOSS are shortly summarized. A more detailed discussion can be found in the literature.47 Advantages •

Lower Price Without any doubt FLOSS is cheaper to get hold of as no license fees have to be paid. For the analysis of the total cost of ownership (TCO) all costs resulting from procurement, installation and maintenance have to be considered. Though a detailed TCO analysis depends on the concrete circumstances, evidence is provided by the literature that FLOSS has some advantages over CSS.48

•

Re-use of source code One of the big advantages of FLOSS is the possibility for code reuse. As the complete code is published, developers do not have to re-invent existing features but can integrate modules in their own work. By that means software development can become much more efficient.49

46 47 48 49

Baake/Wichmann (2004), page 20 E.g. Hang/Hohensohn (2003) and Mendys-Kamphorst (2002) Hang/Hohensohn (2003), pages 39 f. Neumann/Breidert (2005)

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•

Higher quality and reliability Generally FLOSS is considered to have a higher product quality and reliability than CSS counterparts. Raymond argues that “given enough eyeballs, all bugs are shallow”.50 Additionally most FLOSS projects have the advantage that they do not face any pressure from market entry dates. Usually FLOSS gets released when a developer considers his piece of work finished. Furthermore Wheeler provides a compilation of relations of FLOSS and CSS for various categories, e.g. reliability and scalability.51

•

Possibility of customization and independent bug fixing - Openness and Flexibility52 If a CSS product does not fit the customer’s needs he has two options: live with the restrictions or search for a different product. FLOSS provides a third option. The customer can modify the product to fit his needs. This is especially interesting in the case of bug fixing. CSS customers rely on the producer of the software to fix the bug. In the case of FLOSS any user might fix the bug or the customer itself is able to correct any errors.

Disadvantages •

Limited warranty and liability FLOSS is usually provided “as is” and without any warranty. There is no possibility for compensation if the usage of the program caused any damage. Furthermore no agent exists in the case of FLOSS who can be made responsible for errors and consulted for support.

•

50 51 52

Poor Documentation

Raymond (2002), page 30 Wheeler (2005) Programming errors are commonly referred to as “bugs”.

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As FLOSS is commonly produced by programmers the amount and quality of available documentation is often smaller than for CSS products. •

Data exchange The lack of reliable data exchange interfaces is often raised in the discussion about FLOSS and commonly refers to the exchange of Microsoft Office documents. As the format is proprietary and closed, Open-Source-Software office suites still fail to handle these files correctly. While this is a drawback the origin for the problem is the closed document format.

•

Lower user-friendliness, poor usability The origins of most Open-Source-Software applications are technically trained developers. Therefore the user friendly control of many applications has not been a large issue. But in the recent years efforts have been made to improve the usability, e.g. by projects like KDE and Gnome, which provide graphical user interfaces similar to Windows for the Linux operating system.53

Summarizing these arguments it has to be noted that the FLOSS community as well as many companies involved in the development of Open-Source-Software are successfully working on these issues. E.g. the number of applications for Linux hugely increased in the last few years. Other arguments like limited warranty for FLOSS products are put into perspective by the serious commitment of many big players of the software industry.

53

http://www.kde.org and http://www.gnome.org

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3 Information and communication technology as an instrument in development cooperation For a more detailed discussion of the application of information and communication technologies (ICT) in development cooperation common objectives and strategies of development policy have to be analyzed.

3.1 Development policy objectives The leaders of 189 nations adopted a common declaration of development goals in September 2000. These objectives are commonly referred to as the Millennium Development Goals (MDGs).54 They consist of eight goals which are further divided into 18 targets. Combined with indicators for each target they outline the roadmap for further action.55 The goals themselves are not new but the common vigorous efforts of the global community to fight poverty and hunger is unprecedented. They are based on the experience from development cooperation in the last 50 years and though all were an issue in the past they have not been outlined in such detail before. The goals are:56 MDG 1: Eradicate extreme poverty and hunger About two thirds of the 1.2 billion people who have to live on less than one dollar a day reside in Asia. As poverty reduction in India and China is making good progress the subgoal of cutting poverty by half until 2015 is still possible on a global average. Admittedly for Sub-Saharan Africa the situation is critical. MDG 2: Achieve universal primary education Primary school education for all children by 2015 is the target of this goal. On average today 80% of all children of the poorest countries visit primary schools. But again Sub-Saharan Africa falls behind with a rate

54 55 56

General Assembly of the United Nations (2000), see also Appendix A, page 110 United Nations Statistics Division (2005) Bundesministerium für wirtschaftliche Zusammenarbeit und Entwicklung (2004), pages 511 ff., applies to all MDGs and Appendix A

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of only 60%. Nevertheless outlooks are commonly good and successful projects are signs for improvements. MDG 3: Promote gender equality and empower women The means to promote gender equality is to create equal chances for boys and girls in education. Referring to primary school education the situation is already promising. For the context of political rights and empowerment of women progress is slow and coming from a weak initial position. MDG 4: Reduce child mortality The target is to reduce child mortality by two thirds until 2015. While mortality was cut in half between 1960 and 1990 still 11 million children are dying in developing countries before they reach an age of five years. Sub-Saharan Africa is the region with the lowest improvements in the recent years, where child mortality is the highest in the world. MDG 5: Improve maternal health The objective is to reduce maternal mortality rates by increasing the number of births conducted by trained medical personnel. There are big differences in mortality rates. The probability for maternal death in Sub-Saharan Africa is 175 times higher than in a developed country. While the number of births conducted by birth attendants has risen in many parts, especially East-Asia, the level remained static in SubSaharan Africa. MDG 6: Combat HIV/AIDS, malaria, and other diseases The community committed itself to work on the termination of increasing infection rates and on a starting trend reversal of serious diseases. While there are some good examples for successfully limiting HIV/AIDS infections the problem remains fatal for many regions. Furthermore malaria and tuberculosis continue to have increasing rates.

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MDG 7: Ensure environmental sustainability On the one hand this goal aims at a sustainable use of limited environmental resources. On the other hand access to drinking water and hygienic improvements for more than 100 million inhabitants of slums are aspired. Access to pure water has improved in many regions across the world with Sub-Saharan Africa falling behind and staying at a constant level of supply. MDG 8: Develop a global partnership for development Part of this goal is to improve an open and non discriminatory trade and finance system. This includes the propagation of good governance to foster a sustainable development and eradicate poverty. The special economic needs of LDCs, LLDCs and SIDCs as well as efforts for the reduction of debts are also covered.57 In addition to these predominantly economic targets social aspects are taken into consideration as well. These include the development and implementation of strategies for the creation of employment possibilities for young people as well as a guaranty for affordable access to important drugs. Last but not least the community agreed to create opportunities for the application of new technologies, especially of ICT. The access to the new technologies should be provided by cooperation with the private sector.

3.2 Development policy strategies The agreed objectives are the foundation for today’s development cooperation. While the targets themselves have not changed substantially in the past the strategies to achieve them did. In the 1950s and 1960s many countries followed an interventionist approach which was followed by a free market orientation in the 1980s and early 1990s.58 The

57

58

Least Developed Country (LDC), Landlocked Developing Country (LLDC) and Small Island Developing Country (SIDC). For more information on the UNCTAD country classification see http://www.un.org/special-rep/ohrlls/ohrlls/default.htm Stern et al. (2005), page 88

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latter is commonly referred to as the Washington Consensus and characterizes the post-Cold War approach to development. In the mid 1990s critics began to arise. Stiglitz as one prominent example states that studies tried but failed to prove a relationship between globalization, growth and poverty reduction. He argues that the “debate is not about whether growth is good or bad, but whether certain policies – including policies that may lead to closer global integration – lead to growth; and whether those policies lead to the kind of growth that improves the welfare of poor people”.59 He underlines his views by analyzing the most successful countries in terms of growth and poverty reduction. China as well as many other East Asian countries experienced remarkable growth as well as poverty reduction without adhering to the Washington Consensus. Especially China was slow to remove trade barriers and is yet not fully liberalized. Chile as another example introduced a tax on short term capital inflows in the early 1990s, a period of high growth for the country. Stiglitz suggests that instead of following the Washington Consensus these countries implemented policies which avoided economic instability and insecurity. Therefore a policy should not only concentrate on trade liberalization but also on an environment which avoids asymmetric effects of globalization. Stern et al. pick up these thoughts in a brief review of the history of development policies. According to them it is not a question of determining the best balance between states and markets. “These ways of defining the role of the state suggest that states and markets are substitutes, when in fact they are usually complements.”60 Stern develops the idea of a state which focuses on education, health, infrastructure, protection of poor people and development of an environment that fosters (new) businesses. Hemmer concludes that the main regulatory task of the state is to strive for a relationship of private and public activities which

59 60

UNDP (2003), page 80 Stern et al. (2005), page 88

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best reflect a country’s tradition and fits the economic and sociocultural conditions.61 These ideas are accompanied by a change in the perception of development policy objectives of the international community. The Monterrey Consensus, which emerged at the International Conference on Financing for Development in Monterrey and replaced the Washington Consensus, emphasizes the responsibility of the individual countries to achieve the MDGs. Furthermore the international community agreed to support these countries by multilateral cooperation and an increase in official development assistance. The Monterrey Consensus and the MDGs are the corner stones for today’s development cooperation. These ideas are not only shared within the UN organizations. Pascal Lamy, Director-General of the WTO, demands an international consensus which reflects the benefits of open trade but takes social values into account.62

Poverty Reduction Growth & Empowerment

Individual Capital

Internal Constraints

External Constraints

Governance and Institutions

Infrastructure

Macroeconomic and trade policies

Investment Climate

Empowerment

Strategy for Development

Figure 4: Growth & Empowerment Development Strategy

61 62

Hemmer (2002), pages 354 f. Pascal Lamy in a speech in Santiago, Chile, http://www.wto.org/english/news_e/sppl_e/sppl16_e.htm

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Based on theses concepts Stern et al. propose a strategy as illustrated in Figure 4.63 It combines the latest ideas of open markets with the consideration of social aspects. As it is also one of the latest published strategies for development the following discussions of ICT in development cooperation will refer to this approach. Therefore a more detailed analysis of Stern’s proposal is necessary. Two pillars, one regarding the improvement of the investment climate and the other one aiming at the empowerment of the individual, are the foundation for “pro-poor” growth and empowerment resulting in poverty reduction. The strategy embodies the idea of an active state which is complementary to the markets. Furthermore Stern et al. consider the strategy to be “pro-poor” in terms of poor people being enabled to participate in growth and being the driver of growth in participatory processes. The first of the two pillars symbolizes the importance of a good investment climate. Firms must be encouraged to invest, create jobs and contribute to overall growth. Within the described strategy the investment climate can be broken down to the three elements “macroeconomic and trade policies”, “infrastructure” and “governance and institutions”. Many efforts have been spent on the analysis of macroeconomic aspects of the investment climate and there is much evidence for a relationship between growth and low inflation, openness to trade and foreign direct investments. Most developing countries worked on the improvement of macroeconomic stability. But for many countries this topic is still an issue. It seems important though that the macroeconomic improvements are accompanied by complementary actions from the government. Otherwise participatory growth and environmental protection could face fierce pressure and might be opposing the intended objectives of the strategy.

63

Stern et al. (2005), pages 127 ff.

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The second element of the “investment climate pillar” symbolizes the quantity and quality of available infrastructure. This includes physical and financial structures, e.g. power, transportation, telecommunications and banking. Reliable power availability, transportation times and access to ICT services are often highlighted as especially important factors for companies in developing countries. It is obvious that an insufficient infrastructure results in higher costs for firms to conduct business. Furthermore there is evidence that small companies in particular suffer most from infrastructure shortages.64 Governance and institutions is the third element of the strategy’s first pillar. The main topics are bureaucratic hurdles and corruption which increases entry barriers and costs to conduct business. The key factors according to Stern et al. are:65 •

Competitiveness of output markets with conditions for entry and exit

•

Functioning of labor and capital markets, especially strong financial institutions

•

Application of legal structures, including taxation and property rights

•

Style of enforcement of rules that are of public interest, such as those protecting the environment, health and safety

The importance of these aspects is backed by empirical research which allows deriving a relationship between “governance and institutions” indicators and development outcomes. Though in general small and large firms are affected, the impact for small firms is higher due to their credit constraints and missing possibilities for political influence. Empowerment is at the heart of the strategy’s second pillar. In this context empowerment “is defined at the individual level as having the abil-

64 65

Stern et al. (2005), page 133 Stern et al. (2005), page 137

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ity to shape one’s life”.66 The core elements of empowerment according to Stern et al. are outlined in Figure 5. Investing in poor people to increase health, education, security and mechanisms for improved participation is the main focus of this pillar. The integration of poor people’s assets and resources is pushed forward to help to foster economic growth. The first determinant of empowerment refers to the individual capital. This includes education and skills providing opportunities for the people, health characteristics and physical assets, e.g. land use rights or animals. External constraints are the second group of factors affecting the way people live their lives. They are shaped by the social environment which influences the capabilities of the individual. Examples for improvements of these constraints include the expansion of women’s rights or participation in the management of public goods, e.g. schools.

What the individual owns: • Assets • Human capital

Empowerment

External constraints • Family • Community (caste, religion) • Society • Governance

Internal constraints • Perception of own role • Preferences • Capacity to aspire

Figure 5: The determinants of empowerment67

66 67

Stern et al. (2005), page 102 Stern et al. (2005), page 102

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The third aspect of empowerment as used by Stern et al. relates to internal constraints. This determinant describes the perception of an individual’s role and the capacity to aspire. In terms of a person’s contribution to growth it is strongly related to the ability and willingness to take risks and to innovate. Obviously there are interdependencies between the determinants of empowerment. E.g. the kind of governance may influence the accumulation of assets or determine the quality of education. The same is true for the two main pillars of the strategy. While the first deals with aspects on the firm level the second focuses on challenges of the individual. But both have in common that the governance aspect is an essential and vital part of each pillar. Furthermore both pillars share that progress and future development occur through (dramatic) changes. These changes affect the investment climate and its determinants as well as the individual level. The latter also includes changes of preferences, e.g. the willingness to invest in primary education of girls.

3.3 The status of ICT in less developed countries With these policy objectives and this strategy in mind it stands to reason if and how ICT can help in development cooperation. But before a deeper analysis of the possibilities of ICT is made the current situation in developing countries will be illustrated. Historically less developed countries face technological gaps and uneven diffusion of ICT. This gap between haves and have-nots of ICT is commonly referred to as digital divide. But even within countries a gap between rural and urban areas can be observed. Figure 34 and Figure 35 in Appendix C give an impression of the asymmetrical distribution of internet access technologies (i.e. router density) and the resulting internet usage in relation to the population density. It is noteworthy that India, which commonly serves as the prominent good example for the positive impact of ICT on national growth, has a comparably low rate of population with online access. But 27

INFORMATION AND COMMUNICATION TECHNOLOGY AS AN INSTRUMENT IN DEVELOPMENT COOPERATION

given its high population the absolute number is comparable or higher than in most Western European countries. China is another example for this phenomenon. The highly industrialized areas in combination with the high population density result in a large share of the world’s internet users. But for the rest of the less developed countries internet access and usage is generally not correlating to population density. Again this is particularly true for Africa where on average less than two percent of a country’s population is online. But the maps do not only highlight international gaps. They also show domestic asymmetries, which are again best visible for China and India but Brazil and Latin America are good examples as well. The UNCTAD e-Commerce and Development Report 2004 concludes that the gap seems to close on an international level though the progress is slow and countries in the most difficult situations do not seem to benefit from this development.68 On the other hand this process may not result from an increased performance of the developing countries but may be the result from saturation effects. As growth rates for base technologies like PCs and internet slow down in developed countries the gap seems to be closing as the underserved still increase baseline technology adoption.69 The most noteworthy progress has been achieved in the mobile phone sector. While the landline diffusion is still growing it has been outpaced by the rate of cellular phone spread. 70 In Africa mobile phone subscription numbers leveled landline usage in 2001 (Figure 6). While this looks promising on the first sight the diffusion is not even within Africa.71 In 2004 the teledensity in Sub-Saharan Africa (without South Africa) was ten times lower than in North Africa. In addition 75% of the continent’s landlines were found in 6 of the 55 countries. This situation can also be regarded as an intra-continental digital divide.

