Version 0.8, 2024-09-19
Copyright Naoki Shibata 2024. https://github.com/shibatch/nofreelunch
This document is licensed under CC BY-SA 4.0.
First of all, I would like to start by explaining a few economic concepts. Suppose you have paid to buy a hamburger. Then, of course, that hamburger is yours and you have all the right to decide what to do with it. You can eat all the hamburger without sharing it with your friends. But what if you are paying for flood control, i.e., the maintenance of rivers? Flood control is essential to building a modern city, but it is almost impossible to limit the people who will benefit from flood control. If you pay for the maintenance of the river, your friends will automatically benefit from it too. Goods and services such as parks, public roads, fire protection, police, flood control and knowledge are called public goods. A public good is defined as a good that is both non-excludable (anyone can access it) and non-rivalrous (one person’s use does not prevent another’s use). The cost of preventing people from using public goods is significantly high and it is difficult to collect a price for their use. If someone bears the cost and provides a public good, those who do not bear the cost can also receive the benefit. As a result, the incentive to bear the cost of providing public goods does not work, and everyone tries to get a free ride. In economics, a free rider is someone who enjoys a benefit without paying for it.
OSS and free software (hereafter, OSS and free software are collectively referred to as FOSS) are public goods because they are both non-excludable and non-rivalrous, and thus they are being free-ridden by a large number of people and companies. It is undeniable that FOSS has become popular because they can be free-ridden as much as people want. But, development and maintenance of FOSS cannot proceed unless someone contributes resources. If no user pays for it, it is a natural consequence that maintenance will eventually cease to continue, which in essence means that the FOSS ecosystem is not sustainable. FOSS developers have little or no financial incentive to continue maintenance and development. As a result, FOSS developers tend to stop maintaining their projects much sooner than users expect, often abruptly. This problem is called the FOSS developer "burnout" problem. To make the FOSS ecosystem sustainable, the cost of maintenance must continue to be supplied from somewhere. Downloading software may seem like less of an incentive to pay a fee because you cannot see the face of the developer and the software is only information and not substance. However, there are real people involved in the development and maintenance of the software, and real resources are committed for this purpose. Needless to say, the burden of those costs should not be placed on the developers and maintainers.
Let me explain in simpler language. Imagine that you are offered a free lunch somewhere. In such a case, a rather large number of people would say, "Who is covering the cost of this lunch? Let me bear the cost of what I eat." But when it comes to using FOSS, the number of such people is much smaller. For some reason, people take it for granted that I provide a free lunch and that everyone else should receive the lunch I provide without paying for it. And then there are those who sell what is provided free of charge to others at a price. Certainly, as a free lunch provider, I don't forbid that, but isn't that making too much use of the generosity? If I ask those people to donate, sometimes they do, but often they look at me as if donating is something special. And when I stop offering free lunch, people say I have "burned out." Is it appropriate to call it “burnout” that I have run out of ingredients to prepare a free lunch? It doesn't have to be me who provides the ingredients for the free lunch, does it? It would be fine if the others could supply all the ingredients and prepare all the lunches instead, but this usually doesn't happen. Because the lunches prepared by others are not that tasty. Or they don't want to provide such a good lunch for free. If those who are making a profit give some of it back, then I can continue to offer free lunches. I think everyone would be happier that way, don't you?
The problem of developer "burnout" becomes a problem because there is still commercial value in the software. If the software has no value anymore, it would not be called "burnout." In such a case, the project simply "fades away" without anyone noticing. If no one needs free lunch anymore, then no one will have a problem when I stop providing free lunch. In other words, the reason developers "burn out" is not because the funds are nowhere to be found, but because the funds do not reach them. In some cases, companies are making huge profits by using FOSS. If we can get these funds to reach the developers, the problem can be solved.
Some may argue that if that is the case, then I should just make the license noncommercial. However, if I prohibit commercial use, even if conditionally, adopting the software will require complex deliberations within the company. The story is relatively simple if the number of computers that will run the software is known in advance and only that number of licenses need to be purchased. However, the use of FOSS is not limited to this. One of the advantages of FOSS is that it can be easily adopted when the number of computers running the software is not known in advance. If a license server were to be set up to monitor software usage, there would be increased hassles with server maintenance and security. If the company is required to pay, for example, a certain percentage of the profits earned, the paperwork for this would become cumbersome, and it would be necessary to publish the figures on which the payment is based.
Here, I would like to explain another concept in economics. Consider the case where farmers graze cows on pastureland. If there are too many cows, the pasture will become desolate. If the pasture is owned by one farmer, he/she adjusts the number of cows so that the pasture does not become desolate. However, if a pasture is owned by multiple farmers, there is no advantage in reducing the number of cows because if one farmer reduces the number of cows, the others would increase it. Therefore, each farmer tries to increase the number of cows to maximize his/her own profit. As a result, the pastureland becomes desolate due to the fact that it is common land. This is called the tragedy of the commons.
