Organizational Readiness Assessment for Open Source Software
Adoption
Lucía Méndez-Tapia
1,2
and Juan Pablo Carvallo
1a
1
Universidad del Azuay (UDA), Av. 24 de Mayo 7-77 y Francisco Moscoso, Cuenca, Ecuador
2
Universitat Politècnica de Valencia (UPV), Camí de Vera, s/n, 46022 València, Spain
Keywords: Organizational Readiness Assessment, Open Source Software Adoption, Open Innovation.
Abstract: Open Source Software (OSS) is probably, the most iconic implementation of Open Innovation business
paradigm, due its capacity to concentrate both technical benefits and business advantages. Over time,
organizations face the OSS adoption challenge strengthening mainly its internal and technical elements.
However, the rapid changes on business dynamics, and the comprehensiveness and fast development of open
paradigms, show us that a new set of conditions must be satisfied to reach a successfully OSS adoption. These
conditions, considered as a critical success factors, involve a wide range of resources, capacities and skills,
both in internal and external scopes. Hence, although adopter organizations should be better prepared to face
the challenges related to collaborative innovation, they do not have a systematic approach to value its
readiness level to face the adoption challenges. In this context, the present research work proposes a model to
assess the organizational readiness, considering the adopter as part of a live business ecosystem, where the
relationships originated on co-development with developers’ communities, have mutual business impact at
strategic, tactic, and operative level.
1 INTRODUCTION
A successful adoption of Open Source Software
(OSS) brings a wide range of well-known technical
benefits like flexibility and dynamicity of solutions
(Ardagna et al., 2009), trustworthiness and quality
improvement (Lindman et al., 2009), short time-to-
market software delivery, lower development and
maintenance costs (Goldman and Gabriel, 2005).
Furthermore, from organizational perspective, there
are other kind of benefits, related for instance, with
business performance improvements (e.g. working
practices (Almeida and Cruz, 2012), job roles (Alexy
et al., 2013), ownership cost (Ardagna et al., 2009)),
value creation and value capture.
To achieve and sustain its benefits, all OSS
adoption initiatives demand the fulfillment of specific
requirements, mainly in terms of available support,
resources, capabilities and skills. Thus, before
initiating any incorporation of OSS it is crucial to
know if an adequate level of business readiness is
reached. As far as we know, there do not exist
structured approaches to assess organizational
a
https://orcid.org/0000-0001-6678-4774
readiness in the adoption of OSS, at least embracing
both external and internal ecosystems. This weakness
not only avoid organizations from reaching the
innovative benefits of OSS, but OSS adoption
projects do not materialize or do not reach their
objectives. In this context, we propose an assessment
model to help organizations to identify its current
readiness to face an OSS project. The develop of this
model is guided by three research questions (RQ):
RQ1 Which are the main organizational
characteristics that can be considered as critical
success factor to support a successfully OSS
adoption?
RQ2 How is it possible to organize these
characteristics into a generic assessment model?
RQ3 How is it possible to suggest a way in
which OSS should be adopted, based on the
assessment model results?
In response to this, we propose the Organizational
Readiness Assessment Model for OSS Adoption to
estimate the preparation level of an organization to
take ad-vantage of OSS, and to suggest the way in
which OSS should be adopted. This model was
800
Méndez-Tapia, L. and Carvallo, J.
Organizational Readiness Assessment for Open Source Software Adoption.
DOI: 10.5220/0010497008000807
In Proceedings of the 23rd International Conference on Enterprise Information Systems (ICEIS 2021) - Volume 2, pages 800-807
ISBN: 978-989-758-509-8
Copyright
c
2021 by SCITEPRESS Science and Technology Publications, Lda. All rights reserved
applied on CEDIA, a non-profit entity in academic
sector, whose members are universities, community
colleges and high schools. CEDIA acts as technology
integrator and provide a portfolio of over 65 services
and programs intended to improve quality of
education and research.
The following sections are organized as follows:
Section 2 presents the related work; Section 3
describes the model; Section 4 shows the assessment
mechanism; Section 5 contains the results of
application case; finally, conclusions and work in
progress are presented.
2 BACKGROUND AND RELATED
WORK
This section briefly describes the main concepts
applied, and previous work in relation to our
proposal.