68 69 70 71

UNCTAD (2004), page 11 bridges.org (2001), page 13 Sciadas (2003), page 17 International Telecommunication Unit (2006)

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Figure 6: Telephone subscribers per 100 inhabitants, Africa 1995-200472

3.4 ICT for development The brief overview about the diffusion of ICT in less developed countries raises the question if improvements can help to foster sustainable growth and reduce poverty. This requires an analysis of the relationship between ICT and the MDGs. 3.4.1 ICT and the MDGs ICT is also often referred to as a general purpose technology (GPT) in terms of the range of application scenarios in multiple sectors.73 It is obvious that ICT directly supports the last target oft the MDG: In cooperation with the private sector, make available the benefits of new technologies, especially information and communications (target 18 of the MDG). But as a general purpose technology ICT has the potential to support many of the agreed targets of the MDG declaration.74 The first MDG, the eradication of extreme poverty and hunger, can be affected in multiple 72 73 74

Source: International Telecommunication Unit (2006) Indjikian/Siegel (2005), page 689 The following details are mainly based on United Nations ICT Task Force (2003), pages 8 ff. and Tamimi (2005)

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ways. Access to market information and reduction of transaction costs may help poor farmers and traders. Firms in less developed countries may also benefit from ICT by enhancing their efficiency, competitiveness and market access. Universal primary education, the second MDG, offers a variety of possibilities for ICT application. Distant learning, ICT enhanced teaching methodologies, continued education of teachers and improved availability of quality educational material are examples for a promising usage of ICT. Virtual schools and universities, networks for teachers and students as well as supply of localized teaching materials are additional areas of ICT application to support the enhancement of this goal. As universal primary education supports gender equality and the empowerment of women the above mentioned ICT measures apply to the third Millennium Goal as well. Additional usage of ICT includes applications which help to influence the public opinion on gender issues. The reduction of child mortality, the improvement of maternal health and the combat of HIV and other diseases (MDGs 4-5) are all best supported by ICT in the same way. Monitoring and information sharing can also be increased by utilizing ICT systems. The provided material ought to contain locally relevant information and be provided in local languages to maximize efficiency. The use of radio and television for the diffusion of education on health and diseases is essential in areas with low internet penetration or high illiteracy rates. Environmental sustainability (MDG 7) can as well be supported by the appropriate application of ICT. Information sharing is again an important part but remote sensing and monitoring are also fundamental areas of ICT adoption. The final MDG, development of a global partnership for development, also offers a variety of use cases for the application of ICT. With respect to the improvement of the situation for LDC, LLDC and SIDC similar measures as for the reduction of poverty and hunger can be taken. It is 30

INFORMATION AND COMMUNICATION TECHNOLOGY AS AN INSTRUMENT IN DEVELOPMENT COOPERATION

important to enable these countries to integrate their markets in the global economy and to utilize potential comparative advantages. Egovernment can help to increase efficiency and transparency of public agencies which could result among others in an improvement of the investment climate. Decent and productive work opportunities for the youth, another target of this goal, are best supported by educational measures as described above. Additional possibilities include the establishment of decentralized working opportunities which rely on ICT. Examples for such possibilities include call centers as well as data entry and processing services. 3.4.2 ICT for growth and empowerment Having outlined the possible benefits of ICT application for the MDGs it stands to reason if and how ICT can support the strategy which has been described above. Therefore possible contributions of ICT to growth and empowerment have to be analyzed. While doing so “it is important to be aware of the fact that sustainable poverty reduction is not achieved by short-sighted miracle cures, such as country-wide Internet access.”75 In order to implement sustainable ICT solutions the needs have to be thoroughly identified and the many indirect benefits of ICT for growth and empowerment have to be taken into account. Figure 7 illustrates the effect of ICT on growth and empowerment by influencing the components of the two pillars. E.g. ICT may improve the infrastructure which in turn may result in higher growth and empowerment and thus can help to promote poverty reduction. The basic arguments and usage scenarios for the application of ICT for growth and empowerment are similar to those listed above in relation to the MDGs. Thus only additional benefits will be analyzed and a possible impact assessment of ICT for growth and empowerment will be highlighted.

75

Gerster/Zimmermann (2003), page 14

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ICT is used in different kinds of projects for different sectors as one tool among others to improve performance and efficiency. This makes it difficult to identify or quantify the ICT share of such projects.

Infrastructure Governance and Institutions

Growth & Empowerment Macroeconomic and trade policies

Internal Constraints

ICT

External Constraints

Individual Capital

Figure 7: Influence of ICT on development strategy components One approach is to compare indicators for overall development and ICT diffusion. An obvious indicator for growth would be the gross domestic product (GDP). Another indicator is the Human Development Index (HDI), which is a three dimensional figure. It is a compound from the GDP, the life expectancy index and the education index. Thus the HDI is more expressive in terms of empowerment and emphasizes the social development. Figure 36 (Appendix D) shows the world map with the distribution of the HDI. The degree of preparation and usage of ICT can be measured by the Networked Readiness Index (NRI).76 As for the HDI it is a three dimensional index which is defined as the sum of the environmental index, the readiness index and the usage index. The environmental sub-index is determined by a country’s or community’s market and regulatory environment and the infrastructure in place. The readiness sub-index relates to the key stakeholders’ (individuals, businesses, and governments) ability to apply ICT. Finally the usage sub-index indicates the actual application of ICT of these stakeholders.

76

Dutta et al. (2004), page 4

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Figure 8: NRI 2003–2004 vs GDP per Capita, Partial Log Regression77 Relating the GDP per capita and the NRI shows a wide spread (Figure 8).78 E.g. Estonia and Venezuela both have a similar GDP per capita but show very different results for the NRI index. Despite the variances the plot allows to analyze the trends. Most notably the effect of a rising GDP per capita has the highest impact on the NRI for low values of GDP per capita. The increase of the NRI drops sharply at a GDP per capita level around USD 6000 to 9000. For higher GDP per capita values other factors are more important for the NRI. A different situation can be observed by analyzing the relationship between the NRI and the HDI (Figure 9). The correlation between the two indexes has a positive gradient, meaning that the NRI grows with larger HDI values. Thus the NRI is positively correlated to the two sub-indexes life expectancy and education which complement the GDP per capita index within the HDI. While the influence of the GDP per capita is predominant for low NRI values, social factors become more important for larger NRI indexes.

77 78

Source: Dutta et al. (2004), page 14 Dutta et al. (2004), page 12

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With this evidence for the positive impact of ICT on growth as well as on social aspects the relationship between the components of the two pillars of the outlined strategy will be highlighted.

Figure 9: NRI and HDI, 200379 ICT for growth The determinants for growth had been outlined as “macroeconomic and trade policies”, “infrastructure” and “governance and institutions” (refer to Figure 4, page 23). Various scenarios are possible for the support of a country’s macroeconomic and trade policies by the application of ICT. A study of the economies of 15 states of the European Union and 10 states of Central Europe provides evidence that investment in ICT is an important source of growth.80 There also seem to be higher returns for investment in IT than for other traditional sectors. In general the promotion of an ICT sector can have positive effects. E.g. Tanzania launched a short-term campaign with an emphasis on ICT skills.81 Even if emerging businesses are not owned by the very poor they are likely to provide new job opportunities. It has been stated though that “the high costs of initial IT implementation, management buy-in and 79 80 81

Source: Dutta et al. (2004), page 63 Indjikian/Siegel (2005), page 683 Kelles-Viitanen (2003), page 86

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commitment to change, and the ability of citizens to access this resource have hampered several e-government initiatives”.82 The example of an improved land registration process on the other side highlights the potential benefits. The new process is faster and bypasses corrupt brokers. To be able to participate in global trade as an equal partner it is important to have appropriate infrastructure in place. The ability to get information about their markets is crucial also for small businesses. The information infrastructure varies from mobile phones to integrated internet applications. Typical examples include small scale businesses selling their products online and programs connecting remote villages by mobile phones and smart antennas. Governance and institutions, the third element of the investment climate pillar, can be crucially supported by ICT as well. The measures go in the same direction as for the support of macroeconomic and trade policies. Stable institutions with transparent processes help to create a favorable business environment and fight corruption. ICT for empowerment Besides the outlined benefits of ICT for the investment climate there is a variety of potential applications to increase empowerment. The most obvious applications for increasing the individual capital are again in line with the measures described above. They especially include education and health related programs. The shear availability of free information can foster empowerment and enables minorities to get their voices heard.83 Measures go from radio and television based projects to internet based services. E.g. in Mexico the Zapatista minority was able to get international public awareness utilizing an email based information network.84 Poor urban women in Kenya use video technology to document

82 83 84

bridges.org (2001), page 58 Marker et al. (2002), page 8 Skuse (2001), page 4

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their activities. The produced clips are being broadcasted and help to raise the awareness in society and with policy makers.85 Enabling environment In order to promote ICT application it is vital for a country that the government provides an enabling environment. This includes openness to foreign direct investments (FDI) and deregulation of telecommunication markets. Independent from ICT, foreign direct investments have proven to be an important source of growth and often go along with openness to international trade.86 “ICTs can help both improve the environment for FDI and trade (both by enhancing the performance of domestic firms, markets and governments and by improving vital infrastructure) and increase the impact of FDI (by helping to disseminate and mainstream the innovations that FDI brings), but ICTs cannot substitute for the policy frameworks and the human, firm and institutional capacity necessary to attract FDI.”87 Concentrating on openness to FDI China can serve as a good example. It became a highly competitive producer of ICT hard- and software. With its WTO membership China has become an even more attractive location.88

Figure 10: Developments of Telecommunications in Peru89

85 86 87 88 89

Gerster/Zimmermann (2003), page 25 McNamara (2003), page 39 McNamara (2003), page 39 Indjikian/Siegel (2005), page 695 Source: GTZ (2002), page 13

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In addition proper regulation of telecommunication markets is vital. Evidence is available that competition and participation of the private sector promote the diffusion of the new technologies. The example of the privatization and later deregulation of the telecommunication market in Peru indicates these positive effects (see also Figure 10).90

3.5 Examples of ICT in development cooperation Weigel and Waldburger outline the possible range of information and communication technologies and their respective relevance for development (Figure 11). While radio and television are without doubt important especially for the very poor the significance of mobile phones seems to be underestimated. Considering the situation in Africa as outlined above, mobile phones have gained a tremendous diffusion among the poor and are an important tool for development, also of the very poor. The following case studies give an impression of ICT efforts in development cooperation. The selection picks examples from the whole range of technologies.

Figure 11: Range of technologies and users relevance91 3.5.1 Radio based service CEMINA (Communication, Education and Information on Gender) is a Brazilian non-government organization (NGO) which is working to strengthen women’s leadership in community development. The project 90 91

GTZ (2002), page 13 Source: Weigel/Waldburger (2004), page 19

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utilizes a combination of internet and radio technology.92 Radio programs are created locally and delivered online via broadband internet links to regional radio stations. These have been integrated into a network exchanging the locally produced content and transmitting the programs via internet and radio. By 2003 eleven community radio stations were producing local programs with information on gender issues. 1500 women from all over Brazil were trained to participate in the production of radio programs. The main objective of CEMINA was to increase the education on gender issues by enhancing the use of community radios by low income women in Brazil. In addition the isolation of women has been tackled and social integration enhanced. 3.5.2 Mobile phone based project Tuberculosis is a widespread disease in Sub-Saharan Africa.93 In 2002 80% of the global tuberculosis infections occurred in three African countries. The disease effects people’s lives and puts massive economic and social burdens on those affected. Though South Africa, being among the highly affected regions, provides free medication the compliance of the patients leaves room for improvements. This is even more important as unsteady intake of tuberculosis drugs results in patients becoming “multi drug resistant”. The treatment of this kind of tuberculosis is approximately 50 times more expensive (USD 100/month vs. USD 5000/month). The company SIMpill in cooperation with the City of Cape Town addresses this issue of non-compliance. The provided service consists of a pill box which, when opened, sends an electronic text message (SMS) to a central server (Figure 12). Thus drug intake can be automatically observed and when non-compliance is detected predefined measures can be taken. Though the collected data from the pilot phase does not allow deriving evidence for significant improvements the prospects for future 92 93

infoDev (2003), page 14 infoDev (2005), pages 11 ff.

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growth is high, given the high number of incidences in the region. In addition the social benefit of tackling tuberculosis may also exceed the costs for infrastructure and maintenance of the service. This case study is furthermore a good example for the innovative usage of existing and proven technologies in the context of development cooperation.

Figure 12: Schematic diagram of SIMpill service delivery94 3.5.3 Individual computing Besides community telecenters which provide internet access and sometimes also additional services, efforts have been undertaken to close the digital divide. One early approach was the development of a simple, low-cost handheld computer by the Indian Institute of Science.95 This simputer (Simple Inexpensive Mobile People’s Computer) was intended to be used as a shared community or individual device. The Simputer offers internet and email connections, support for local languages and touch screen support. This, in conjunction with text to speech facilities, also allows the usage by illiterate users. Pilot projects

94 95

Source: http://www.simpill.com http://www.simputer.org

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successfully used the Simputer to empower rural farmers by giving them access to commodity market prices.96

Figure 13: Simputer and 100$ Laptop A more recent effort aims at providing computers for education at schools. The ‘One laptop per Child’ (OLPC) project at the MIT media lab is working to provide cheap laptops for poor children. In November 2005 a working prototype was presented at the World Summit on Information Society (Figure 13). The laptop is a very robust, inexpensive device which was designed to have low power consumption. Even if power supply is not available the laptop can also be powered with a hand cranking. Another interesting feature is the ability to build ad-hoc peerto-peer networks with other laptops allowing them to communicate with each other and share a single point of internet access. The UNDP announced at the World Economic Forum in January 2006 their support for the OLPC program. In addition OLPC is privately supported by companies like Google, AMD or Red Hat.97 The next project phase is to implement the program in seven large countries. Involved governments are supposed to buy the laptops and to pass them to students free of charge. The production of the laptops, which will be done by Quanta Computers, will start as soon as five million devices have been ordered and 96 97

United Nations Conference on Trade and Development (2003), page72 UNDP (2006) and http://laptop.media.mit.edu

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paid for. Currently shipment of the first laptops is estimated for early 2007. After failing to reach an agreement with Microsoft to include Windows on the computers, the laptop will utilize Open-Source-Software with Linux as the operating system.98 Microsoft’s reaction was to publish plans to develop an alternative computing system based on a mobile phone which can be connected to a TV and a keyboard. It is questionable however if such an approach meets the requirements of many less developed regions, where TVs a rare and power supply is often not available.

98

The Financial Times (2006)

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4 FLOSS within development cooperation It was demonstrated that ICT is an important part of today’s set of tools in development cooperation. But looking at Open-Source-Software takes the arguments provided above one step further. The following chapters are analyzing the case of FLOSS within development cooperation in more detail. Differences to ICT in development cooperation in general and the current status will be outlined before the implications for the actors of development cooperation will be discussed.

4.1 Special aspects of Open-Source-Software in development cooperation The topic of FLOSS as an instrument in development cooperation was brought up by various organizations. The most prominent are the United Nations Conference on Trade and Development and UNDP.99 As for ICT in general Open-Source-Software has to support the outlined goals and strategy. Furthermore it has to provide additional advantages compared to proprietary software to justify its application. In this discussion the emphasis is not only on growth but on the pursuit of the MDGs in general. Obviously the same arguments apply to FLOSS as for ICT in general. In addition core values of the Open-Source-Definition are in line with the MDGs. Namely these are freedom (to modify and distribute the software), equality (same access to the software for all) and solidarity (sharing of software). Instead of analyzing the MDGs individually regarding possible impacts of FLOSS, the main arguments raised in the literature will be picked up. Weerawarana et al. state that “if open source is to make sense for developing countries, it must constitute a key part or prong of the country’s

99

United Nations Conference on Trade and Development (2003) and “International Open Source Network”, http://www.iosn.net/foss

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IT strategy which creates value or wealth in the economy”.100 They identify three areas for this value creation: enhanced business opportunities in the ICT sector, reduced ICT costs for private firms and the government and finally improved effectiveness and efficiency of the government. Figure 14 illustrates the initiatives serving the described value creating objectives.

