Analysis and Overview of case studies - research report

Batchelor S, Norrish P,  Scott N,  Webb M.    Jan  2003

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Executive summary

This document summarises findings of an overview written as part of a research programme into Information and Communication Technology (ICT) sustainability factors.  Funded by the Department of International Development, the research programme identified development activities that sought to benefit the poor and with an emphasis on programmes run by NGOs.  In particular it considered the work of organisations where ICTs had enhanced ongoing development activities, the ICT activity could be replicated without sizeable investment, and there was a measure of sustainability.  Drawing from lessons learned in other development sectors, sustainability involves a combination of factors including among others, clear objectives, institutional frameworks, local capacity and development benefits.  While perhaps not fulfilling all the features of a strong sustainable activity, each of the case studies was felt to hold points of interest for the wider global development community.

There is of course considerable debate over the term sustainability.   The accompanying paper “What is Sustainability?” discusses the background review the team undertook for this project.  Accordingly the complexity of sustainability was taken as a core premise behind the research.  Sustainability was taken to be more than just “ongoing financial cost recovery”.

The research framework was developed through an iterative process with the project collaborators. 

20 case studies were examined,  and 12 of these were identified for further investigation.  The overview paper presents an analysis of the 12 Level 2 Studies only, although the remaining 8 Level 1 Studies are presented on the web site for visitors interest.

The initial framework was developed after piloting and the final list of factors is given below.

The sustainability factors considered in the analysis are summarised below:

·Objectives

Hypothesis : - Clear objectives are which are held by the majority of stakeholders are needed to ensure organisational aspects of the activity are effective .   The sustainability paper differentiates between Economic, Social and Institutional sustainability.  The objective clarifies where the benefits may be found, what is the intended sustainability and whether these are intended to be based on direct or indirect cost recovery. 

The case studies seem to support the hypothesis.  There are various forms of sustainability and some of the case studies are not intended to show economic sustainability, but are supporting social and institutional sustainability.

·Target groups

Hypothesis : - the groups of people to whom information will be made available need to be clearly identified - the target group of the activity may not be directly the poor.  Some target groups may be institutions that support development processes.  Sustainability may therefore be affected by whether the institution significantly contributes to the development process and whether the institutional factors are in place.     

While the case studies illustrate a range of target groups, and support the premise that an ICT activity may not be targeted directly at the poor, there is little in the studies that demonstrates what the essential features of a target group are for sustainability.  Some features can be deduced by considering the contribution to the development process and the benefits which is discussed below.

  ·Intermediaries

Hypothesis : - ICT are said to “disintermediate”, ie to provide the poor with more direct access to information.  Potentially this removal of the “middle man” in transactions (both information and economic transactions) would credit the ICT activity with enough value to ensure its sustainability.

 The case studies seem to illustrate re-intermediation rather than dis-intermediation.  There are examples of removing the “middle man”, and this has proved beneficial particularly where the intermediary had a vested interest in the transaction.  The studies show that there often remains a need for technical facilitation, though - what we might call an ICT intermediary.  The difference between the original intermediary and the ICT intermediary is significant.  In the former case, there was probably only a few people who could access information (or services), and therefore they had near monopolistic power which could be abused.  In the latter case, although the ICT intermediary has the vested interest of earning a salary or commission, there are potentially thousands of ICT intermediaries for each activity, and the abuse of that position is unlikely.  

The case studies partly support the hypothesis and show that ICT activities therefore re-intermediate rather than dis-intermediate, and that although this may present a degree of vulnerability to users, the risks are generally much less than in traditional transactions.

  ·Policy environment

Hypothesis : -  ICT activities cannot be in isolation from the policy environment.  ICT policies may restrict the ICT activity.  Other policies may encourage or discourage the application of ICTs.  If ICTs are to be part of a sustainable activity there will need to be a suitable policy environment.

 The case studies support the hypothesis.  They illustrate that ICT policies can affect the day to day working of the ICT activity (particularly negatively, e.g. ACISAM and Revistazo).  They also illustrate how the ICT activity is particularly enhanced when planned to be set in the context of other policies, and in some cases can even influence change of policies.

  ·Institutional arrangements

Hypothesis : -  Institutional sustainability is said to be achieved when prevailing structures and processes have the capacity to continue to perform their functions over the long term.  What are the arrangements for the case study?

The studies demonstrate the link between the target group, the intended form of sustainability and the institutional arrangement.  They seem to indicate that the capacity of the institution has in each case has been enhanced such that “processes and structures will perform over time”.

· Key linkages

Hypothesis : -  Any development activity cannot be undertaken in isolation, and any organisation cannot work without links to the relevant authorities and other organisations working in connected areas.  Links are needed to external sources of information.