Companies are, after all, organizations that try to maximize shareholder profit. They try to use as much free stuff as possible, while they are less likely to use software that is not free for commercial use because of the complicated procedures to use it. There used to be many free-of-charge software products that prohibited commercial use, but many of them were not used much and eventually abandoned. In other words, whether the license prohibits commercial use or not, the developers will not be paid after all. From a different perspective, this means that the pasture of FOSS developers is being exploited until it becomes desolate. Even if each company is aware of the fact that it is exploiting FOSS developers, it has little incentive to stop, because even if one company stops, others will continue, and the result will be the same. Thus, it is unlikely that a company will voluntarily offer to make a donation, because even if only their company makes a donation, the result will not be much different if other companies do not also make donations. This structure of the problem is the same as the tragedy of the commons. A license that prohibits commercial use does not solve this problem.
FOSS developers have to go around on their own to find companies that use their software and ask them for donations. There is no way to even know what a reasonable donation amount would be. In order to maximize shareholder profit, companies tend to refrain from activities that would benefit other companies, and as a result, they are often reluctant to contribute to society as a whole. Often a company needs a particular reason as to why it makes a particular contribution. In other words, a company needs an explanation of how its contribution will specifically benefit the company. However, most FOSS products are not designed to benefit a specific company. FOSS projects cannot be run only by members who participate from companies who think only of their own convenience. It is not surprising that contributions made under a declaration that only contributions beneficial to a particular organization can be made are less appreciated.
To begin with, the general public only understands that FOSS is software that can be used for free, and there is no recognition that the general public is free-riding on various resources provided by developers. There is a general lack of awareness that if everyone continues to free-ride, those resources will quickly run out and the project will not last long. On the other hand, companies need a reason to pay for software that is labeled as free to use. In other words, there must be some logical framework for the manager to persuade his or her bosses to do this. For FOSS developers, the only place to write such a prohibition on free-riding was in the distribution license. However, since the distribution license is legally binding, even the slightest restriction on the conditions of use would prevent people from using the software, as mentioned above.
Codes of conduct are not considered legally binding, and their contents are often unchecked by corporate legal departments. Nevertheless, their contents are similar to rules, and they are presented alongside distribution licenses. Incorporating a code of conduct into FOSS has already been established to some extent. Originally, a code of conduct was a series of practices that a company requires its employees to adhere to. Since this has expanded to FOSS projects, we can expect that there is little risk of companies completely ignoring it. A code of conduct is a set of rules that defines the normative behavior and responsibilities of individuals, parties, and groups. In other words, a code of conduct is a definition of the behaviors of members that are desirable and undesirable for a project. By having each member in the project agree to a code of conduct, the members are made aware that certain behaviors are undesirable for the project. In other words, members will not be able to openly engage in behavior that is undesirable for the project. Since a code of conduct is not legally binding, members would be able to continue to participate in the project without agreeing to the code of conduct or while violating it. However, even in that case, the fact that a particular member did not agree to or violated the code of conduct is visible. The purpose of having members make a pledge not to engage in undesirable behavior is not to exclude members who disagree or violate the code from the project, but to make other members aware of it. This allows the "name and shame" approach to discourage members from taking undesirable actions. If a particular member engages in an undesirable behavior, other members become aware of it, and the member with the undesirable behavior is excluded from participation in the overall decision-making process of the project. In other words, members with undesirable behavior will have difficulty participating in decision-making within the project. This assumes, of course, that members do not lie.
Community Guidelines for Sustainability of Open-Source Ecosystem are a code of conduct aiming to alleviate the burnout problems of FOSS developers. Our guidelines use the nature of the code of conduct described above to discourage free-riding on FOSS projects. Since a code of conduct defines desirable and undesirable behaviors of project members, it is not possible to directly ask companies to comply with the code. Therefore, our guidelines ask members representing a company to pledge that they will make effort to ensure that the company to which they belong does not free-ride. If a member's company continues to free-ride, that member can be regarded as not making sufficient efforts to ensure that the company does not free-ride. In addition, our guidelines do not require only that each company does not free-ride on projects that have adopted our guidelines, but also that they do not free-ride on FOSS projects in general. As there becomes greater public awareness of the importance of discouraging free-riding in order to sustain FOSS projects, it will become more difficult for companies to openly disagree with our guidelines. As more projects adopt our guidelines, we can expect that free-riding on FOSS projects in general will be discouraged.