OSS refers to software that can be freely used,
modified and redistributed. The principles that drive
OSS (co-creation, openness, innovation, voluntary
association, self-organization), create a new
paradigm able to change not only the software
development but the social and economic value
creation. From this point of view, the OSS adoption
should be managed as a strategic business decision.
The way in which OSS is adopted by an
organization, is called adoption strategy. (López et
al., 2015) analysing empirical evidence, identifies and
model six ways of OSS adoption. Each of them
presents a particular set of characteristics which
depends in last instance, on how strong the interaction
with OSS Developer Community (OSS-DC) is, and
which business goals the adopter organizations hope
to achieves. These strategies are described below.
Release: Organization releases personalized
software as OSS but does not care whether an
OSS-DC takes it up or forms around it. No
OSS-DC is involved. The organization does
not care OSS evolution for maintenance
Acquisition: Organization use existing OSS
code without contributing to its OSS
project/community. The involvement with the
community is minimum after obtains the
software and its documentation. The
organization does not care OSS evolution for
maintenance.
Integration: It involves the active
participation of an organization in an OSS
community (to share and co-create OSS) but
not necessarily leading or influencing it.
Fork: Organization creates its own
independent version of the software that is
available from an existing OSS project or
community. The OSS-DC is forked too.
Organization continues the development of
OSS component (generally critical ones) and
OSS-DC evolves for its own account, to
achieve specific requirements.
Takeover: Organization attracts an existent
OSS-DC to support its business activity. The
creation of its own OSS-DC pursues to ‘take
the control’ of critical software development.
Initiative: Organization initiates an OSS
project and creates its own OSS-DC around it,
in order to ‘take the control’ of critical software
development.
Regarding technical issues, there is good set of
well-known contributions to OSS adoption in the
field of information and communication
technologies. This research work deals with the
business dimensions of OSS and Open Innovation
(OI). We conduct our proposal through OI
perspective, due to the fact that OSS is perhaps, the
most iconic form of OI implementation. In this sense,
the work of (Lopes et al., 2017) describes the
relationship among knowledge management,
sustainable innovations, and organizational
sustainability. (Rogo et al., 2014) propose a
methodology to assess the performance of OI
practices and improves the allocation of intellectual
capital resources into value creation process and high-
lights the importance of co-evolution between the
organization and its customers, competitors and
suppliers; here, Intellectual Capital refers to skills and
competences of staff, capabilities and knowledge
supported by organizational structure; and
environmental relationships with external
stakeholders. (Secundo, 2020) also emphasizes the
role of external stakeholders and its contribution in
sharing and transferring knowledge, across
technology-intensive organization boundaries with
OI. The cause and effects of agglomeration,
networks, and trust on OI culture, are integrated in a
model proposed by (Nestle et al., 2019), where the
need to extend the research on networks and
ecosystems is indicated.
In relation with OI assessment, based on a survey
among 223 Asian service firms, the work of (Cheng,
and Huizingh, 2014) proposes a comprehensive
measurement scale for OI that include a wide range
of activities, to indicate to what extent a firm has
implemented OI activities. This research work deals
with innovation performance and consider three
points of view: entrepreneurial, market, and resource.
Organizational Readiness Assessment for Open Source Software Adoption
801
This approach does not consider issues like
organizational culture, innovation stage, and lawful
knowledge.
Although there is a great variety of research work
that describes the relationship among some
organizational resources, capacities and skills, there
are no a model focused on evaluate the organization
as a whole, considering generic areas involved in an
OSS adoption project. Hence, we design a model that
supports the organizational assessment and suggest
the way in which OSS should be adopted.
3 CONSTRUCTIVE PROCESS
To take advantage of business benefits derived from
OSS, it is indispensable to fulfill a set of specific
requirements of OSS adoption strategies, and
consequently, it is essential that the organization
knows how ready it is to fulfill these requirements.
The internal structure of the organization keeps a
close relationship with the organizational
performance, facilitating or hindering the way in
which the individuals manage the complexity and
uncertainty derived from the activity with multiple
internal and external actors. In this context, the OSS
adoption implies establishing a non-trivial
relationship with multiple external stakeholders. The
specific association with one of them, the OSS
Developer Community, has particular complexity
(because has many connections) and uncertainty
(because the organization cannot exercise control nor
demand commitment, although this stakeholder
provides an important OSS component and/or its
support service).