Create Value in the Economy through IT Reduce the Cost of IT Investment in the Economy

Create Business Opportunities in IT Improve Efficiency and Effectiveness of Government through IT

IT Policy Framework

Private Sector OS initiatives and business models

Building Brand Equity in Software Development Building Capacity and Skills in IT

Advocacy and Education E-Government

Figure 14: IT-Strategy Map for Developing Countries101 The benefits for private firms as well as for the governments have been discussed by other authors as well.102 The following summarizes the main arguments raised in the discussion about Open-Source-Software application in developing countries.

100 101 102

Weerawarana et al. (2004), page 32 Source: Weerawarana et al. (2004), page 33 E.g. United Nations Conference on Trade and Development (2003), Dravis (2004) or Weber (2003)

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4.1.1 ICT sustainability and autonomy The most cited arguments for Open-Source-Software are missing license fees and cost issues in general. Though the total cost of ownership depends on the specific situation this argument is usually raised at first. In the case of a developing country the question is not whether FLOSS has a slight cost advantage over a proprietary solution. The main point is that ICT investments in support and training for FLOSS allow flexible contracts also to local providers. This in turn results in national money circuits fostering economic growth not only in the primary field of ICT investment. At the same time the money spent on training and support increases the local human capital. A good example for this scenario is the Lanka Software Foundation. It is an “illustration of pragmatic strategy in building the brand equity of individual developers and the countries in which they reside through participation in OS development projects (E.g. committers to Apache Foundation)”.103 This in turn can lead to an increased attractiveness for foreign investments as well as to increased exports of local ICT services or products. Another important point raised by Dravis is the increased competition in the software sector due to Open-Source-Software.104 New FLOSS projects are emerging every day addressing requirements of users either in a narrow local environment or with a global scope. While the latter form a market which is attractive to many proprietary software vendors the niche markets of small communities are often underserved. FLOSS is one approach to satisfy these markets as the examples of localized versions of OpenOffice demonstrate.105 The reduced barriers of entry in the case of FLOSS also increase the competition in the ICT service and

103 104 105

Weerawarana et al. (2004), page 33 Dravis (2004), page 20 E.g. see http://translate.org.za for a project translating OpenOffice into SouthAfrican languages. Chapter 4.2.3 on page 54 introduces translate.org.za shortly.

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training sector. In turn efficiency and effectiveness are likely to increase and thus lead to lower prices and higher quality.106 Closely related to the argument of increased competition is the avoidance of vendor lock-in situations and aspiration of technological self reliance.107 The reduced number of market participants for some ICT product categories (e.g. operating systems or word processing software) can result in substantial dependencies. The release of new versions and discontinued support for older ones forces users to participate in upgrade cycles implicating new license fees and potential upgrades of computer hardware. Another important issue looking at a country’s autonomy regards open standards. A good example is the proprietary document format of Microsoft Office Suite files. Even after switching to a more generic document format based on XML, the format is not open in terms of free availability. Microsoft reserves the right to charge a fee for the usage of its XML108 schemata as the company indicates with the example of MPEG4109 as an open document format.110 So in fact the format is known but as with MPEG4 the usage is (or might be in the future) subject to royalties. In addition to differences in the definition of “open standard” Open-Source projects are more likely to adopt these. In contrast to proprietary vendors, who might seek technical barriers and lock-in effects, FLOSS projects gain network effects from existing programs which are able to process these open formats as well. Finally Dravis raises the important point that Open-Source-Software is not an “all or nothing” approach.111 Many FLOSS products work on proprietary operating systems and there are a couple of solutions (e.g.

106 107 108

109

110 111

United Nations Conference on Trade and Development (2003), page 110 Dravis (2004), page 21 XML is a general purpose markup language, capable of describing many different kinds of data. See also http://en.wikipedia.org/wiki/Xml MPEG4 is a group of audio and video coding standards. See also http://en.wikipedia.org/wiki/MPEG4 Microsoft (2004), page 8 Dravis (2004), page 23

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Wine112 or vmware113) which allow running Windows programs on a Linux operated machine. 4.1.2 Security Today cyber-crime and cyber-spaying are growing threats. Therefore the security of public data has to be a concern of governments. “At a minimum, introducing diversity into the base of functioning software code reduces the possibility of catastrophic failures […].”114 FLOSS provides the advantage that interested parties can verify data integrity and security by analyzing the source code. But the integrity does not only apply to data processing. In today’s interconnected world secure network connections are a crucial part of any ICT infrastructure. The German Federal Foreign Office switched to Linux as their server operating system.115 The usage of a hardened Linux System allows a highly secure connection between German embassies. The American National security Agency is even working on an own version of a security enhanced version of Linux.116 The usage of open standards is also related to security issues. Again the document format of Microsoft Word serves as a good example. Document history information is saved along with personal data in Excel and Word files. Though this issue was documented in books as well as in technical articles published by Microsoft many users are not aware of this feature.117 In the meantime tools to remove private information from the documents have been offered. These examples emphasize the relevance of computer security for a country and FLOSS as a secure alternative to proprietary systems.

112 113 114 115 116 117

http://www.winehq.com http://www.vmware.com Weber (2003), page 18 Andresen/Wolf (2003) http://www.nsa.gov/selinux E.g. “Microsoft Word bytes Tony Blair in the butt”, http://www.oreillynet.com/pub/wlg/3449?wlg=yes

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4.1.3 Intellectual property rights With an increasing integration into the global economy the pursuit of intellectual property rights (IPR) enforcement becomes more important.118 In many countries computer hardware is sold with pirated proprietary software preinstalled. FLOSS provides a legal alternative. In addition it is often difficult to establish a local software industry when the revenue is based on license fees. If the business model relies on FLOSS it can be sustainable even in environments dominated by software piracy. It has to be noted though that the absence of intellectual property right law enforcement can also lead to a devaluation of Software in general. “The economic benefit of OSS products will not be felt until intellectual property is properly protected.”119 From a development perspective the provision of FLOSS can also be regarded as a transfer of wealth.120 Free software combined with cheap labor has the potential to create comparative advantages on local and global markets. The provision of a freely available software environment can have positive effects on development and growth. This is similar to the effect of lowered barriers of entry in response to Open-SourceSoftware in the late 1990’s which allowed the enormous internet hype. Recapitulating, FLOSS provides an opportunity to enable less developed countries to become producers of software solutions themselves.121 In contrast to proprietary software which usually creates more users than producers FLOSS has the potential to enhance the local capacity in business and IT. This capacity development enables less developed countries to produce the software needed for local conditions and meet development objectives. FLOSS allows countries to pursue their own development path and gives them the ability to participate actively in the design of their future.

118 119 120 121

United Nations Conference on Trade and Development (2003), page 113 Weerawarana et al. (2004), page 35 Weber, Steven (2003), page 20 Weigel/Waldburger (2004), page 45 f.

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4.2 The Status of FLOSS in development cooperation With these potential benefits in mind the current situation of FLOSS as an instrument in development cooperation has to be analyzed. In addition to policy options it has to be discussed if and how governments should intervene in the software market. 4.2.1 Country ICT policies options If Open-Source-Software preferences are supported by a government the question about the legitimacy of this market interference has to be raised. Many countries, among them many member states of the European Union, already support Open-Source-Software.122 But it can also be argued that governments should be neutral as only the market can satisfy market needs.123 Government intervention in principle In their study on economic aspects of FLOSS Kooths et al. justify public market intervention. The prerequisites on the one hand are an existing market failure and the possibility of the provision of an efficient solution for the failure. On the other hand the benefits of the intervention have to exceed the costs.124 The problem with this approach though is the definition of market failures and benefits. Some authors neglect any existence of market failures in the software industry and refuse as a consequence any government interference with the market.125 E.g. Evans argues that if strong network effects are important to the user it might be more sufficient to have a single provider.126 The example given is the Windows operating system from Microsoft which is in his opinion that popular because consumers place a high value on the strong network effect.

122 123 124 125 126

http://europa.eu.int/idabc/en/chapter/194 Hahn (2002), page 85 Kooths et al. (2003), page 90 E.g. Bessen, Evans and Smith in Hahn (2002), page 9, Kooths et. al., page 90 ff. Evans in Hahn (2002), page 45 f.

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These views are objected by others.127 Their main point is that the software market is not a perfect market. Information is not shared symmetrically and competition is limited due to strong network effects.128 These may result in a monopoly and in turn would allow government intervention. Finally Lessig argues that these considerations are deprecated.129 As long as governments carefully address all interests they will arrive at the conclusion that FLOSS is favorable to proprietary software. Instead of questioning the case for Open-Source-Software Lessig argues against software patents, which can be seen as a governmental interference as well. Bessen also notes that “open source extends the software market by addressing market failures associated with incomplete contracts and asymmetric information”.130 While these two parties relate their arguments to markets in more developed countries the arguments are different for developing countries. In the best case less developed countries are moving towards competitive markets. Within this process the question is not only whether to foster free trade but also how to realize a fair integration into the global market. The imbalance between more and less developed countries alone justifies interference from the government. This argument also applies to the second criteria for a market intervention. Expected benefits have to be carefully calculated with social aspects taken into consideration. By adding future prospects, e.g. a strengthened local software industry, governmental market interference becomes more reasonable. Another important aspect in this discussion refers to exclusivity. The idea is not to avoid a software industry based on license fees. As mentioned earlier Open-Source-Software and proprietary solutions can co127

128 129 130

E.g. Pasche/von Engelhardt (2004), page 15, Ghosh (2005) page 24 and Lessig in Hahn (2002), page 9 Pasche/von Engelhardt (2004), page 15 Lessig in Hahn (2002), page 67 f. Bessen in Hahn (2002), page 7

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exist and may support each other by providing competition and choice for the consumer. FLOSS adoption can be supported in various ways. Weber and others identify three sets of options for policy implementation by governments: formality, level of involvement and mode of development.131 Formality Formal approaches include legislation and strategic papers by a country. They face informal approaches which allow FLOSS to evolve without the support of the government. A couple of African and Latin American governments issued formal approaches to pursue the adoption of OpenSource-Software. Weber describes the advantages of the formal approaches.132 He names the possibilities to consider any technological shortcomings and to cooperate with donors in order to address these. On the other side informal approaches may allow the FLOSS phenomenon to develop by itself and thus enhance organizational benefits and end user innovation effects. Level of involvement Especially in less developed countries governments are an important consumer of ICT. Therefore their participation is important for successful Open-Source-Software approaches.133 Weerawarana and Weeratunga identify three important areas of involvement:134 1. Government software procurement policy 2. Encouragement of good private sector software procurement policies 3. Keep the internet free of tariffs and licensing 131

132 133 134

Weber (2003), pages 22 ff., United Nations Conference on Trade and Development (2003), pages 114 ff., Wong (2004) pages 17 ff. Weber (2003), page 23 United Nations Conference on Trade and Development (2003), page 115 Weerawarana et al. (2004), page 38

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The importance of the government as a consumer makes procurement policies essential for a successful consideration of FLOSS in developing and less developed countries. This policy can also serve as an example to demonstrate the business value of Open-Source-Software. But highly critical for the success of FLOSS is internet access. Thus deregulation of the telecommunication industry and the reduction of tariffs and licenses is another vital aspect to support FLOSS diffusion. Mode of development The mode refers to the degree of interaction. Measures go from local awareness building, to procurement, to funding of research and development and to international cooperation. The Free Software and Open Source Foundation for Africa (FOSSFA) is one example for an organization, which is promoting the application of FLOSS in Africa. They also provide a recommendation for the mode of application of FLOSS:135 1. The neutral approach •

Ensure that the choice is supported and discrimination against FLOSS is eliminated.

•

Adopt policies to ensure that FLOSS is carefully considered in IT procurement processes. Implement criteria for evaluating OpenSource-Software products and procedures to adopt and maintain open standards.

•

Allow Open-Source-Software to compete on an equal basis with proprietary alternatives.

•

Initiate communication to enhance knowledge and understanding of FLOSS.

2. The enabling approach •

Establish policies which gear towards the creation of the capacity to implement and maintain FLOSS.

•

Develop the capability to give guidance on selecting and implementing it.

135

FOSSFA (2003), page 4 f.

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•

Promote education and training in FLOSS products.

•

Support the establishment of partnerships and developer communities.

3. The aggressive approach •

Actively encourage the development of FLOSS under appropriate conditions through legislation and policy.

•

Encourage active involvement of governments in supporting FLOSS developer communities and development projects.

•

Adopt strategies to increase commitment to Open-SourceSoftware products.

•

Establish regular auditing of the impact of FLOSS on service delivery.

•

Participate actively in programs that can minimize risks associated with FLOSS.

•

Demand application of FLOSS where analysis shows it to be the best alternative.

These suggested policies are not only aiming at the diffusion of OpenSource-Software but also on solutions created by Africans for Africans. Another aspect important for FOSSFA is the capacity building component of Open-Source-Software. “The vision for the future is one of a regional technical revolution of sorts, in which Governments and the private sector embrace FOSS and can rely on regionally developed software and expertise.”136

136

United Nations Conference on Trade and Development (2003), page 116

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4.2.2 Examples of FLOSS ICT policies The following list provides examples of policies for Open-SourceSoftware adoption taken from South-America, Africa and Asia.137 Brazil The Brazilian province of Pernambuco was the first to make the application of FLOSS mandatory by law in March 2000. In 2003 the government decided to migrate 80% of all computers in state institutions from Windows to Linux.138 The main rationale were license costs. “In its 2002 balance of payments report, Brazil actually spent more money on royalties and licenses than it did on computer and information.”139 Argentina In the bill of Free Software from March 2002 Argentina demands the use of free software for all companies and organizations in which the National State is a major stakeholder.140 Exceptions are possible but have to be justified and possible risks of the application of proprietary software have to be published. One rationale for the aggressive approach of FLOSS adoption was a national campaign against software piracy. China China indirectly developed Red Flag Linux, a Chinese-language Linux distribution. The support was established via the China Academy of Science together with the government owned Shanghai New Margin Venture Capital. The Beijing municipal government established the Beijing Software Industry Productivity Center and initiated a project to improve the performance of local Linux distributions.

137

138 139 140

If not otherwise noted, examples are taken from United Nations Conference on Trade and Development (2003), page 117 ff. and bridges.org (2005a) PCLinuxOnline (2003) Wong (2004), page 5 http://proposicion.org.ar/proyecto/leyes/5613-D-00/doc-asesores-3.html

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China also hosts many corporate FLOSS developers, e.g. Turbo Linux, Red Hat and IBM. Malaysia In November 2001 the Malaysian Government decided to use OpenSource-Software in key public agencies like treasury and in dedicated areas like e-procurement. The Malaysian Prime Minister launched a joint project in 2002 with the private sector to build an affordable, Open-Source-Software based computer for home usage.141 The government owned research company Mimos has a special focus on Open-Source-Software.142 In addition Malaysia established FLOSS competence centers in order to support the development of relevant skills in the country.143 South Africa The South African proceeding to FLOSS adoption is an example of the enabling approach.144 The government set up the National Advisory Council on Innovation (NACI) which proposed a strategy in 2003 promoting the application of FLOSS. Though no legislation has been established the recommendations have widely been accepted and they are being implemented by government departments. South Africa plays a very important role in regional collaborations, in particular in the Open-Source-Software Foundation for Africa. 4.2.3 Case studies of FLOSS in development cooperation A list of exemplary case studies of Open-Source-Software in development cooperation will complement the policy examples. The provided examples were selected to include various development regions and different prospects of FLOSS application in development cooperation.