This section is closely related to institutional arrangements and policy frameworks.  The hypothesis is reflected in the case studies and key linkages can be seen.  These links are supportive of the institution, of the implementation of policy and in capacity (both technical, informational and organisational) support.

· The project process

Hypothesis : -  Sustainability is said to be closely associated with the planning process of an activity, and its inclusion of both the target group and in some cases the long term indirect beneficiaries.

The studies describe a variety of approaches in project processes and seem to support the hypothesis.  There is some evidence from within the studies that participatory planning processes enhance the project as a whole, although this seems to be more in terms of tailoring the ICT activities to the information needs as opposed to an intended ownership of the ICT activity by the target group.

·Capacity

Hypothesis : -  The sustainability will be affected by the human capital available – the capacity of staff, volunteers and users to undertake the ICT activity.  This may be technical capacity but is likely also to include organisational and management capacity.

The case studies illustrate the hypothesis, ie the need for both technical and organisational capacity.  However, they seem to draw out three important principles.  First, most of the case studies have an identifiable “Champion” - either a person or group who want to see the project  succeed.  Second, the project does not need to start with the required capacities - it can gain the capacities as the project develops.   Third, the capacities need not be within the project organisation or target group.  The studies show three mechanisms for gaining capacity: it is possible to buy-in expertise when necessary,  to hire specific skilled staff or to train existing staff (or volunteers).

·Technology

Hypothesis : -  Sustainability of an ICT activity is likely to be strongly influenced by the technology used e.g. operation and repair may be critical to the success of the activity. In other sectors it has been found that some form of standardisation of a technology instrument has helped development ensuring a sufficient use to encourage a market that can supply spares and technology support.

In terms of sustainability, the key issues in technology seem to be:

•the use of commercially available equipment i.e. that there is a local (within country) IT industry that can do repairs and source spare parts,

•a willingness to overcome technical difficulties, which are the bane of all users of ICTs, and which in many cases will get easier in the longer term  e.g. increased opportunities for connectivity, more robust operating systems,

•a quantity and style of equipment that matches the use, which is a factor of matching the plans to the resources available.

·Finance

Hypothesis : -  Replacement costs will form part of the economic sustainability, and cost recovery will encourage institutional sustainability. 

For those case studies that intend to be economically sustainable, there are indications of progress towards this end.  However, it remains early days to see whether cost recovery includes replacement costs for all the equipment involved.  For those who have used an ICT activity to move towards institutional sustainability, there have been signs of some cost recovery, but generally at levels insufficient for replacement of equipment.  Some of the cases  note a reluctance from donors to fund ICT activities that might nevertheless in the longer term increase effectiveness and efficiency. 

·Development benefits 

Hypothesis : -   overall benefits of the ICT activity justify the costs.

Regarding the hypothesis, we can see then that ICTs when employed in the support of other developmental objectives – general livelihood support or good governance – can have an immediate and identifiable benefit.  These benefits seem to be cost effective although a detailed analysis was not possible.  However, when ICTs are installed for the purpose of raising incomes directly, there is still room for debate.  The measurement of the impact of the ICTs on local businesses and the local economy was beyond the scope of this research.

  Other factors:-  the case studies also drew attention to the role of language, literacy, content and information flow. 

The overview includes factors that were a hindrance to the success of the ICT activity and factors that contributed to the successful implementation.  These factors are summarised in the table below.

Factors that hindered the ICT activity.

Factors that contributed to the success of the ICT activity.

In conclusion, the case studies show that ICTs can enhance development projects.  The  research has not conclusively proven that an ICT activity directed at increasing income for the poor can, on its own, generate cost recovery inclusive of set-up and replacement costs, i.e. achieve economic sustainability.  However, the studies do indicate that this is beginning to happen in some cases, and the prospects for the future are encouraging.  More importantly the case studies clearly show elements of institutional and social sustainability.  They also show significant developmental impact, and there are indications that ICT activities can be regarded as cost effective.

infoDev Case Studies Executive Summary

· Information Technology (IT) training and telecenters: Projects that provided poor individuals the opportunity to learn various computer skills and to access the Internet.

· Networks and partnerships: Projects that used ICT to enhance and/or build networks and partnerships to improve health care, expand the market reach of small- and medium-size enterprises (SME), facilitate the exchange of experiences and information among organizations, or develop and share educational resources.

· E-commerce: Projects that enabled users to, among other functions, develop online catalogues, create websites, buy or sell produce, and/or solicit funding.

· E-services: Projects that enabled users to gain access to market information through ICT (e.g., including weather reports, daily sale and purchase prices, financial forecasts, investment opportunities) or to use ICT to exchange information, reports, and messages.

· Radio and education: Projects that used ICT to distribute educational and news content to radio stations, broadening educational opportunities and community awareness among poor villages and/or urban neighborhoods.