For this reason, we propose the Organizational
Readiness Assessment Model, a support artifact which
final objective is to validate the organization’s
readiness to manage complex relationships and
uncertainties derived from the OSS adoption in an
organization that works according to open innovation
paradigm. It's important to highlight that because the
OSS adoption involves both technical and business
aspects, a global validation is required.
The constructive process that we use to develop
the model, is summarized in Fig. 1. The iterative
approach guides the application of four stages, which
are described below.
Stage 1 – Identification. The first stage of the
constructive process consist on the review of
works in three main areas interrelated with
organizational OSS adoption: open innovation
(wide scope), IT management (medium scope),
and OSS adoption itself (short scope).
(Chesbrough, 2006), (Ven and Verelst, 2009),
(Spinellis and Giannikas, 2012), (Hogan and
Coote, 2014), (Cohen, and Levinthal, 1990),
(Branscomb and Auerswald, 2001), (López et
al., 2015), (RISCOSS, 2014) constitute the core
of support documentation from where we
identified a set of organizational issues for the
assessment.
Stage 2 Organization and Prioritization.
The issues identified in previous stage were
chronologically organized in past (experience
in OSS adoption), present (current resources,
capabilities, and skills), and future
(expectations about OSS projects). Issues in
present time were grouped into thematic
categories. In order to quantify the
organizational compliance of each issue, a
numeric scale was assigned, with scores
between 0 to 1. Initially, all categories have the
same weight in the model.
Stage 3 Decision Support. In this stage, we
stablish a relationship among resources,
capabilities and skills available in the
organization, and the requirements of OSS
adoption strategies identified in (López et al.,
2015). This relationship allows us to suggest a
specific OSS adoption strategy or strategies,
and identify the key issues that should be
improved to support OSS adequately.
Stage 4 Feedback. In this stage, the model
can be modified to incorporate enhances
suggested by strategic/tactic staff of the
assessed organizations, about: new issues,
intervals of scoring, weight of categories, and
so on.
As a result of applying these four stages, we
obtain a model to estimate, in a systematic way, the
level of readiness to face an OSS adoption project.
4 MODEL DESCRIPTION
The model constructed in previous section contains
nine categories, as shown in Fig. 2. In this section, we
describe briefly each of them. When the organization
has completed the assessment, the next step is to
know how to carry out the adoption process. To
contribute to identify the most suitable path to adopt
OSS, we work with the proposal of (López et al.,
2015), which describes six ways in which the
organizations usually adopt OSS.
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Figure 1: Constructive Process.
4.1 Section A: OSS Experience
This section aims to identify the kind of knowledge
and learned lessons obtained by the organization from
previous OSS works. This experience brings to the
organization a valuable support in practical issues of
OSS adoption.
A1 Organization’s OSS Experience: it refers to
the main feature of previous organizational
experience with OSS, from no existence, to existence
of high complex experience.
A2 Staff’s OSS Experience: it assesses the main
previous OSS experience that the staff has had
outside the organization, from no existence to
existence of high complex experience.
A3 Organization’s Previous Related
Knowledge in the Organization: The work of
(Cohen, and Levinthal, 1990) argues that prior related
knowledge enables the organization to assimilate and
use new outside knowledge, and has a reinforcing
effect. This knowledge should be structured. The
innovation projects require both commonality
knowledge (which improves the communication
among staff of diverse areas), and individual
knowledge (which maintains the diversity).
(Steinmacher et al., 2015) identifies the lack of
previous knowledge as an incoming barrier faced by
newcomers. Thus, the prior related knowledge in the
organization is estimated in the range from
inexistence on OSS domain or related fields, to
existence of knowledge identified and available.
Figure 2: Model Structure.
4.2 Section B: Stakeholder
Management
It identifies if the organization has a structured and
systematic management of stakeholders, which bring
support the relationships involved in OSS adoption.
The organization should manage a minimum schema
that allows it to identify, classify and prioritize the
stakeholders according to the importance level that
they have.
B1 Stakeholder Relationship Management: it
refers to the existence of defined process to manage
the organizational relationships with its external
stakeholders.
B2 Stakeholder Prioritization Criteria: it refers
to the existence of a defined criteria to assign a
prelation order in which the stakeholders are managed
and its satisfaction is monitored.