141 142 143 144

http://www.komnas.com http://opensource.mimos.my Wong (2004), page 22 Wong (2004), page 18

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Localization The provision of an ICT information structure is not sufficient if the software has not been translated into local languages. Translate.org.za is a non profit organization which provides free software in different African languages.145 The main focus is on the translation of Linux, of the OpenOffice suite and of the FireFox internet browser. Among the supported languages so far are Xhosa, Zulu, Northern Sotho and Afrikaans. Health In Mali the privately organized project IKON provides radiological diagnostic services to patients in rural areas.146 Patients are X-rayed in regional centers and the images are sent to a central hospital in Bamako, for further diagnosis. At the time the project was initiated there were 11 radiology specialists living in the country, ten of them in Bamako, the capital of Mali. The entire project uses FLOSS which has been tailored to the needs of IKON. The software handles the encryption of the images and confidential patient data, transmission and billing of the provided service. The one year pilot phase was completed successfully indicating sufficient demand for a sustainable operation. While being revenue-positive from the early beginning the project now serves as a nucleus for further medical services. Sustainable Livelihoods In Laos remote villages are connected to the internet using standard wireless technologies (802.11b standard) and smart antennas.147 Additional solar powered access points supplement the infrastructure. Villagers are using power efficient embedded computers which run localized versions of Linux and KDE, a graphical window system.

145 146 147

http://translate.org.za infoDev (2005), pages 8 ff. Dravis (2004), pages 17 ff.

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The services provided include local calls, internet access document processing and spreadsheet capabilities. It is an essential infrastructure for the community which is 25 km away from the next village with phone lines and allows sustainable income improvements. 4.2.4 Experiences and "Lessons Learned" The approach of FLOSS as an instrument in development cooperation is still relatively new and it is too early for final conclusions. But the projects implemented so far allow learning from experiences. Financial constraints are a major barrier for the application of ICT in general in most African countries (which is probably true for all less developed or developing countries).148 This applies to FLOSS as well as to proprietary software projects. Funds are often crucially limited which prohibits the procurement of appropriate hardware and the training of local staff. Thus in many scenarios the license fees are a strong argument for the application of FLOSS. But not paying royalties does not imply that a solution is free of any costs. A prominent example is a Mexican project to equip schools with computers and internet access.149 The basic motivation for the usage of FLOSS in the "Red Escolar Libre" (Free School Network) project was the amount of money saved for license fees. The plan would probably have worked out if the project had been properly structured. The only effort invested was the shipment of CDs with Linux and other software to the schools. So without surprise the project was not successful. A major lesson to be learned from this incident is that each project has to be carefully planned and stakeholders have to be trained to fulfill expected tasks. And with the risk of weakening the cost advantage argument of Open-Source-Software it is essential that money is spent for such projects – if not for licenses at least for consultancy services, proper planning and training.

148 149

bridges.org (2005b), page 88 Rajani et al. (2003), page 61

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Dravis offers additional lessons learned from projects utilizing FLOSS in development cooperation.150 On the one hand his experiences are referring to development cooperation in general. They include participatory approaches, local responsibilities for sustainability and good project management. On the other hand his main conclusions are that the application of free software in the projects was easier than expected. Especially Linux turned out to be more user friendly than it is widely perceived. Furthermore the considered case studies do not offer any evidence that support for FLOSS was more difficult to obtain. Contrarily the Remote Village IT System project in Laos allows the assumption that the involvement of the end users helps to build responsibility and ownership.151

150 151

Dravis (2004), page 13 ff. Dravis (2004), page 19

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5 Implications of FLOSS strategies for development cooperation The outlined benefits of FLOSS along with the ICT policies of many developing countries make FLOSS an important subject for actors of development cooperation. Mechanisms of Open-Source-Software communities and development have to be understood and transferred to less developed regions. It is also one important task to support the creation of enabling environments for Open-Source-Software. Furthermore readiness and awareness of actors of development cooperation for FLOSS has to be created and fostered.

5.1 Creating an enabling environment for FLOSS If a FLOSS strategy is pursued it is important to understand the necessary environmental conditions to realize the expected benefits. Therefore it is necessary that the FLOSS policy is embedded in an appropriate, enabling environment. Weerawarana et al. point out that “it cannot be over emphasized that the enabling environment is critical to the success of such efforts”.152 This environment can be divided into a general ICT enabling and a more specific FLOSS enabling environment. Of course it is a prerequisite for any FLOSS strategy to foster ICT diffusion in general. Especially the physical infrastructure is crucial for the success of Open-Source-Software efforts. Refer to chapter “ICT for growth and empowerment” (page 36 f.) for the discussion of the general enabling environment. In addition to the promotion of general ICTs it is important to create an enabling environment for maximizing the benefits of Open-SourceSoftware. The main issues are “open source advocacy, the availability of IT skills in the use and localization of OSS, the presence of a local private sector adopting OSS based business models are some of the key enablers or drivers of an environment in which OSS becomes a real op-

152

Weerawarana et al. (2004), page 34

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

tion in the IT investment equation.”153 These points can also be grouped into advocacy and education as well as creation of a market demand for FLOSS software products and services. 5.1.1 FLOSS advocacy and education To back the Open-Source-Software policy framework it is important to support it by initiatives and programs in advocacy, awareness building and education.154 The awareness “at all levels, ranging from policymakers (in order to launch reform processes) to local communities and entrepreneurs (to help them identify new opportunities)” is crucial for the implementation of the selected policy.155 FLOSS and proprietary software, legal or illegal copies, commonly co-exist in markets of developing countries. In order to influence stakeholders in favor of FLOSS advocacy groups, educational courses and material targeted at the potential users and stakeholders have to be provided. Linux user groups are just one example for a community providing advocacy for FLOSS. A more formal model is provided by the “Malaysian Public Sector Open Source Software Initiative” which supports the Malaysian ICT policy by encouraging the application of FLOSS.156 An example for a multi national advocacy program is the International Open Source Network (IOSN), which is an initiative of the United Nations Development Programme’s (UNDP) Asia Pacific Development Information Programme (APDIP). The network is a center of excellence in the Asia-Pacific Region and is “tasked specifically to facilitate and network FOSS advocates and human resources in the region”.157 Rapid, sustained economic and social development is the vision of IOSN. 5.1.2 Market demand For a sustainable ICT strategy it is crucial that the market demands FLOSS products and services. Only with a sustainable demand a local 153 154 155 156 157

Weerawarana et al. (2004), page 34 Weerawarana et al. (2004), page 40 United Nations Conference on Trade and Development (2002), page 5 http://opensource.mampu.gov.my http://www.iosn.net

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

software industry can be established. In the initial phase the government and other public organizations, which are often the largest customers for ICT in developing countries, can help to create this market demand. In a following phase e-government initiatives and programs can be used not only to enhance governance but to foster adoption of FLOSS even further. The e-government efforts, which are also a signaling device for the private sector, can help to increase the amount of users to a critical mass and thus can help to enable positive network effects.158

5.2 Readiness and awareness of actors in development cooperation The realization of this enabling environment is primarily a government issue. But donor organizations and consultancies in development cooperation need to be able to give theoretical and practical support. Thus they have to be “ready”, in terms of capable as well as aware for OpenSource-Software in development cooperation. 5.2.1 Readiness Readiness for FLOSS in development cooperation is not aiming at specialized ICT capabilities like programming. Instead the potentials and mechanism of Open-Source-Software have to be understood. At the same time the focus of donor organizations and consultancies has to be differentiated. As Weerawarana et al. point out the role of donor agencies is mainly to act as catalyst.159 The situation of the developing country determines the amount of assistance that is required, especially to reach a critical mass in FLOSS diffusion. Large organizations, i.e. the United Nations and its child organizations, are already aware of Open-Source-Software as an instrument in development cooperation. Therefore the main issue remains to streamline activities in these large organizations and enhance communication efforts. 158 159

United Nations Conference on Trade and Development (2002), page 5 Weerawarana et al., page 45

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

The situation for consultancies is similar but these actors do not have the possibility to influence and support ICT policies by promoting appropriate projects. Their influence is restricted to policy consultation and support within projects, e.g. by providing training in FLOSS related issues. Thus there are to new responsibilities to be considered by consultancies. They would have to adapt to the new situation in order to prepare themselves to be able to assist others in utilizing the benefits of ICT and Open-Source-Software respectively. Both requirements are closely related to traditional activities in development cooperation. The principal willingness to change cannot be assessed on an individual level. But altogether the topics and contents of international development cooperation have changed in the last 50 years from mainly agricultural support to a more complex approach including many developments of economic theory and marketing. One of the latest trends in development cooperation is the analysis of value chains in developing countries which includes business process analysis and redesign.160 The target is to help to include and empower small farms or companies in regional and international product chains. The objective is to enable them to participate more actively and with equal rights in trade. The analysis and design of business processes is also at the center of the appropriate application of ICT. To prevent that the suggested solutions are an end in itself, business processes have to be considered and business cases have to be calculated.161 It is important for this calculation to consider primary and secondary targets as well as additional benefits. This development constitutes good prerequisites for actors of development cooperation to adopt ICT and Open-Source-Software. But while 160

161

The topic of the international conference "Tropentag 2005“ in Stuttgart was “International Research on Food Security, Natural Resource Management and Rural Development”. This is taken as evidence for “value chains” being a current trend in development cooperation. Müller/von Thienen (2001), pages 153. ff.

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

the ‘intellectual’ basis can be considered as sufficiently available, the ‘soul’ of the consultancy organizations might not be ready for the change. The same is often true for the socio-economic project environment. People have to be convinced of the benefits of Open-Source-Software or maybe of ICT in general. Both scenarios require an appropriate change management. The importance of internal change management (often also regarded to as innovation management) has already been widely discussed in economic theory. In the center of these considerations are the members of staff and their possible resistance to change. The focus of innovation management is on the barriers preventing the individual to accept the new situation of objects and means as advantageous.162 In the case of consultancies resistance to information technology can be anticipated. With a traditional background of agriculture the perception of FLOSS strategies by consultants has to be carefully observed. One additional benefit of a successful change management is a streamlined organization, which also enables more innovation initiatives from the inside.163 For external project partners in development cooperation Yusoff and Sharon underline the importance of innovation management for the example of e-government. Bruggink supports this view and adds for the case of FLOSS that without “adequate thought given to the implications for each computer-user in an organization, sweeping changes to ICT infrastructure are less likely to succeed.”164 5.2.2 Awareness But even if organizations in development cooperation are ready for FLOSS and have comprehensive innovation management instruments in place, they might not be aware of Open-Source-Software. On the one hand there is evidence that awareness for Open-Source-Software seems 162 163 164

Hauschildt (1993), page 24 Hauschildt (1993), page 164 Bruggink (2003), page 35

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

to be rising. This can be derived from a growing number of publications in the academic world as well as from international organizations like the United Nations. On the other hand there is also evidence drawn from projects that not all actors are aware of Open-Source-Software. Obviously the usage of proprietary software can have multiple reasons and does not allow deriving clear conclusions. But without going into details for the particular reasons it remains that FLOSS is not being used consistently in development cooperation. Instead it can be observed that even within organizations that promote the application of Open-Source-Software (e.g. UNDP) some projects utilize closed source software. At a minimum this allows to derive the indication that the level of awareness varies within the development cooperation community. A list of examples will underpin this thesis. 5.2.3 Examples of projects in development cooperation which are not using and promoting FLOSS Business Information System Services promoting Trade of Information165 The business information systems (BIS) consist of BIS-Centers in different locations which cover value chains with potentials for economic growth, e.g. agriculture, agro-based industries, etc. According to an interview with a project consultant only proprietary software is used in this project.166 Rural Community Telecentre Project, Sri Lanka167 Sarvodaya (a nationwide popular movement that has been developing economic and social welfare infrastructure in Sri Lanka) created in cooperation with Microsoft rural empowerment through bringing

165 166 167

http://www.bis-asia.net Gärtner (2005) http://www.sarvodaya.org/users/situ/Contents/Projects.htm

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the benefits of information and communications technology to more villages of the island. FAO-GTZ MicroBanking System168 The MicroBanking System is a banking software designed and developed for a wide range of banks and financial intermediaries. The project utilized proprietary software mainly from Microsoft and Borland. The Colombian Local Information Service Project169 The local information service matches local supply with household demand for information. The project utilized proprietary software mainly from Microsoft. E-commerce in Ejura, Ghana170 This project from Ghana shows how ICTs can support small and medium farmers to increase their revenues and improve their farming practices by enabling them to access information on regional market developments and international agricultural know-how. The project utilized proprietary software from Microsoft and Oracle. A new PC for every home initiative, Egypt171 The Egyptian Minister of Communications and Information Technology announced with the President of Microsoft International the launch of a new low-cost and easy-to-use personal computer addressing new users from all age groups. The PC will be shipped with the new Windows XP starter edition.

168 169 170 171

http://www.mbwin.net http://www.ftpiicd.org/files/research/reports/report4.pdf, pages 9 ff. http://www.ftpiicd.org/files/research/reports/report4.pdf, pages 41 ff. http://www.mcit.gov.eg/display_press.asp?id=1102

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IMPLICATIONS OF FLOSS STRATEGIES FOR DEVELOPMENT COOPERATION

UNDP and Microsoft form a technology partnership to combat poverty in developing nations172 In January 2004 UNDP and Microsoft announced the formation of a technical partnership. The objective is to create and implement information and communications technology projects that will help developing countries to achieve the Millennium Development Goals.

172

http://www.undp.org/dpa/pressrelease/releases/2004/january/23jan04.pdf

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

6 Awareness of actors of development cooperation for FLOSS Having discussed the applicability of FLOSS in development cooperation in the previous chapters the awareness and perception of Open-SourceSoftware has to be further analyzed. It was shown that despite the suggested benefits, FLOSS is not used as consistently as expected.

6.1 Survey Design Considering the anticipated advantages of FLOSS application it is necessary for actors of international development cooperation to have an appropriate awareness of Open-Source-Software. In order to shed light on the question about the awareness and perception of FLOSS in development cooperation an expert survey using standardized questionnaires was conducted. The goal of the survey was to provide further insight whether the application of FLOSS and the related advantages are perceived as described in the previous chapters. 6.1.1 Methodology In order to get a profile of the awareness and perception among actors in international development cooperation a written, questionnaire based survey was conducted. The self administered questionnaire was provided as a paper based version and as an online form which can be used via the internet. The target group of the survey consisted of actors in international development cooperation with a theoretical or a practical background. In order to get closer to the profile of opinions of these experts, a special expertise in information technologies was not necessary. The focus was on the awareness and perception of experts in international development cooperation and not on specialized IT experts.

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

The main reason for the choice of a self administered questionnaire was the possibility to include a larger number of experts in the survey. The world wide distribution of experts makes it difficult to include a large number of participants using personalized interview methodologies. In addition the requirements for human and financial resources are significantly lower. The main downside of the methodology, especially of online surveys, is the question of representativeness.173 The population of actors of development cooperation with theoretical or practical background itself is hard to assess. Furthermore it is not evident if the additional constraint of internet access has an impact on the results of the survey. It could be assumed though that the requirement of internet access is not a barrier anymore in this type of profession. As a consequence the survey was carried out as expert interviews. This allows to determine a snapshot of the awareness and perception and to derive hints of the opinion about Open-Source-Software in development cooperation. 6.1.2 Questionnaire Design A fundamental step for the development of an empirical questionnaire is the operationalization of the research questions.174 The main focus of this survey is on the awareness and perception of actors in development cooperation for Open-Source-Software. Therefore not only the perception of FLOSS but of software in general has to be analyzed to allow differentiated statements. The hypotheses of the survey are: The majority of actors in development cooperation are aware of the existence of FLOSS. The majority of actors are aware of the suggested benefits of FLOSS in development cooperation.

173 174

Atteslander (2003), page 187 Kromrey (2006), page 118

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Actors of development cooperation share the same ideas regarding the application of FLOSS in development cooperation. In the context of this research the term ‘majority’ refers to the simple majority of the participating experts whereas ‘same ideas’ can be understood as a common image or vision about the application of OpenSource-Software in development cooperation. The detailed definitions of the remaining terms in the hypotheses result in the definition of the needed indicators for the questionnaire.175

Awareness and perception of software

Risks of software

Prospects of software

Integrate rural areas

Competitive advantages

Missing experience

Of actors

Term

Variable

Applied as an end in itself

Of local partners

Indicator

Figure 15: Operationalization of ‘awareness and perception of software’176 As stated earlier the awareness and perception of software in general has to be analyzed in addition to FLOSS in order to allow conclusions. The deduction of the indicators for the term ‘awareness and perception of software’ which is used to distinguish between the attitude to FLOSS is exemplarily given in Figure 15.