Now, based on the above, will this scheme really work? What is most concerning is the part that although prohibiting commercial use of software in a distribution license does not work, discouraging free-riding in a code of conduct will work. The reason why prohibiting commercial use does not work is that it requires a lot of internal deliberation and procedures within the company before the software can be used, and a budget must be set aside to purchase the software license at this point. Distribution licenses are supposed to be legally binding, which is incompatible with asking licensees to take some action without legally binding them to do so. On the other hand, a code of conduct, by its very nature, only prescribes the desired behavior of project members, not the conditions for the use of the software. The existence of a code of conduct makes it possible to check whether each member is behaving in a way that is desirable for the project. If companies continue to free-ride on FOSS, this will become visible to the public and subject to social criticism. It would be a serious PR loss for a company if it were to make the news that the company gets disciplined in a prominent FOSS project. Therefore, we can expect that companies will voluntarily make contributions even without a request from the project side.
One of the purposes of creating new guidelines is to lower the workload on the maintainers. Adopting our guidelines will only require little work on the project. What is required in the project is to ensure transparency in project management so that public scrutiny can be conducted. Our guidelines will not work well if the public thinks that opaque decisions made within the project are inevitable because they were made for some reason that cannot be disclosed. For the guidelines to work well, the public must be able to judge the appropriateness of each decision made within the project. Transparency in project management would also have positive results in terms of ensuring diversity in the project.
What our guidelines require is that each member takes action to discourage free-riding. Thus, even if a member's company is free-riding, that company will not be immediately denounced. A company's free-riding will only be brought to attention if it becomes a problem over some extended period of time. For companies, it is only when their own employees participate in a project that they need to comply with the intent of the code of conduct, which is usually long after the company has started using the software. Thus, the use of the software itself can be started easily, and minor violations can be tolerated. In addition, companies can decide the budget for their contribution to FOSS projects on their own discretion.
At first glance, this might seem to mean that companies can continue to free-ride without worrying about the guidelines by silently allowing their employees to continue using the software without having them participate in the project. However, for companies that use FOSS extensively, not being involved in FOSS projects at all would cause various practical disadvantages. In addition, if the status of FOSS use and contribution to the project by each company becomes clear, the existence of large FOSS user companies that continue to free-ride in silence will naturally emerge.
This may also mean that little-known companies will not be subject to much public scrutiny, and only well-known companies that use FOSS on a large scale will be significantly affected by the guidelines. However, this has the advantage of supporting companies that use FOSS on a small scale, thereby expanding the use of FOSS. Rather than going around pointing out every minor violation, we can expect to bring long-term benefits to the FOSS ecosystem by fostering companies that use FOSS on a large scale. What is important is visibility into the use of FOSS in each company, and for this purpose, it may be reasonable to mandate a usage indication in the distribution license.
You might be wondering why our guidelines target only companies, even though individuals are also free-riding. This is due to the limitations of how our guidelines work. The basic stance of our guidelines is to request uniformly the same content regardless of whether the member belongs to a company or not. This is because confusion arises in the definition of the terms if we try to distinguish between companies and individuals. If members participating as individuals were asked to donate to the project, they would effectively be excluded from participating in the project. Thus, all that a member participating as an individual can do to deter free-riding is to call out to their friends not to free-ride, which is effectively the same as doing nothing. If donations were collected from individual users in a thin and broad base, the total amount could be large. However, it would be too costly to track the amount of each individual user's donation, and it would be difficult to establish a practical mechanism for this purpose.
You might also wonder whether educational and research institutions are also included in the scope of free-ride deterrence. It is ultimately public scrutiny that determines whether the objectives of the guidelines are being followed. Also, the project has its own policy and philosophy independent of this. Educational and research institutions are generally believed to support FOSS operations directly or indirectly by the nature of their work. Thus, it can be assumed that whether they are taking specific actions to deter free-riding is not an issue. In reality, however, in many cases, even educational and research institutions do not support FOSS operations in their work content. Some institutions clearly disregard their contribution to FOSS projects. In such cases, free-riding should be considered a problem even for educational and research institutions. In addition, if FOSS plays an important role in a research project with a large research budget, it is only natural that the research project should make a commensurate contribution to the associated FOSS project. When applying for a research budget, the cost of the contribution to the relevant projects of the FOSS to be used in the research should be accounted for. I hope that the status of support for FOSS by educational and research institutions, including indirect ones, will become visible.
There is another reason why companies should pay for the maintenance of FOSS. Public goods such as flood control and public road construction are usually paid for by taxpayers. However, if we try to do the same with FOSS maintenance, we will undoubtedly see terrible results. Because it is difficult to evaluate which FOSS is useful, large amounts of taxpayer money will be spent on maintenance of software that no one has ever heard of. There is also a problem that it is difficult to coordinate among the countries to which the members belong, since the development of FOSS takes place across countries. By having companies fund software that is valuable to them, we can expect that truly valuable software will be funded.