4.3 Section C: Internal Support
Assurance
This issue evaluates the support level that the
organization can bring to OSS adoption, from the
perspective of open innovation. This issue has a
critical role because identifies the responsibilities and
commitments that the organization must met in order
to give viability and sustainability to OSS initiative.
C1 Business-IT Alignment: This issue asks for
the alignment of Information Technologies issues to
business, i.e., to what extent the IT operations support
the business goals, business strategy and mission.
C2 Strategic Commitment for OSS: It is the
strategic commitment that can obtain an OSS project,
through initiative sponsoring and basic requirements
(i.e. budget, resources project management support,
business process management support), valued using
three possible responses, from the no offering of
strategic commitment to OSS, to refer that this
commitment is feasible. This resource commitment
(financial, material, logistic, etc.), contributes to
avoid or reduce delays. (Spinellis and Giannikas,
2012).
C3 OSS Technical Skills: they are the technical
skills required for OSS adoption (i.e. crowdsourcing,
collaborative teams, agile development).
C4 Technical Support for OSS: It is the internal
technical support available to OSS (it refers to staff
effort, hardware and communications resources).
(Spinellis and Giannikas, 2012) show that
“organizations in fields with a high IT-usage intensity
could be more likely to adopt OSS”. This issue
indicates the availability of support.
Organizational Readiness Assessment for Open Source Software Adoption
803
C5 Learning Capacity (LC): Known as the “the
capacity to develop knowledge” (Hult et al., 2001), or
“the organizational potential to use available
knowledge within the organization and to continually
renew that knowledge” (Prieto and Revilla, 2003), the
ultimate impact of Learning Capacity (LC) is to
improve the organizational innovation and
performance. The present assessment seeks the
organization’s expert criteria to identify the LC level
(high, medium, or low) that can support the learning
required by OSS adoption. It is assumed that in every
organization has at least individual learning capacity.
C6 Absorptive Capacity (AC): The Absorptive
Capacity (AC) (proposed by (Cohen, and Levinthal,
1990), and reformulated by (Zahra and George, 2002)
is considered as the set of routines and processes by
which organizations systematically identify, acquire,
assimilate, transform, and exploit knowledge; in turn,
this knowledge impact the levels of organizational
innovation and performance. According to (Cohen,
and Levinthal, 1990), previous to AC, the internal
Research and Development (R&D) should be
developed to generate Prior Related Knowledge that
allows the assimilation of the external knowledge.
Part of AC is the facility to adopt technologies,
referred by (Spinellis and Giannikas, 2012) as the use
of technologies, the obtainment of advantage of its
use, and the general adoption experience. In this
context, the present assessment seeks the
organization’s expert criteria to identify the AC level.
C7 Human Talent: it refers to the innovation-
driven approach (i.e. the existence and application of
innovation processes, policies and systems) present or
not in hu-man talent management. This variable has
three sub-components: a) staff conformation, b) staff
operation, and c) innovator’s role. The first two are
referred to the support that the human talent
management offers to the innovation process. The last
one is referred to the existence of innovation role(s)
clearly defined and focused on monitoring the
environment, sourcing knowledge, and
communicating the knowledge (to their organization
and across their organization) (Cohen, and Levinthal,
1990), (Huang et al., 2017).
C8 Disseminative Capacity (DC): As part of the
knowledge transfer process, the Disseminative
Capacity is referred by (Tang et al, 2010) as “the
ability of knowledge holders to efficiently,
effectively, and convincingly frame knowledge in a
way that other people can understand accurately and
put into practice”. In the present assessment, DC is
valued both internal level (among individuals and
groups) and external level (between the organization
and its stakeholders).
C9 Open Innovation Process Management:
OSS developing practices as agile end-user and
volunteer driven, have a marked difference with
traditional software development processes (Spinellis
and Giannikas, 2012) because, among other factors,
OSS is a way of open innovation (Chesbrough, 2003),
and as such, its adoption requires flexibility not only
at software development level but at business level.
The business importance of open innovation process
management is treated in (Lendel et al., 2015), and
organizational issues required by OSS (for instance,
process reengineering, leadership role in ecosystems)
are identified in (Appleyard and Chesbrough, 2017).