175 176

Atteslander (2003), pages 40 ff. and Kromrey (2006), pages 175 ff. Own illustration following Atteslander (2003), pages 52 f.

68

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Prospects and risks of software in general are used to determine the awareness and perception by actors of development cooperation. Indicators for these variables are the possibilities of enhanced rural integration and improved competitive advantages on the one hand as well as missing experience and the risk of application as an end in itself on the other. The indicators represented in end notes are included into the questionnaire.

Awareness and perception of FLOSS

Risks of FLOSS

Prospects of FLOSS

Cost reduction

Find staff

Provide different services

Find local partners

FLOSS is an alternative

Get support

Increases local human capital Has to be embedded in local ICT policy Fosters participation

Term

Variable

Indicator

Figure 16: Operationalization of ‘awareness and perception of FLOSS’177 In the same way variables and indicators are derived from the terms ‘awareness and perception of FLOSS’ and ‘actors in development cooperation’. 177

Own illustration following Atteslander (2003), pages 52 f.

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Actors of development cooperation

Professional Experience

Personal data

Age

Years experience in development cooperation

Gender

Experience in the application of software

Country of Origin

Consider the use of software useful

Occupation

Know of FLOSS

Employer

Used FLOSS in the past

Worked in a project that utilized FLOSS Term

Variable

Indicator

Figure 17: Operationalization of ‘actors in development cooperation ‘178 The design of the questionnaire is following the common basic principles as exemplarily compiled by Mayer.179 The questions are grouped into five categories: Prospects of software, risks of software, prospects of FLOSS, risks of FLOSS and personal data. Indicators regarding the professional experience of the participants are distributed over these five categories. All indicators which refer to knowledge or experience of the participants are measured using closed questions and scales with an even number

178 179

Own illustration following Atteslander (2003), pages 52 f. Mayer (2006), page 89

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

of categories. This forces the participants to make a decision for or against the given statement. For all experience and opinion related questions a “don’t know” category is provided. This allows designing the questionnaire without filter questions which makes the layout clearer and simplifies the process of answering the form. The first four blocks of the questionnaire which cover the prospects and risks of software and FLOSS are concluded by an open question about additional topics which have not been covered by that block. The fourth block is also followed by an open question about totally uncovered issues regarding the application of FLOSS in development cooperation. These open questions are especially relevant for the analysis of the third hypothesis, whether common ideas about software and FLOSS application are shared amongst actors in development cooperation. A pretest of the developed questionnaire was conducted with the help of students of the seminar “Development and Project Planning” in June 2005. Appendix C gives the layout of the final paper version of the questionnaire.

6.2 Survey realization As laid out in the previous chapter the target group for the expert survey are actors of international development cooperation with a theoretical or practical background. With the kind support of the organization committee, the Conference on Tropical and Subtropical Agricultural and Natural Resource Management 2005 (Deutscher Tropentag 2005) held in Stuttgart-Hohenheim was used to start the survey.180 The conference is regularly jointly organized by the universities of Berlin, Göttingen, Stuttgart-Hohenheim, Bonn and Kassel-Witzenhausen as well as by the Council for Tropical and 180

Subtropical

Research

(ATSAF

e.V)

in

cooperation

with

http://www.tropentag.de/2005/

71

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

BEAF/GTZ.181 The target group consists of academic researchers, politicians, decision makers as well as practitioners. This made the Tropentag a good starting point for the survey. Based on the feedback obtained in Stuttgart-Hohenheim the questionnaire was transformed into an online-version.182 Potential participants were invited using mailing lists and personal recommendations. The most important sources were the mailing lists operated by ATSAF183 and the Centre for Advanced Training in Rural Development of the Humboldt University of Berlin (SLE)184. In addition the participants from the Tropentag who provided their email address were approached to pass the survey on to colleagues. ATSAF is a scientific network from Germany working in the field of tropical and subtropical agricultural research. Most of the members are scientist or experts of international development cooperation in the areas of agriculture, ecology, veterinary medicine, nutrition science, forestry and fishery. Information and communication technologies are not the main focus of interest. ATSAF’s regular emails are distributed to about 2000 addresses. The SLE provides a supplementary training program for university graduates, mostly from European Union countries, with a master’s degree in social science, economics or agricultural science who are interested in a long-term position in the field of international cooperation. Other areas of work include consultancy and research as well as seminars and workshops on special topics of international cooperation. The mailing list operated by SLE contains all current and former students who graduated within the last 20 years. The response rates were at a notably low level. At the Tropentag only 4% of the about 600 registered participants filled out and returned a

181 182 183 184

BEAF/GTZ: Advisory service on agricultural research for development by GTZ http://survey.osford.org http://www.atsaf.de http://www.agrar.hu-berlin.de/sle

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AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

copy of the questionnaire. This was the case even though the questionnaire was distributed with the conference material and numerous boxes for returning the forms were provided. The rates for the online version after personal invitation using the described mailing lists have been at a similar low level.

6.3 Data analysis In this chapter the collected data will be analyzed. A short overview about the experts who participated in the survey will be followed by a quantitative and a qualitative analysis of the data. 6.3.1 Data overview The survey started with the Tropentag on October 11th 2005 and lasted until May 31st 2006. Within this period 162 experts have completed the questionnaire. Figure 18 describes the response over time.

150

ATSAF

nr

100

Tropentag - follow up

50

SLE

Tropentag 0 1.11.2005

1.12.2005

1.1.2006

1.2.2006

1.3.2006

1.4.2006

1.5.2006

date

Figure 18: Response over time of the FLOSS survey A distinct increase in responses can be observed after the personal invitations were distributed. Noteworthy is the slower but more durable rise 73

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

after the Tropentag follow up email. It is likely that the recipients passed the link to the questionnaire over a longer period of time to known colleagues. In contrast to that phenomenon the high increase after the invitation to subscribers of the two mailing lists was soon followed by a decrease of the new number of participants.

30

25

Frequency

20

15

10

5

0 20

30

40

50

60

70

80

Age

Figure 19: Age distribution of participants The age of the experts (one participant did not provide information about his or her age) is in the range from 21 to 72 years with a distribution as depicted in Figure 19. The median is 42 years. In this as well as in further analysis the median was used instead of the mean value. The asymmetrical distributions make the median preferable. The distribution of the number of years of experience in development cooperation is given in Figure 20. Interestingly the median value is at 10 years. Given that half of the participants are 42 or older it could have been expected to find more participants with a longer history in development cooperation. One suggestion could be that a couple of experts either enjoyed a very long education or started a second career in 74

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

development cooperation. The correlation between the two variables is also analyzed in Table 1. The crosstabulation suggest that age and experience in development cooperation are significantly related.

25

Frequency

20

15

10

5

0 0

20

40

years experience

Figure 20: Distribution of experience of participants

years experience

<= 10 >= 11

Total

Count % within Age Count

<= 36 40 93,0%

Age 37 - 47 20 57,1%

Total >=48 3 8,1%

63 54,8%

3

15

34

52

% within Age

7,0%

42,9%

91,9%

45,2%

Count % within Age

43 100,0%

35 100,0%

37 100,0%

115 100,0%

Table 1: Crosstabulation of “Years experience” and “Age” About one third of the experts are female. 70% are from Germany while the remaining 30% origin from a large variety of countries worldwide. Figure 21 shows the frequencies for the gender and the country of origin distribution.

75

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

80%

80%

70%

70%

60%

60% 68%

50%

50%

40%

40%

70%

30%

30% 32%

20%

20% 30%

10%

10%

0%

0% female

male

DEU

Gender

World counry of origin

Figure 21: Distribution of gender and origin of participants 6.3.2 Quantitative analysis For the quantitative analysis the scales of most variables were recoded to provide sufficiently populated categories. This allows more meaningful conclusions especially when using methods like crosstabulation. The scales with six categories were reduced to two: ‘true’ and ‘false’. The ‘don’t know’ category was left unchanged. 5

4

3

2

1

ZWE

VNM

UK

USA

TUN

THA

PAK

NLD

MAR

LKA

KEN

IND

JPN

GHA

FRA

GBR

ETH

ESP

CHE

EGY

CAN

BRA

BEN

BEL

AUT

AUS

0

Figure 22: Histogram for ‘country of origin’ for participants not coming from Germany185 In addition to the discrete scales aspects of the sociological data was recoded. As already used in Figure 21 the country of origin was summa-

185

Country codes are ISO 3166, see http://www.iso.org/iso/en/prods-services/iso3166ma/index.html

76

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

rized to participants from Germany and from any other country. The distribution of non German participants is depicted in Figure 22. The number of 26 countries for the 49 non German participants suggests the combined category ‘World’. In addition the variables ‘age’ and ‘years experience’ were recoded to provide reasonable populated categories. As no external or natural category boundaries are given the groups are constituted to have about equal populations. The resulting distributions of the variables are given in Figure 23.

40 %

60 %

35 %

50 % 54 %

30 % 25 %

34 %

32 %

40 %

34 %

20 %

46 %

30 %

15 %

20 %

10 % 10 %

5%

0%

0% <= 36

37 - 47 Age

>=48

<= 10 >= 11 years experience

Figure 23: Recoding of variables ‘Age’ and ‘Years experience’ Question

Valid

true

false

don’t know

Experience with Software

162

121

75%

38

23%

3

2%

Consider useful

162

140

86%

18

11%

4

3%

Help integrating rural areas

162

134

83%

25

15%

3

2%

Software is underestimated

161

98

61%

47

29%

16

10%

Competitive advantages

162

125

77%

28

17%

9

6%

Actors miss experience

162

130

80%

24

15%

8

5%

Local partner miss experience

162

144

89%

14

8%

4

3%

Applied as an end in itself

162

94

58%

45

28%

23

14%

Table 2: Frequencies for prospects and risks of software

77

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

100% 90% 80% 70% 60% 50% 40% 30% 20%

true false don't know

Ex pe rie nc e

wi th

So f tw He Co ar lp ns e in id te e r gr us So at ef in ftw ul g ru ar ra e is la un re as de Co re m s pe t im tit at ive ed Ac a to d va rs Lo nt m ca ag is lp s es ar ex tn p er er ie m nc Ap is e s pl e ie xp d er as ie an nc e en d in its el f

10% 0%

Figure 24: Frequencies for prospects and risks of software As discussed in chapter 6.1.2 the first two blocks of the questionnaire cover the awareness and perception of software application in general in development cooperation. The frequencies are given in Table 2 and Figure 24 respectively. The first noteworthy aspect is that a majority (75%) of the participating experts have practical experience with the application of software in development cooperation. But for all remaining questions more than those with experience give a qualified statement, i.e. they do not answer ‘don’t know’. Therefore there is a distinct profile of opinions for some questions: •

86% consider the use of software useful to reach development objectives

•

83% believe in a better integration of rural and remote areas

78

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

•

80% state that organizations of development cooperation may not have the necessary experience in the realization of software projects.

•

89% share the concern that local partners may not have the necessary experience in the application of software.

Only the two questions about the underestimation of software and whether software is applied as an end in itself are not answered that consistently. It is remarkable that these topics show the highest numbers of participants without an opinion about the subject. This indecisiveness is the same for participants with and without experience in software application as the numbers do not change significantly if only those with experience are considered (Table 3). Valid

true

false

don't know

software is underestimated

40

21

51 %

14

34 %

5

12 %

applied as an end in itself

41

26

63 %

7

17 %

8

20 %

Table 3: Frequencies for selected questions, only for participants without experience with software in development cooperation The frequencies for the answers of the questions dealing with the prospects and risks of Open-Source-Software are given in Table 4 and Figure 25. It is noteworthy that 70% of the participants state to know Open-Source-Software. This is almost the same number as stated to have experience with software in general within development cooperation. But the level of the quality regarding the knowledge about FLOSS decreases sharply. While 70% know about it only 49% have practical experience and just 31% applied it within a project in development cooperation.

79

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Question

Valid

true

false

don’t know

Know FLOSS

162

113

70%

49

30%

-/-

-/-

Used FLOSS

162

80

49%

76

47%

6

4%

Worked in a project utilizing FLOSS

162

50

31%

102

63%

10

6%

FLOSS reduces costs

162

89

55%

22

14%

51

31%

Provide different services

162

67

41%

37

23%

58

36%

FLOSS is an alternative

161

80

49%

26

16%

55

34%

Increases human capital

162

85

53%

26

16%

51

31%

Embedded in ICT policy

162

60

37%

50

31%

52

32%

Fosters participation

161

74

46%

36

22%

51

32%

Find staff

162

114

70%

12

7%

36

23%

Find local partners

162

116

71%

9

6%

37

23%

Get support

162

84

52%

30

18%

48

30%

Table 4: Frequencies for prospects and risks of FLOSS

80% 70% 60% 50%

true

40%

false

30%

don't know

20% 10%

rt

et

Fi

nd

lo

G

lp ca

su p

ar tn

er

po

s

ff st a nd

io Fi

at

pa

rti c

ip

po

lic

n

y

l it a T st er s Fo

Em

be

dd

ed

in

IC

m an hu

es as cr e

In

ca p

t iv e

s an is SS O

e

na

al

nt re FL

id

te r

se

s f fe di

re SS Pr ov

rv ice

st s co

SS O ce du

ng O FL

W

or ke d

in

a

pr

oj

ec

tu

t ili

zi

Us

Kn

FL

FL ed

ow

FL

O

O

SS

SS

0%

Figure 25: Frequencies for prospects and risks of FLOSS

80

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Relating to the prospects of FLOSS the participants are much more skeptical as compared to software in general. In the later case around 80% agreed with the prospects and risks while for the prospects of Open-Source-Software the number drops to about 50%. Especially low is the agreement to the questions about the possible provision of different services, the necessity of embedding FLOSS in ICT policies and the prospect of increased participation. In addition it is noteworthy that about one third of the experts do not have an opinion about the suggested prospects. However an analysis of the 49 participants who do not know Open-Source-Software (30%) reveals that these groups are not completely congruent. 20%-50% of the experts without knowledge of FLOSS do make concrete statements regarding the prospects and risks. Question

Valid

true

false

don't know

Worked in a project utilizing FLOSS

80

43

54 %

35

44 %

2

3%

FLOSS reduces costs

80

66

83 %

9

11 %

5

6%

Provide different services

80

45

56 %

22

28 %

13

16 %

FLOSS is an alternative

79

55

70 %

16

20 %

8

10 %

Increases human capital

80

54

68 %

15

19 %

11

14 %

Embedded in ICT policy

80

33

41 %

36

45 %

11

14 %

Fosters participation

79

45

57 %

23

29 %

11

14 %

Find staff

80

64

80 %

8

10 %

8

10 %

Find local partners

80

66

83 %

5

6%

9

11 %

Get support

80

51

64 %

22

28 %

7

9%

Table 5: Frequencies for prospects and risks of FLOSS, only for participants who used FLOSS The situation for the assessment of the risks of Open-Source-Software is similar in terms of high rates of experts without a definite opinion. Especially concerning the acquisition of staff and local partners a clear majority of 70% agrees to these risks. Again for the case of FLOSS the 81

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

agreement is not as high as for software in general, although the aspects of missing experience of actors and partners is comparable to difficulties of finding staff and local partners. The situation changes when the analysis is reduced to those participants who have used FLOSS in the past (Table 5 and Figure 26). In general FLOSS is perceived more positively by those with a practical background and the rate of participants with an indifferent attitude is about cut in half. Especially the cost aspect, FLOSS as an alternative and the increase of the human capital are much higher valued. On the other hand the skeptical attitude towards recruitment of staff and local partners is even higher. The same is true for the perception of support provision for Open-Source-Software. 90 % 80 % 70 % 60 % true

50 %

false 40 %

don't know

30 % 20 % 10 %

or t su

et

Fi

nd

lo

G

lp ca

pp

er

s

ff ar tn

nd

io Fi

pa

rti c

ip

at

lic po T st er s

Fo

st a

n

y

l it a in ed

Em

be

dd

es as cr e

In

IC

m an hu

an is

SS O

ca p

na te r al

nt re f fe di

e FL

id

tiv e

i ce rv se

s ce du

re Pr ov

O FL

W

or ke d

in

a

pr

oj

ec

tu

SS

t ili

zi

ng

FL

O

co

SS

st s

s

0%

Figure 26: Frequencies for prospects and risks of FLOSS, only for participants who used FLOSS In order to determine hints for coherences selected crosstabulations were calculated. Three tabulations are exemplarily provided which for

82

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

one suggest to support or contradict the hypotheses and additionally provide noteworthy results.