Our guidelines summarize the standards of practice that the participating members of the project are expected to follow in order to facilitate the promotion and operation of the project. Our guidelines are not a set of rules, and no penalties or other consequences for violations are set forth in the guidelines. However, it is possible that your opinion will not be respected within the community if you disagree with or violate these guidelines. Since there is no provision in the software distribution license prohibiting the removal of the guidelines in a derivative project, you can fork the project to remove the guidelines.
The guidelines ask members representing companies to pledge that they will make efforts to ensure that their companies do not engage in free-riding. However, this is nominal and members are not actually asked to take any specific action. What actually matters is the attitude of the company to which the member belongs, not the specific actions of the member.
The primary purpose for establishing our guidelines is to improve the sustainability of the FOSS ecosystem by encouraging companies that directly benefit from the commercial use of OSS or free software to contribute to the relevant projects to serve society as a whole. The members of the project are asked to help raise awareness to make this happen.
The second purpose is to prevent conflicts among the members. Although this project is a software development project, political discussions may be sometimes required to keep the project moving forward. Some of the guidelines summarize the items that each member is expected to follow in order to avoid conflicts among members and to promote calm and smooth discussions.
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Project members strive to promote the public awareness that use of open source or free software for free without any contribution is free-riding and if everyone continues to free-ride, the project will not last long.
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Project members strive to promote the awareness that it is natural for organizations that make a profit from the commercial use of open source or free software to make contribution commensurate with the increased profits from the use of the software to relevant projects, where the contribution is made in order for the project to serve society as a whole. This contribution must not be biased to benefit any specific organizations. On top of that, the contribution herein refers to providing the following items.
- Financial support
- Contributing code or documentation
- Providing assistance with tasks necessary to maintain the project
- Providing in-kind equipment, services, and software necessary to run the project
- Providing any other items needed for the project
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Project members strive to promote the awareness that organizations that benefit from the commercial use of open source or free software should voluntarily and actively offer to contribute to the projects, not wait until they are asked to do so by the projects.
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Project members strive to promote that companies should give high recognition to their members who contribute to open source or free software projects on the job.
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Project members strive to promote that if a company agrees with the objectives of the guidelines, it should indicate this in some way so that the public is aware of it.
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Each member should comply with the laws of his/her own place of residence.
- Each member should abide by laws of his/her own place of residence even if the laws do not have penal provisions.
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Each member should not follow any request of anti-social groups or cults.
- The terms "antisocial organization" and "cult" herein refer to organizations officially recognized as such in each member's place of residence. The same applies hereinafter.
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Each member in the project should disclose information regarding his or her identity and affiliation when necessary to carry out the project. In requesting disclosure of the identity and affiliation of each member, an explanation should be given as to why this is necessary to carry out the project.
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In engaging in activities within the project, each member should make an effort to disclose the basis for decisions in a manner that the general public can see and understand.
- If the basis for a decision cannot be disclosed, the reason why it cannot be disclosed should be explained as much as possible.
- If each member notices that the basis for a decision or the reason why it cannot be disclosed has not been explained in the project, the member should prompt the person who made the decision to explain it, even if the matter is not directly related to the member's own, or if it is a past matter.
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Each member should refrain from posting a comment that is considered likely to cause strong emotions in those who read the comment.
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Each member should refrain from posting a comment that is not in line with the project's objectives.
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Each member of the project should not change the way he/she treats another member for any of the following reasons.
- Discriminatory reasons (attributes that were determined at the time of the person's birth and cannot be changed)
- Ideology or beliefs that are not relevant to the purpose of the
project
- Whether or not each member belongs to an antisocial group or cult is always regarded as relevant to the purpose of the project. The project may ban a member who is found to be a member of an anti-social organization or cult for the sole reason of his/her membership in such an organization.
- Inequalities that existed in the past
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Each member of the project should treat another member equally at the time the action is taken.
- In principle, affirmative action is not supported in this project. Imposing disadvantages on members who do not support affirmative action is production of new inequalities and should be avoided. If affirmative action must be taken, the disadvantage for it should be borne entirely by the supporters of affirmative action.
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Each member of the project should listen sincerely to the claims of other members that there have been violations of the above items and cooperates in resolving the problem.
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Project members should not leave it up to the project maintainers to resolve the problems.
- The relationship between the maintainers and the other members is not that of parents and children. The maintainers only have the privileges of the websites related to the project and basically what you cannot do is not possible for the maintainers either.
- Each member should understand that each item of these guidelines is
merely a means to achieve the objectives of the guidelines and to
respect basic human rights.
- Each member should always consider first how to achieve the objectives of the guidelines and respect basic human rights, and for this purpose, allow deviations from each item of these guidelines.