4.4 Section D: Organizational Culture
The organizational culture comprehends norms,
systems, symbols, language, assumptions, beliefs,
habits, collective behaviour patterns, and
assumptions. All of them shape and characterize the
organization, and are able to facilitate and promote
the innovation. In this sense, (Hogan and Coote,
2014) show that values, norms and artifacts steer
innovative behaviours, and these in turn impact on
organizational performance.
From works of (Hogan and Coote, 2014), (Cohen,
and Levinthal, 1990), (Branscomb and Auerswald,
2001), a set of elements from the innovation-oriented
organizational culture was selected to be evaluated.
D1 Valuation of Organizational Performance:
The value that the organization attributes to success,
high and innovative performance, challenging goals,
motivates staff and improves the innovative solutions
and in general terms, helps to develop a proactive
behaviour.
D2 Agreement to Openness and Flexibility: An
organization opened to new ideas and new
approaches to solve problems, facilitates the
generation of creative solutions, the discovering of
new paths to achieve these solutions, and decreases
the resistance to changes.
D3 Organizational Tolerance to Risk: All
innovations have a certain uncertainty level, because
their potential impact (at organizational and
environmental level) can be positive or not. In this
scenario, the “willingness to engage in and encourage
behaviours and activities with uncertain outcomes”
(Chapman and Hewitt-Dundas, 2017), referred as risk
tolerance, is one of the influential factors to undertake
an innovation project.
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4.5 Section E: Open Innovation Level
Thus, guided by the Open Innovation Paradigm
(Chesbrough, 2006), (Chesbrough, 2003), the open
innovation stage is estimated in general terms, through
the following axis: Innovation Process Management,
Intellectual Property Management, Technology
Management, External Stakeholder Management,
Market Knowledge Management, Customer Offering
Planning, Value Added Management
4.6 Section F: External Support
Assurance
This section identifies the source of specialized
support level to OSS adoption that the organization
can obtain from third parties. This refers to potential
support provided by other division, business unit, or
area of the own corporation.
4.7 Section G: Lawful Knowledge
This appraisement aims to identify the level of
organizational knowledge about legal and regulatory
issues related to open source. This is integrated by
three components: licensing knowledge, IP and
Copyright knowledge, and IP policies.
G1 Licensing Knowledge: It is the
organizational knowledge about OSS licensing,
valued using four alternative responses, from no
knowledge, to high level of knowledge.
G2 IP and Copyright Knowledge: It is the
organizational knowledge about Intellectual Property
regulations, valued through four alternative
responses, from no knowledge, to a high level of
knowledge.
G3 IP Policies: this component is referred to the
existence of protection terms for the organizational
knowledge, and has develop of correspondent IP
policies. There are three possible responses, from the
no existence of protection terms or IP policies, to the
existence, diffusion and application of this policies.
4.8 Section H: Response to General
Environmental Factors
The environment has influence in how the
organization operates. There are external factors that
can impact on open innovation initiatives (OSS in
particular) either promoting them or restricting them.
The management of these factors is assessed from the
point of view of the value network to which the
organization pertains, and from the perspective of the
organization.
4.9 Section I: Expectations about OSS
Adoption
This section is oriented to identify the role that the
company has planned for OSS, in relation with the
customer offering, the Internal Development Team,
and the link with OSS Developer Community. These
issues are described below.
I1 OSS Inclusion in Customer Offering: The
inclusion of an OSS component as part of the
customer offering (unlike using it internally) involves
issues like customer relationship, image, incomings,
and market, among others. The specific role planned
for OSS as part of customer offering gives a general
idea of the organization's awareness of resources to
invest in the OSS adoption.
4.10 Suggestion of OSS Adoption
Strategy
As we introduce in Background Section, the work of
(López et al., 2015) shows six OSS adoption
strategies. Due to the main external stakeholder in
them is the OSS-DC, they were organized into three
groups, according to the interaction level between the
organization and the OSS-DC. Hence, we define three
interaction levels: Low-none, where organization has
a minimal relationship with OSS-DC, or no exist
relationship at all (Release, Acquisition, and
Integration); Medium, where organization has a
limited relationship with OSS-DC, through sending
patches, requirement specifications, performance
reports, and so on (Fork); and High, where
organization has strong and permanent relationship
with OSS-DC through co-development (Takeover,
and Initiative).