Used FLOSS

true false

Total

<= 36 35 64,8% 19 35,2%

Count % within Age Count % within Age Count % within Age

Age 37 - 47 22 46,8% 25 53,2%

>=48 22 40,7% 32 59,3%

Total 79 51,0% 76 49,0%

54 47 54 155 100,0% 100,0% 100,0% 100,0%

Table 6: Crosstabulation of “Used FLOSS” and “Age” Age <= 36 37 - 47 >=48

Percent

60,0%

40,0% 65% 59% 53% 47% 41%

20,0%

35%

0,0% true

false

used FLOSS

Figure 27: Crosstabulation of ‘Used FLOSS’ and age The first crosstabulation combines the two variables “Used FLOSS” and “Age” (see also Table 6 and Figure 27). The table suggests that within the sample of analyzed experts the hypothesis “Used FLOSS” is independent from “Age” can be rejected. It is remarkable though that the group of younger experts used Open-Source-Software well above average. About two thirds of these participants have practical experience with FLOSS. This rate

83

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

declines to 47% within the middle group and to 41% in the group aged 48 or older. The analysis above suggests that the perception of the prospects and risks of FLOSS is related to the level of knowledge about Open-SourceSoftware. Therefore this crosstabulation suggests that within the analyzed sample the awareness and perception is not even among the participants. years experience <= 10 FLOSS reduces costs

true false don’t know

Total

Count % within years experience Count % within years experience Count % within years experience Count % within years experience

>= 11

Total

45

18

63

71,4%

34,0%

54,3%

4

10

14

6,3%

18,9%

12,1%

14

25

39

22,2%

47,2%

33,6%

63

53

116

100,0%

100,0%

100,0%

Table 7: Crosstabulation of “FLOSS reduces costs” and “Years experience” The perception of the prospect of reduced project cost in relation to the number of years experience in development cooperation of the expert is analyzed by the second crosstabulation (see also Table 7 and Figure 28). Again the table suggests that the hypothesis “FLOSS reduces costs” is independent from “Years experience” can be neglected. Within the group of experts who participated in the survey a significant relationship exists between the two variables. It is noteworthy that the experts with fewer years experience regard the cost effects more positively than their colleagues with more than a ten years history in development cooperation. A variety of possible explanations exists for this effect. It could be that the experts with more experience have a more holistic view of the cost structure reducing the possible effects of potential cost benefits due to

84

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Open-Source-Software. On the other hand it could be again the lack of experience of the experts belonging to the older group.

years experience <= 10 >= 11

80,0%

Percent

60,0%

40,0% 71%

47%

20,0% 34%

19%

22%

6%

0,0% true

false

don`t know

FLOSS reduces costs

Figure 28: Crosstabulation of ‘FLOSS reduces costs’ and ‘years experience’ fosters participation true false don’t know increases human capital

true false don’t know

Total

Count % within fosters participation Count % within fosters participation Count % within fosters participation Count % within fosters participation

Total

63

13

8

84

85,1%

36,1%

15,7%

52,2%

6

19

1

26

8,1%

52,8%

2,0%

16,1%

5

4

42

51

6,8%

11,1%

82,4%

31,7%

74

36

51

161

100,0%

100,0%

100,0%

100,0%

Table 8: Crosstabulation of “Increases human capital” and “Fosters participation” Finally the relationship for the perceptions of two different prospects of Open-Source-Software is analyzed in the crosstabulation given in Table 8 and Figure 29. The analysis of the table suggests again that the hypotheses 85

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

“increases human capital” is independent from “fosters participation“ can be rejected for the investigated group of experts. It can be derived that there is a relationship between the two prospects “Increases human capital” and “Fosters participation” within this sample. Approximately three quarters of the participants provide the same answer for both aspects. This suggests that the perception does not heavily rely on the concrete prospect.

fosters participation true false don`t know

100,0%

Percent

80,0%

60,0%

85,1%

82,4%

40,0%

52,8%

20,0%

36,1%

15,7%

2,0% 8,1%

6,8%

11,1%

0,0% true

false

don`t know

increases human capital

Figure 29: Crosstabulation of ‘increases human capital’ and ‘fosters participation’ The statements derived from the data so far have all completely been based on the principles for an expert survey. As discussed above the response rates were at a low level. Additionally the population is hard to assess. This makes it difficult to realize a selection of potential participants purely on probability. Therefore the representativeness of the considered sample can be questioned. Under the supposition of a random selection of the experts who participated in the survey, more qualified statements are possible. 86

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Crosstab

Asymp. Sig. (2-sided)

Cramer's V

“Used FLOSS” * Age

0,035

0,21

“FLOSS reduces costs” * “Years experience”

0,000

0,38

“Increases human capital” * “Fosters participation”

0,000

0,64

Table 9: Levels of significance and strengths of associations Table 9 gives the levels of significance resulting from the chi-square analysis as well as the strengths of the discussed associations (Cramer’s V). The strength of the first relationship between the practical background with Open-Source-Software and the age of the participants is at a rather low level. For the second crosstabulation it is at a medium level while it is strongest for the coherence of the two prospects of FLOSS in the third analysis. These aspects are meant to underpin the conclusions already drawn from the expert survey above. Know FLOSS

Used FLOSS

90 %

60 %

80 % 50 % 70 % 60 % 50 %

40 % 70 % 30 %

40 % 30 %

47 %

49 %

20 %

20 %

30 %

10 %

4%

10 % 0%

0% true

false

Know Floss

Frequency

true

113

false

49

true

lower end

upper end

70 %

62 %

77 %

30 %

23 %

38 %

Used FLOSS

false

Frequency

don`t know

lower end

upper end

true

80

49 %

41 %

57 %

false

76

47 %

39 %

55 %

6

4%

1%

8%

don’t know

Figure 30: Frequencies of ‘Know FLOSS’ and ‘Used FLOSS’ with 95% confidence intervals In addition two frequency tables are provided with 95% confidence intervals (see also Figure 30). These exemplary diagrams reveal the mar87

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

gin of deviation of the frequencies if conclusions for the populations are going to be made. The provided examples show that these variations are about 15 percentage points. Especially when pros and cons are at similar levels conclusions have to consider these effects. 6.3.3 Qualitative analysis The open questions in the questionnaire were not included in the quantitative analysis above. For one the questions were not compulsory, for the other the nature of the questions was to obtain additional aspects not covered by the closed questions. Altogether 292 answers to the five open questions were given by 109 participants (67% of the total 162 respondents). Just over 50% provided aspects to at least two topics. Figure 31 gives the distribution of answered open questions.

35 29

30 Nuber of participants

25

25

25 20 16 14

15 10 5 0 1

2

3

4

5

Number of answers to open questions

Figure 31: Frequencies for provision of answers to open questions For the further analysis the answers were grouped into two blocks. The first contains aspects which indicate that the participant might have a similar perception of ICT4D and FLOSS4D as suggested above. The second group contains answers which give reason to suggest that the participant is not familiar with the suggested application of ICT and OpenSource-Software in development cooperation. The segmentation consid88

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

ered only the awareness and perception, i.e. it does not assume an agreement with the subject. E.g. a participant knowing about the suggested benefits of FLOSS application in development cooperation would be classified as a member of the first group even if the suggested prospects were denied. Similar awareness and perception The answers provided by the participants indicating a similar perception can predominantly be assigned to three topics: Technical infrastructure for ICT in general, common issues regarding FLOSS in development cooperation as well as prospects and risks of Open-SourceSoftware application in development cooperation. Altogether the majority of the answers raises concerns or mentions critical issues to be taken care of when utilizing Open-Source-Software in development cooperation. Infrastructure issues for general application of ICT were often commonly raised as a general obstacle for ICT application in developing countries. This is especially true when looking at remote and rural areas. Stable power supply, telephone and internet connection are the main concerns. In addition the problem of stability and reliability of the existing technical infrastructure was mentioned. The main points which were brought forward in relation to OpenSource-Software in

development cooperation were documentation

(chapter 2.3), donor and decision maker awareness and pragmatic project realization. Some participants feel that Open-Source-Software is not promoted sufficiently. Therefore they argue that decision makers are not aware of the advantages of FLOSS resulting in a lack of encouragement amongst others from donor organizations. In addition some experts question the general preference for FLOSS depending on a project’s objective and environment. They argue that it might be more useful to use closed source software in special situations. Especially if intellectual property rights are not respected or project schedules do not allow additional efforts for enhancement or training of FLOSS products. 89

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

Most comments were provided referring to the expected prospects and risks of FLOSS application in development cooperation. In general missing case studies and examples of application as well as ambiguous policies about the usage of FLOSS were mentioned. Furthermore the prerequisites in terms of readiness were addressed, i.e. the necessity for different approaches within countries with different levels of development. The adoption of existing or development of new standardized approaches and methods like Participatory Rural Appraisal (PRA) was suggested.186 A large number of experts provided additional aspects for the thematic blocks participation, inclusion and empowerment. The importance of considering the socio cultural environment was one subject brought forward. This was underpinned particularly with the example of the role of communities in decision making processes. In addition the relevance of the proposed solutions for the community as well as the inclusion of vulnerable and marginal groups were points of concern. In order to tackle the digital divide and foster the e-inclusion process the issue of training and education in general was raised. It was repeatedly demanded that the applied software solutions would have to be adapted to the local conditions in terms of language and usability in order to allow a maximum level of accessibility. Sustainability was a major issue as well. Maintenance of installed solutions, valid business cases and suited software for the objectives were the main points of concern given in this context. Different awareness and perception About twice as much answers were provided leading to the assumption of a different perception of FLOSS application in development cooperation. They can also be split up into groups: Open-Source-Software is-

186

“PRA is a label given to a growing family of participatory approaches and methods that emphasize local knowledge and enable local people to do their own appraisal, analysis, and planning. […] The use of PRA enables development practitioners, government officials, and local people to work together on context-appropriate programs.”, World Bank (1996), page 183

90

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

sues, ICT in general and general prerequisites for successful application of FLOSS. Again the majority of aspects relates to concerns about the application of software and FLOSS. Regarding to Open-Source-Software issues 3 main subjects were raised: The individual perception of FLOSS, standards and data exchange as well as FLOSS4D. Most aspects referring to the individual perception handle the topics support, product maintenance and technical requirements. Some experts proclaimed that appropriate support for FLOSS products is not available. In addition it was noted that existing support services are predominantly available only on a commercial basis. While support for closed source programs usually comes for a price it is mentioned as a disadvantage by some participants that the same is true for Open-Source-Software. In addition some experts consider the availability of internet connectivity as mandatory, as in their view FLOSS relies on web technology. While it is true that a lot of internet based applications utilize Open-Source-Software a connection is not necessary to run most FLOSS products.187 This misunderstanding might stem from the fact that today the internet is the main distribution channel for most FLOSS products. In the beginning of the 1990s, when broadband internet connectivity was not that common as it is today, most Linux distributions were sold on CD or DVD. Another point is made regarding the consideration of standards and data exchange with other software programs. Most experts making comments on this subject feel that standards are better satisfied and followed by closed source software and therefore FLOSS products cannot exchange data with other programs easily. The risk of the development of FLOSS island solutions was also raised. The perception might be a result from the market dominance of the Microsoft Office program suite. Though this program does not implement a standard for its data files it is widely considered as a de facto standard. On the other hand an in-

187

One of the most prominent web applications based on FLOSS is the Google search engine. Google operates one of the largest computer clusters running on Linux. http://www.researchchannel.org/prog/displayevent.aspx?rID=2879

91

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

creasing number of public administrations in Europe and USA insist on the usage of the “OpenDocument Format” standard.188 The imposed pressure made Microsoft to develop software extensions that allow the usage of the “OpenDocument Format”.189 Regarding to the application of FLOSS in development cooperation some participants suggested to rely on closed source software. In particular it was suggested to concentrate more on the application of Microsoft products and work on discounted license schemes for developing countries. The provision of cheaper of HIV drugs was given as an example. In addition it was argued that people know best what is good for them. While self-determination is an essential part of participatory methods it requires knowledge about the available choices. ICT4D was also generally questioned by some experts. It was stated that software is only a tool to transport information. In turn more value should be set on the information itself according to the mentioned arguments. This neglects one of the basic principles of software: data input, data processing and data output. The processing of the data is an integral part of software itself. But it is likely though that the participants wanted to raise the concern that too much emphasis is laid on the software instead of the quality of the processed data. A second major group of answers relating to ICT4D is about sustainability. Some participants fear that a sustainable development is generally at risk. This is underpinned by the argument that the target groups are the least ones in need of hard- or software knowledge. This group of respondents can be considered most of all to have a different awareness and perception not only of Open-Source-Software but of software application in general in development cooperation. Finally many answers were given with respect to general prerequisites for successful application of ICT and FLOSS in development cooperation. Most of them deal with inconveniences of most actual software 188 189

OpenDocument Format Alliance: http://www.odfalliance.org Heise Online (2006a)

92

AWARENESS OF ACTORS OF DEVELOPMENT COOPERATION FOR FLOSS

products. It is asked for less virus and error prune software without the need of frequent updates that provides an easy user interface. In addition the software should be available in many languages and operation should be possible by untrained users. Furthermore the software itself should assure free access to information. While all these are valid requests they are common problems and challenges of software in general. Furthermore aspects of access are more political than technological by nature. It has to be noted that the provided answers have to be interpreted very carefully. Though many participants kindly provided their input the number of opinions to the selected topics analyzed above is too small to derive reliable results.

93

DISCUSSION

7 Discussion Within this chapter the findings from the literature and the results from the survey outlined above will be discussed. This analysis is performed against the background of the initially posed research questions, about the applicability of FLOSS in development cooperation on the one hand and about the awareness and perception of actors of development cooperation of Open-Source-Software on the other. General conclusions and future prospects round off this chapter and the thesis.

7.1 Literature Within the literature research three distinct topics were analyzed to underpin the applicability of FLOSS in development cooperation. FLOSS in general was looked at from different perspectives. Further the application of information and communication technologies in development cooperation were analyzed. Finally the application of FLOSS in development cooperation and resulting implications were examined. All considerations took the special case of agriculture in development regions into account. 7.1.1 FLOSS in general The investments of big players in the software industry like IBM and HP in Open-Source-Software development are just one indicator for its rising importance. The increasing distribution within public administrations is another argument for the serious consideration of FLOSS in software selection processes. In addition it was demonstrated that the level of maturity of many FLOSS products allows a commercial application. This is also reflected by a dominant or rising market share of some FLOSS products like the Apache web server or the Linux operating system. With respect to the motivation for participation of individual programmers two main incentives were derived from the literature. On the one hand career opportunities were mentioned, on the other the ego gratifi94

DISCUSSION

cation aspect was stated. Both incentives can be regarded as signaling incentives. It was laid out that these signaling incentives also play a major role when looking at the motivation of commercial firms for participation in FLOSS. In addition it was derived that Open-Source-Software involvement might become necessary due to changed forces within the software industry. It was shown that FLOSS changed the rules of the IT industry, e.g. by using standard economic models like Porter’s five forces. Lowered market entry barriers and increased bargaining power of the customers demand new strategies within this industry. It was demonstrated that a derived strategy of FLOSS involvement is in line with economic theory. The importance of an according business model reflecting the nature of Open-Source-Software was highlighted. Therefore not only cost issues but strategic aspects, e.g. long term perspectives or generation of market share, have to be taken into account when considering releasing software as Open-Source-Software. With respect to the user experience of FLOSS a summary of disadvantages and advantages was provided. Apart from a poor documentation of many FLOSS products the limited warranty, liability and support are major downsides. While this drawback is an obstacle for many users it is a business perspective to others. Providing professional documentation and support for FLOSS is a business model that has already been implemented successfully (e.g. RedHat, Inc190). Apart from the missing license fees the major benefits of FLOSS are the openness and flexibility of the products. These characteristics allow the independent error correction and the customization of the software to local conditions. Thus users of FLOSS do not have to rely on the producer of the software but are empowered to modify the programs to their needs.

190

RedHat provides amongst others professional support and service for Linux and dedicated other FLOSS products, www.redhat.com

95

DISCUSSION

7.1.2 ICT application in development cooperation All considerations according to the assessment of ICT application are performed against the background of current development objectives and development strategies. At this the objectives are defined by the Millennium Development Goals as they were resolved by the General Assembly of the United Nations. The eighth MDG states explicitly to make the benefits of ICT available in co-operation with the private sector. In addition it was elaborated how ICT might support the other seven goals as well. Selected examples and case studies from the literature were applied to underpin the general purpose nature of ICT. It was demonstrated how the range of topics from participation, inclusion, empowerment of minorities and vulnerable groups, over education to resource management can be supported by an appropriate ICT application. At the same time this analysis points out the challenges of ICT application in development regions. Low levels of education and high rates of illiteracy as well as large distances combined with an insufficient infrastructure often make the application of ICT difficult. The development strategy described by Stern et al. was used to validate the ICT applicability in development regions.191 According to this strategy the development of growth and empowerment relies on two main pillars: Improvement of the investment climate and enhancement of the individual empowerment (Figure 4, page 23). In this context empowerment is composed of the individual internal and external constraints as well as the individual capital. It was outlined how ICT application can support the creation of a better investment climate as well as the enhancement of the individual empowerment. The arguments were underpinned with case studies demonstrating the positive effects of ICT. The current status of ICT application in development regions was categorized as uneven with major gaps between countries. This situation is

191

Stern et al. (2005)

96

DISCUSSION

also referred to as digital divide. Especially considering the situation of agriculture in development regions it is important to realize that this gap exists also within countries, i.e. between urban and rural areas. 7.1.3 FLOSS application in development cooperation The case of Open-Source-Software application in development cooperation was as well analyzed with the special case of agriculture in development regions in mind. In addition to the aspects discussed with ICT application in general the special aspects of FLOSS in development cooperation were highlighted. It was outlined that Open-Source-Software has the potential to support the core ideas of the MDGs. Primarily these values are freedom (to modify and distribute the software), equality (same access for all) and solidarity (by sharing of the software). The major suggested benefits of FLOSS application in development regions were elaborated and validated with examples. The prospects mentioned are: •

ICT sustainability and autonomy

•

Potential for the reduction of the digital divide

•

Inclusion of vulnerable and marginal groups

•

Participation

•

Increase of the human capital

•

Utilization of cheap labor to gain a comparative advantage in software development

It was also derived from the literature that for the purpose of maximizing the benefits for a country’s economy, FLOSS has to be an integral part of the national ICT policy or strategy. In addition it was also shown that in order to unleash the full potentials of Open-Source-Software application it might be helpful to work on the protection of intellectual property rights. Especially the risk of a general devaluation of software by the absence of IPR enforcements accompanied with missing incentives to switch from pirated software to FLOSS products were given as underpinning examples. In was laid out though that business models

97

DISCUSSION

relying on FLOSS are potentially more sustainable than proprietary ones as they do not rely on IPR enforcements. The benefits as described above are from a country’s perspective. They can by large also be transferred to the individual or micro economic level. Due to its open nature FLOSS offers business perspectives in marginal markets which could not be served by foreign, proprietary software providers. The adaptation to local languages and customs was just one example provided. These characteristics of FLOSS can also help to tackle the digital divide within countries but also within regions. With regard to the outlined theoretical aspects the current status of FLOSS application in development cooperation was elaborated. Emphasis was put on the analysis of the integration of Open-Source-Software in national ICT policies and strategies. With this in mind the question of government intervention in principle was raised and especially for the case of developing countries justified. The arguments provided relate to the mostly imperfect markets in less developed countries and the expected future benefits outweighing potential initial costs. Thus market intervention strategies were outlined which in summary can be described by three approaches: The neutral, the enabling and the aggressive approach. Thereby the level of governmental involvement and FLOSS application increases. Examples of these strategies were provided from Asia, South America and Africa. With the integration of rural areas in mind these examples were complemented with case studies of FLOSS application in development regions. The topics covered were localization of software products to local languages in Africa, improved health care services in rural areas in Mali and the fostering of sustainable livelihoods of remote villages in Laos. Three main conclusions from FLOSS application in development regions were drawn. First, even though FLOSS application does not require any investments in license fees, low or limited funds often deny the procurement of appropriate hardware or training of staff. Second, the missing license fees lead to the risk of the false assumption that no money is 98

DISCUSSION

needed for FLOSS application. Finally it was derived that the involvement of end users by the application of Open-Source-Software might help to build responsibility and ownership within projects. Having laid out the theoretical foundation for the application of FLOSS in development regions the implications for actors of development cooperation were considered. The major identified topics are in line with the described development strategy of growth and empowerment: It is important to create an enabling environment in the development regions to foster FLOSS application on the one hand. On the other hand readiness and awareness within the community of actors in development cooperation have to be fostered to help to create that enabling environment and support local decision makers. With regard to the enabling environment, programs for FLOSS advocacy and creation of a sustainable market demand were named. Especially programs to foster awareness and education were noted for FLOSS advocacy. Thereby formal and institutionalized actions (e.g. Malaysian Public Sector Open Source Software Initiative) or informal measures like local Linux user groups were described to realize FLOSS promotion. For the realization of the sustainable market demand it was outlined that in most less developed countries the government and public organizations are often the largest customers for ICT products and services and therefore can help to build up the demand. Concerning the aspect of the readiness of actors in development cooperation it was laid out that a lot of skills needed for the promotion of FLOSS are already at the center of many development efforts. Business analysis, process (re-)design, policy consultation and change management are just the most obvious examples. Therefore the awareness for Open-Source-Software application in development cooperation and for the related prospects remains as a vital part. Examples of projects utilizing closed source software provided evidence that the awareness for FLOSS varies within the community of actors in development cooperation. 99

DISCUSSION

Recapitulating the findings and conclusions from the literature it can be stated that the theory underpins the application of FLOSS in development cooperation. The validity as a tool with the potential to foster current development objectives was derived. This is especially true for the situation of agriculture with its main characteristics of rural and remote settings, poor levels of population with a high degree of illiteracy and low institutional support in mind. Obviously these conditions are also major challenges for the application of FLOSS. Other challenges derived from the literature are on the one hand to integrate FLOSS in national policies and strategies to unleash the full potential. On the other hand the importance of awareness of actors and consultants in development cooperation was put forward.

7.2 Survey Results For the further analysis of the awareness of actors in development cooperation for Open-Source-Software application an expert survey was conducted. A combination of paper and internet based questionnaires was used to collect the opinions of experts in development cooperation. Altogether 162 participants completed the form. The design of the questionnaire was based on three hypotheses derived from the theoretical findings of the literature research: First, the majority of actors in development cooperation are aware of the existence of FLOSS. Second, the majority of actors are aware of the suggested benefits of FLOSS in development cooperation and finally, actors of development cooperation share the same ideas regarding the application of FLOSS in development cooperation. The data was collected over a period of approximately six months. Thereby the median value for the age of participants is 42 years, for the number of years experience in development cooperation the median is 10 years.

100

DISCUSSION

7.2.1 Quantitative results About three quarters of the respondents stated to have experience with the application of software in development cooperation. At the same time more than those participants with experience provided qualified statements about most of the potential prospects and risks. Relating to the prospects of software application in development cooperation the most definite statements were made for the general usefulness (86%) and the potential for the integration of rural areas (83%). With respect to the anticipated risks the missing levels of experience by actors (80%) and local partners (89%) found favor with the majority of experts. The underestimation of software and the risk of application as an end in itself reach a lower level of consensus within the group of experts. Significantly different results were not observed for participants with or without experience of software application in development cooperation. With regard to the analysis of the perception of prospects and risks of FLOSS application in development cooperation the level of the quality of the knowledge about Open-Source-Software was inspected. While again a majority of 70% of the participants stated to know FLOSS, only about half of them had practical experience and just 31% had applied it in a project in development cooperation before. Therefore it can be assumed that the quality of experience and knowledge decreases within these groups. In total the experts were much more skeptical towards FLOSS application compared to the application of software in general. Only half of the experts agreed to the suggested prospects of FLOSS application in development cooperation. In contrast to the findings from the literature a notably low agreement was observed regarding the integration of FLOSS in national ICT policies and regarding the potential enhancement of local participation. In addition about one third of the participants did not state an opinion regarding the suggested prospects. It was shown though that this group of respondents is not congruent with the one without any FLOSS knowledge. Further derivations have to consider 101

DISCUSSION

that some experts state specific opinions while they declare not to know Open-Source-Software at the same time. The described critical perception of FLOSS changes significantly when only the answers of those experts is considered who declared to have practical experience with Open-Source-Software. On the one hand much more respondents agreed to the suggested prospects. On the other the risks were assessed more critical as well. This relates especially to the difficulties of recruiting staff and finding local partners. Supplementing these findings exemplary coherences supporting the hypotheses were analyzed. It was shown that the prior usage of FLOSS and the age of the respondents are interdependent. Thereby the level of experience declines with increasing age. This can also be viewed as decreasing knowledge about Open-Source-Software depending on the age of the experts. A similar observation was made for the perception of FLOSS as an instrument to reduce project costs in relation to the number of years experience in development cooperation. Again the two variables show a significant relationship. The experts with less than 10 years experience judge the potential for savings much higher than their colleagues with more experience. The explanation could be the missing experience with Open-Source-Software. On the other hand alternative explanations like a more holistic view of a project’s cost structure are possible. Finally the relationship between two prospects was analyzed. The crosstabulation indicated a significant relationship between the variables “increases human capital” and “fosters participation”. This indicates that the perception of FLOSS can be carefully generalized, i.e. respondents agreeing to one prospect tend to agree to another one as well. 7.2.2 Qualitative results About two thirds of the participants provided at least one additional aspect to one of the open questions. The supplied answers were divided into two groups: The ones which suggest a similar perception of FLOSS

102

DISCUSSION

application in development regions as suggested and the ones with a different one. Within the group of answers suggesting a similar awareness and perception the following main issues were raised. The first regards to infrastructure for ICT in general. Especially when looking at remote and rural areas stable power supply, telephone and internet connection were the main concerns. Furthermore common issues regarding FLOSS in development cooperation were brought forward. In this context insufficient promotion of FLOSS in development cooperation combined with missing awareness of donor and decision makers were mentioned. Finally aspects of FLOSS application in development cooperation were pointed out. Some participants feel that Open-Source-Software is not promoted sufficiently. In this regard missing case studies and success stories as well as concrete policies for FLOSS application and usage were demanded. With respect to participation, inclusion and empowerment the consideration of the role of communities and the importance of education were stated. About twice as much answers were provided stating aspects which allow the assumption of a different perception of FLOSS in development cooperation. The majority of aspects relate to concerns about the application of software and FLOSS and were split in groups as well. General Open-Source-Software issues were at the center of many additionally provided aspects. It was proclaimed that support for FLOSS is difficult to obtain and if available comes often on purely commercial basis. Furthermore internet connectivity was mistakenly considered as a mandatory prerequisite for the usage of FLOSS products. The role of standards for data exchange was also mentioned by many experts. Most of them did not put much importance on the free availability of the standards but relied on de facto standards (e.g. data formats of Microsoft Office applications). Finally the general applicability of ICT in general was questioned. Some respondents raised the concern that sustainability in general was put at risk by the application of software. It is very likely that this group of participants does have a different perception of ICT4D 103

DISCUSSION

and FLOSS4D as laid out within the theoretical framework. In addition many aspects were raised which, while important and valid, are common problems and challenges of software in general. 7.2.3 Common findings Recapitulating the qualitative and quantitative findings it stands to reason whether indications for the support or denial of the three hypotheses can be derived. Doing so two error sources had to be considered. For one the sample for the survey was not fully representative. For the other the analysis of the open questions allowed the assumption that some participants did not make a difference between software in general and FLOSS while answering the first two blocks of questions. That might have led to misleading results for the assessment of the prospects and risks of software application in general in development cooperation. Furthermore the questions relating to FLOSS might have been perceived as recurrence. Therefore answers might have been provided less seriously. However these considerations do not prohibit deriving results. They just have to be taken into account when interpreting the derived conclusions. Three quarters of the participants state to have experience with the application of software (Table 2) while 70% know of Open-Source-Software (Table 4 and Figure 25). It was pointed out though that the quality of knowledge is questionable. Half of the respondents have practical experience with Open-Source-Software and about one third used it in a project in development cooperation before. However the ranges of the confidence intervals as they are exemplarily provided in Figure 30 do not allow statements regarding the hypothesis whether a majority of actors in development cooperation is aware of the existence of OpenSource-Software. Only if the awareness is related to experience with FLOSS in development cooperation the hypothesis can be supported by the findings. On the other hand it is noteworthy that 65% of the experts belonging to the younger group of participants do have practical experience with 104

DISCUSSION

FLOSS. This suggests that following generations of actors of development cooperation have a much higher rate of FLOSS knowledge, especially if compared to the 8% of experts being older than 48 and have practical experience (Table 6 and Figure 27). Taking into account the age of the respondents it can therefore be derived that the first hypothesis can be supported for the younger group of experts while it has to be denied for the ones being 48 and older. Relating to the second hypothesis similar considerations were made. A majority of experts considers software application in general useful (86%) and attributes possible rural integration to it (83%, Table 2 and Figure 24). In contrast to these findings the agreement to the prospects of FLOSS is roughly at about 50% (Table 4 and Figure 25). Bearing in mind the confidence intervals it is not possible to derive concrete statements from these results. But if the low response rate is taken into account the values can be perceived differently. A couple of experts provided additional feedback after the invitation to participate in the survey. They did not perceive themselves as part of the target group of interest. Therefore they did not consider filling out the questionnaire. Against this background it can carefully be argued that the second hypothesis can be neglected. The majority is not aware of the suggested benefits. This carefully derived evidence is backed by the analysis of the crosstabulations. For one, the analysis of the crosstabulation “used FLOSS” * “age” suggests that the perception of the prospects and risks of FLOSS is related to age and therefore to the level of knowledge about OpenSource-Software (Table 6 and Figure 27). In addition the participants with less experience regard the cost effects more positively than their colleagues with more than a ten years history in development cooperation, as shown in crosstab “FLOSS reduces costs” * “years experience” (Table 7 and Figure 28). Finally the crosstab “increases human capital” * “fosters participation” suggests that prospects are not perceived in an isolated way (Table 8 and Figure 29). E.g. if an expert agrees/disagrees 105

DISCUSSION

to one prospects or risk it is likely that he comes to the same opinion for another prospect or risk. Recapitulating the findings from the crosstabulations, additional evidence for the denial of the second hypothesis is provided. The majority of actors are not aware of the suggested benefits of FLOSS application in development cooperation. This assessment has to be revised though if the analysis is reduced to experts with practical experience with FLOSS (Table 5 and Figure 26). These roughly 50% of all respondents provide much higher levels of agreements regarding the prospects of FLOSS in development cooperation. With the consideration of confidence intervals, evidence is provided that the majority is aware of the benefits of Open-Source-Software in development cooperation. To allow conclusions regarding the third hypothesis the qualitative analysis of the open questions has to be considered. The variety of perceptions of software and FLOSS application in development cooperation provides indications for a rejection of the third hypothesis: Actors of development cooperation seem not to share the same ideas regarding the application of FLOSS in development cooperation. The arguments provided by the participants suggest that a broad variety of ideas regarding the application of FLOSS in development cooperation coexist. The analysis also showed that ICT and software utilization in general are often perceived as a complicated matter. This finding is also backed by a recent study conducted by AT Communications Group.192 According to the results, executives of small businesses find buying new technology more stressful than buying a house or getting married. About one quarter of the respondents even preferred to start a new business than to start a new IT initiative. Thus it is important that all efforts for software and FLOSS utilizations consider the broad range of perceptions of prospects and risks.