5 APPLICATION CASE: CEDIA
5.1 General Description
A questionnaire was developed as assessment
mechanism, based on the schema presented in Section
4. This questionnaire contains 40 closed polytomic
questions derived from issues at level 2, and uses a
Likert Scale of 3, 4, 6 or 9 points (where the points
for a question are not overlapped). These questions
are exhaustive (includes all possible responses) and
mutually exclusive (it is not possible the co-existence
of two or more responses for each issue). Only one
question includes the possibility of an open response:
the case of OSS experience, where the interviewed
Organizational Readiness Assessment for Open Source Software Adoption
805
can respond with a description of its particular OSS
adoption way.
CEDIA was selected according to the following
criteria: a. To have experience in OSS adoption
projects; b. To include OSS as part of customer
offering; c. To have (or have had) some relationship
with OSS-DC. After selecting the organization, the
following criteria were stablished to identify the most
suitable executive profile to response the
questionnaire: a. To have experience as Technology,
Innovation, and Business Management; b. To have
decision-making facilities (in terms of resource
assignment) over OSS related projects; and c. To have
software engineering background (desirable),
specifically in requirements management, and system
integration, areas. The responses were given by a high
executive of CEDIA.
The following subsections describe each issue to
be assessed.
As we see in Fig. 3, CEDIA has a high compliance
level in most categories, and an average compliance
of 84.4%. In the following paragraphs, we present the
main findings.
About previous staff experience on OSS adoption.
Although the staff reports an experience quantified of
37.91% (considered low level), it does not affect the
subsequent performance in OSS projects.
According with the obtained scores, and applying
the suggestion schema proposed in Subsection 4.10,
we found that CEDIA is ready to carry forward OSS
adoption strategies that involves low and med
relationships with OSS-DC.
In the case of strategies with high involvement
with developer’s community, it is important to
reinforce the capacities and skills related to
environmental interaction (improving the process to
manage relationship with OSS-DC, and the criteria to
prioritize internal-external requirements). The lack of
knowledge and confidence in its environment, may be
one of the reasons why CEDIA has a medium level of
risk tolerance (Section D Organizational Culture)
and a medium level of development of its value
network (Section H Response to General
Environmental Factors).
5.2 Threads to Validity
The validation of a proposal using a single case,
might introduce bias (either by excluding important
elements or by over valuate others) that makes
difficult to generalize its conclusions. To reduce this
threat, we place special attention on selecting the
organization where perform the application case.
Figure 3: CEDIA Assessment Results.
This organization satisfy the following additional
criteria: a) representativeness: has a common cases of
OSS adoption b) truthfulness: we have free access to
historical and current information about OSS
initiatives.
6 CONCLUSIONS AND WORK IN
PROGRESS
In this paper, we present a model to assess the
organizational readiness for Open Source Software,
from open innovation business perspective. In
response to the research questions (RQ) stablished in
Section 1, the following results were obtained. RQ1:
A meaningful set of skills, capacities and resources
related with OSS adoption in Open Innovation
environment were identified. RQ2: we organize the
results from RQ1 into 9 categories grouped in 3-time
instances (past, present and future) that integrate the
structure of the Organizational Readiness Assessment
Model. RQ3: After our model application, an OSS
adoption strategy(ies) can be suggested, mapping the
estimated level of organizational readiness, with the
business requirements of OSS adoption strategies.
The main benefits of our proposal are: a) establish
a solid and systematic criterion to identify
organizational issues involved in OSS adoption; b)
organize these issues in categories that can facilitate
the strategic user assessment; c) suggest a type of
OSS adoption strategy, according to organizational
readiness; and d) identify aspects that should be
improved in organizations, mainly in terms of
Business-IT alignment.
Other important benefit of our proposal resides in
the fact that it can be used with minor adjustments in
any organization, independently of its nature or
industry to which pertains. Accordingly, the proposed
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method constitutes a decision-making tool that helps
adopters to take advantage of OSS benefits.
We continue to specific work on two issues: a. to
identify the synapsis between organizational
readiness and its correspondent OSS adoption
strategies, in order to disaggregate these connections
to goal, risk, and cost level; and b. to apply the model
in other representative organizations, once the model
structured has been improved using current feedback.
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