192

Simpson (2006)

106

CONCLUSIONS AND OUTLOOK

8 Conclusions and Outlook Agriculture in development regions is characterized by a special situation. Rural and remote locations, high degrees of poverty, low levels of education and high rates of illiteracy pose a challenge on development in general. In this context one could assume at first sight that OpenSource-Software application is not an instrument to foster individual and economic development. Triggered by the report of the United Nations Conference on Trade and Development the theoretical framework for the application of FLOSS in development cooperation was analyzed and elaborated. Within the literature research evidence for support of current development objectives was provided. These mainly include: Improvement of ICT sustainability, reduction of the digital divide, inclusion of vulnerable and marginal groups, participation of local actors and increase of the human capital. Case studies with first practical findings underpin the application of FLOSS in development regions. Therefore evidence is provided to support the first research question of the thesis. Open-Source-Software can be regarded as a valid tool in development cooperation supporting latest development strategies and objectives. The theoretical framework and the case studies also demonstrate that it is possible to tackle the challenges caused by the special situation of rural development regions. E.g. new technologies can provide solutions to overcome long distances and the openness and adaptability of FLOSS provides options for inclusion and empowerment. It is important though that the full potential of estimated benefits of Open-Source-Software application requires the integration in national ICT policies and strategies. Finally the importance of appropriate awareness and perception of FLOSS was highlighted. This special challenge relates to the second objective of the thesis, the analysis of the awareness and perception of actors in development cooperation of Open-Source-Software. An expert 107

CONCLUSIONS AND OUTLOOK

survey using paper based and online questionnaires was conducted to allow further statements. The results provide evidence that especially older actors in development cooperation by majority are not aware of Open-Source-Software in general. In contrast younger experts are likely to know FLOSS. An additional result of the survey was the challenge that actors are not appropriately aware of FLOSS application in development cooperation. Furthermore hints for evidence were provided that for the case of existing awareness of FLOSS, experts seem not to share the same ideas regarding its application. Instead a broad variety of ideas regarding modes of application, prospects and risks seem to be shared by actors of development cooperation. Summarizing the findings from the survey the awareness and perception of Open-Source-Software by actors in development cooperation can be described as uneven. This relates to the level of knowledge about FLOSS itself as well as to the perception of the suggested prospects and risks. But further research on the perception of ICT in general and FLOSS in particular is necessary and could provide more interesting insights. This research could additionally focus on the question whether aspects are perceived realistically. E.g., within the conducted survey the majority of experts assessed the provision of staff and local partners with appropriate FLOSS knowledge as very critical. It stands to reason if this evaluation reflects the current situation or if it is based on false assumptions. Furthermore it is important to consider that FLOSS is here to stay. E.g. a recent study by Gartner provides a very promising outlook for OpenSource-Software database applications.193 It is likely that this trend from the corporate world can be extended to development cooperation as well. This as well justifies further research on FLOSS in development 193

Heise Online (2006b)

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CONCLUSIONS AND OUTLOOK

cooperation to maximize the benefits from its application. It could also prove useful to elaborate an impact assessment framework for OpenSource-Software application in development cooperation. Combined with case studies and best practice examples the utilization of this tool could be improved. Finally the uneven distribution of ideas within the community of actors in development cooperation suggests investments in efforts to build a shared vision of ICT4D and FLOSS4D. Just as branding strategies in the business world provide the set of ideas of a company to all stakeholders, a common mindset would help in the context of development cooperation. Despite these remaining questions and challenges it has been shown that the application of FLOSS in development regions supports current development goals. The validity as a tool in development cooperation has been theoretically confirmed and supported by first practical findings. It is likely that FLOSS will evolve to a common instrument in development cooperation. As Open-Source-Software in general is continuously gaining more momentum the awareness is likely to increase within the community of actors and stakeholders.

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MILLENNIUM DEVELOPMENT GOALS

APPENDIX A Millennium Development Goals194 Goals 1. Eradicate extreme poverty and hunger 2. Achieve universal primary education 3. Promote gender equality and empower women 4. Reduce child mortality 5. Improve maternal health 7. Have halted by 2015, and begun to reverse, the spread of HIV/AIDS

7. Ensure environmental sustainability

Targets 1.

Halve, between 1990 and 2015, the proportion of people whose income is less than one dollar a day

2.

Halve, between 1990 and 2015, the proportion of people who suffer from hunger

3.

Ensure that, by 2015, children everywhere, boys and girls alike, will be able to complete a full course of primary schooling

4.

Eliminate gender disparity in primary and secondary education preferably by 2005 and to all levels of education no later than 2015

5.

Reduce by two-thirds, between 1990 and 2015, the under-five mortality rate

6.

Reduce by three-quarters, between 1990 and 2015, the maternal mortality ratio

6.

Combat HIV/AIDS, malaria and other diseases

8.

Have halted by 2015, and begun to reverse, the incidence of malaria and other major diseases

9.

Integrate the principles of sustainable development into country policies and programmes and reverse the loss of environmental resources

10. Halve, by 2015, the proportion of people without sustainable access to safe drinking water 11. By 2020, to have achieved a significant improvement in the lives of at least 100 million slum dwellers 12. Develop further an open, rule-based, predictable, nondiscriminatory trading and financial system 13. Address the Special Needs of the Least Developed Countries 14. Address the Special Needs of landlocked countries and small island developing states

8. Develop a Global Partnership for Development

15. Deal comprehensively with the debt problems of developing countries through national and international measures in order to make debt sustainable in the long term 16. In co-operation with developing countries, develop and implement strategies for decent and productive work for youth 17. In co-operation with pharmaceutical companies, provide access to affordable, essential drugs in developing countries 18. In co-operation with the private sector, make available the benefits of new technologies, especially information and communications

194

World Bank (2003), page 2

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OPEN SOURCE DEFINITION

B Open Source Definition195 Introduction Open source doesn't just mean access to the source code. The distribution terms of open-source software must comply with the following criteria:

1. Free Redistribution The license shall not restrict any party from selling or giving away the software as a component of an aggregate software distribution containing programs from several different sources. The license shall not require a royalty or other fee for such sale.

2. Source Code The program must include source code, and must allow distribution in source code as well as compiled form. Where some form of a product is not distributed with source code, there must be a well-publicized means of obtaining the source code for no more than a reasonable reproduction cost preferably, downloading via the Internet without charge. The source code must be the preferred form in which a programmer would modify the program. Deliberately obfuscated source code is not allowed. Intermediate forms such as the output of a preprocessor or translator are not allowed.

3. Derived Works The license must allow modifications and derived works, and must allow them to be distributed under the same terms as the license of the original software.

4. Integrity of The Author's Source Code The license may restrict source-code from being distributed in modified form only if the license allows the distribution of "patch files" with the source code for the purpose of modifying the program at build time. The license must explicitly permit distribution of software built from modi195

Open-Source-Initiative (2005)

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OPEN SOURCE DEFINITION

fied source code. The license may require derived works to carry a different name or version number from the original software.

5. No Discrimination Against Persons or Groups The license must not discriminate against any person or group of persons.

6. No Discrimination Against Fields of Endeavor The license must not restrict anyone from making use of the program in a specific field of endeavor. For example, it may not restrict the program from being used in a business, or from being used for genetic research.

7. Distribution of License The rights attached to the program must apply to all to whom the program is redistributed without the need for execution of an additional license by those parties.

8. License Must Not Be Specific to a Product The rights attached to the program must not depend on the program's being part of a particular software distribution. If the program is extracted from that distribution and used or distributed within the terms of the program's license, all parties to whom the program is redistributed should have the same rights as those that are granted in conjunction with the original software distribution.

9. License Must Not Restrict Other Software The license must not place restrictions on other software that is distributed along with the licensed software. For example, the license must not insist that all other programs distributed on the same medium must be open-source software.

10. License Must Be Technology-Neutral No provision of the license may be predicated on any individual technology or style of interface.

112

QUESTIONNAIRE

C Questionnaire Free/Libre and Open-Source-Software Strategies for Development Cooperation The department “Development Planning and Project Management” is carrying out a survey in the context of the research project “Open-Source-Software Strategies for Development Cooperation”. We would appreciate it if you could support our research by filling out this questionnaire. If you would like to be informed about the results please provide your email address at the end of this form. Thank you very much for your support. The first two groups of questions deal with software in general for development cooperation whereas the last two blocks relate to Open-Source-Software. Prospects of the use of software in development cooperation true

false

don’t know

false

don’t know

false

don’t know

1 I have experience in the application of software in development cooperation. 2 I consider the use of software useful to reach development objectives. 3 The application of information technology can help to integrate rural and remote regions. 4 The use of software to achieve development policy objectives is underestimated. 5 Organisation and actors of development cooperation can gain competitive advantages by the choice of their software strategy. 6 I consider the following aspects especially important regarding the assessment of the prospects of software application in development cooperation: Risks of the application of software in development cooperation true 7

8 9

Organisations of development cooperation may not have the necessary experience in the realisation of software projects. Local partners may not have the necessary experience in the application of software. Information technology is often applied in projects of development cooperation as an end in itself.

10 I consider the following aspects especially important regarding the assessment of the risks of software application in development cooperation: Prospects of the use of Open-Source-Software in development cooperation true 11 I know of Open-Source-Software. 12 I used Open-Source-Software in the past. 13 I worked in a project that utilized Open-Source-Software.

113

QUESTIONNAIRE

true

false

don’t know

14 The use of Open-Source-Software results in the reduction of a project's total costs. 15 By means of Open-Source-Software it is possible for actors and organisations of development cooperation to provide services which allow them to differentiate themselves from competitors. 16 For most applications it is possible to use Open-SourceSoftware alternatives. 17 The application of Open-Source-Software in development cooperation increases local human capital. 18 The use of Open-Source-Software in development cooperation is only useful if it is embedded in the national ICT policy. 19 Open-Source-Software in development cooperation fosters participations of local actors and agents. 20 I consider the following aspects especially important regarding the assessment of the prospects of OpenSource-Software application in development cooperation: Risks of the application of Open-Source-Software in development cooperation true

false

don’t know

21 It is difficult to find qualified members of staff with sound knowledge of Open-Source-Software. 22 It is difficult to find qualified local partners with experience of Open-Source-Software. 23 It is difficult to get professional support for Open-SourceSoftware applications. 24 I consider the following aspects especially important regarding the assessment of the risks of Open-SourceSoftware application in development cooperation: 25 I consider the following aspects which have not been mentioned above especially important regarding the discussion of Open-Source-Software application in development cooperation: Personal Data Age

Gender

♀

♂

I have experience in development cooperation

yes,

Years

No

Name of employer

Occupation

Employer

Country of Origin

Government or para-statal institution

NGO

University

Student

Other

Email (please provide your email address if you would like to be informed about the results of this survey)

114

MAPS

D Maps

Figure 32: Rural Population in Total Population (2004)196

196

http://www.fao.org/faostat/foodsecurity/FSMap/map12_en.htm

115

MAPS

Figure 33: World by Income - GDP per capita197

197

Jahnke (2003)

116

MAPS

Figure 34: Internet Users Worldwide

117

MAPS

Figure 35: Router and population density198

198

Soon-Hyung Yook et al., 2001, http://www.pnas.org/content/vol99/issue21/images/large/pq2025013001.jpeg

118

MAPS

Figure 36: Human Development Index199

199

Graphics from http://en.wikipedia.org/wiki/Image:HDImap_current.png

119

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Tamimi, Lena (2005) “How ICTs can help achieve the Millennium Develop-ment Goals”, http://www.dgroups.org/groups/worldbank/MENACEN/index.cfm?op=dsp_resource_details&resource_id=22532&ca t_id=12143 The Financial Times (2006) “Microsoft Would Put Poor Online by Cellphone”, http://www.nytimes.com/2006/01/30/technology/30gates.html Thommen, Jean-Paul and Achleitner, Ann-Kristin (2003) “Allgemeine Betriebswirtschaftslehre”, 4th edition, Wiesbaden Tuomi, Ikka (2001) “Internet, Innovation, and Open Source: Actors in the Network”, First Monday, Vol 6, No 1, http://firstmonday.org/issues/issue6_1/tuomi/index.html United Nations Statistics Division (2005) “Millennium Development Goal Indicators Database”, http://unstats.un.org/unsd/mi/mi_goals.asp United Nations Conference on Trade and Development (2002) “Electronic Commerce Strategies for Development: The Basic Elements of an Enabling Environment for E-Commerce“, http://www.unctad.org/en/docs/c3em15d2.en.pdf United Nations Conference on Trade and Development (2003) “ECommerce and Development Report 2003“, http://www.unctad.org/en/docs/ecdr2003_en.pdf United Nations Conference on Trade and Development (2004) “ECommerce and Development Report 2004“, http://www.unctad.org/en/docs/ecdr2004_en.pdf University of Maastricht /Berlecon Research GmbH (2002).” Free/Libre and Open Source Software: Survey and Study”, Maastricht and Berlin, http://www.infonomics.nl/FLOSS/report UNDP (2003) “Human Development Report 2003”, http://www.undp.org/hdr2003 UNDP (2006) “$100 Laptop Project Moves Closer to Narrowing Digital Divide”, http://www.undp.org/dpa/pressrelease/releases/2006/2006012 8-laptop.shtml UNDP/UNESCO (2003) “UNDP/UNESCO Free and Open Source Software (FOSS) Consultation”, Paris, 2003, http://portal.unesco.org/ci/en/ev.phpURL_ID=13857&URL_DO=DO_TOPIC&URL_SECTION=201.html United Nations ICT Task Force (2003) “Using Information and Communications Technology to Achieve the Millennium Development Goals”, http://www.unicttaskforce.org/perl /documents.pl? do=download;id=567 125

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Von Hippel, Eric (2005) “Democratizing Innovation”, MIT-Press, Cambridge Voss, Martin (2006) “Potential Analysis of Open-Source-Software as an Instrument in Development Cooperation”, Master Thesis at University for applied sciences Elmshorn Weber, Steven (2003) “Open source software in Developing Economies”, http://www.ssrc.org/programs/itic/publications/ITST_materials /webernote2.pdf Weber, Steven (2004) “The Success of Open Source”, Harvard University Press, Cambridge Weerawarana, Sanjiva and Weeratunga, Jivaka (2004) “Open Source in Developing Countries”, Swedish International Development Cooperation Agency, Stockholm, http://www.sida.se/content/1/c6/02/39/55/SIDA3460en_Open %20SourceWEB.pdf Weigel, Gerolf and Waldburger, Daniele (2004) “ICT4D – Connecting People for a Better World.”, Swiss Agency for Development and Cooperation and Global Knowledge Partnership; Berne, Switzerland Wheeler, David (2005) “Why Open Source Software / Free Software (OSS/FS)? Look at the Numbers!”, http://www.dwheeler.com/oss_fs_why.html Wong, Kenneth (2004) “Free/Open Source Software: Government Policy”, United Nations Development Programme and Asia Pacific Development Information Programme (UNDP-APDIP), http://www.iosn.net/government/foss-government-primer/fossgovt-policy.pdf World Bank (1996) “The World Bank Participation Sourcebook”, Washington, http://www.worldbank.org/wbi/sourcebook/sbpdf.htm World Bank (2003) “ICT and MDGs – A World Bank Group Perspective”, Washington, http://wwwwds.worldbank.org/servlet/WDS_IBank_Servlet?pcont=details&ei d=000090341_20040915091312 Yusoff, Anis Yusal and Lim, Sharon (2003) “ICT FOR DEVELOPMENT(ICT4D) – Understanding ICT4D Thematics in Malaysia: A Sourcebook”, UNDP, http://www.undp.org.my/uploads/ICT4D.pdf Interviews Gärtner, Udo (2005), project consultant for ‘Deutsche Gesellschaft für technische Zusammenarbeit’ (GTZ), Berlin, 31.1.2005

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Eidesstattliche Erklärung Hiermit erkläre ich an Eides statt, die vorliegende Promotion selbständig verfasst und keine anderen als die angegebenen Quellen und Hilfsmittel benutzt zu haben.

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