N E G OT I AT I N G I N T E R N E T G OV E R N A N C E ii 1 Negotiating Internet Governance ROX A N A R A D U 1 iv Great Clarendon Street, Oxford, OX2 6DP, United Kingdom Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries © Roxana Radu 2019 The moral rights of the author have been asserted Published with the support of the Swiss National Science Foundation First Edition published in 2019 Impression: 1 Some rights reserved. 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To my mom, with infinite love. vi Foreword The global governance of the Internet is an ongoing, complex, contested, and unfinished project. In its early days, Internet governance could be charac- terized as a classic example of private authority in global governance, but as this book masterfully demonstrates, as the Internet’s commercial and political salience increased over time, its governance evolved into a composite arrange- ment of public and private actors interacting in different multi-stakeholder initiatives. The governance of the Internet is more analogous to the global governance of the environment than it is to the governance of global trade. It is a regime complex with different governance and institutional arrange- ments in different issue domains and with no clear hierarchy among them. While the domain has become increasingly securitized in recent years, the emerging and highly imperfect governance of cybersecurity is only one aspect of contemporary Internet governance. In a regime complex like Internet gov- ernance, the nascent governance in one issue domain such as cybersecurity will invariably have implications for the governance of other important issue domains, such as freedom of expression and liberty, privacy and surveillance, fair access, and the global digital divide. In this important new book, Roxana Radu situates the global governance of the Internet historically and traces its origins from the seemingly ad hoc assignment of domain names by private actors in the 1980s through its com- mercialization in the 1990s to the ongoing series of global multi-stakeholder governance arrangements over the past two decades. As a participant in many key, formative meetings, she not only describes the historical development of governance arrangements, but also contributes to current policy debates on Internet regulation and digital developments. She identifies watershed mo- ments defining power dynamics in Internet governance, proposes an original framework of analysis for mechanisms of governance at work across time in Internet policy, and offers a detailed analysis of the praxis of governance and how it evolves over time in light of the interaction between various instru- ments, actors, and logics at work. In that sense, the book translates global governance theory ideas and operationalizes core concepts, offering the first comprehensive study of Internet governance mechanisms at the global level. The book shows how steering mechanisms come into being through various channels and individuals operating within a transnational policy net- work, and it also reveals shifts in governance patterns over a relatively long viii Foreword v i i i period of time (more than forty years). It also adds a new dimension to the investigation of governance articulation by examining anchoring practices in Internet governance. As such, it provides an important building block for a broader research agenda dedicated to the emergence of governance in new issue domains, refining our understanding of the genesis and structuration processes involved. The current governance of the Internet is far from ideal from many dif- ferent vantage points, but that does not mean that it is ungoverned or ungov- ernable. It simply means that the normative quality of the existing governance arrangements is deficient in some important respects, whether we are con- cerned with inclusivity, transparency, effectiveness, efficiency, adaptability, or fundamental fairness. This book makes a significant contribution to the ongoing debate about how the Internet should be governed. We need to understand the history of Internet governance, its evolution, its constant ex- perimentation, and its past failures in order to participate in an informed way in the project of improving the quality of Internet governance today. With its historical overview, its comprehensive treatment of the subject, and its ana- lytical framework for understanding the mechanisms of governance at work, this book provides a critical first step in this important project. Thomas Biersteker The Graduate Institute, Geneva Acknowledgements Negotiating Internet Governance follows directly from my doctoral disserta- tion. I would like to express my deep gratitude to my supervisor, Professor Thomas J. Biersteker, for his invaluable guidance throughout the PhD pro- cess and for his unchanged enthusiasm for my project since 2011. Precious contributions to this work also came from Professors Liliana Andonova and Nanette Levinson, whose comments helped me revise and update the con- tent. Dr Nicole Stemlau at the Centre for Socio-Legal Studies in Oxford wel- comed the book project and offered crucial space and support to finalize it: an improved version of the book is available today as a result! To my colleagues and friends at DiploFoundation and the Geneva Internet Platform: thank you for setting an excellent example of collaboration and for the steep learning curve I went through while working together. I am intel- lectually indebted to all the Internet governance experts I interacted with in the past seven years, during the many meetings attended, as well as during my research stays at the Hertie School of Governance in Berlin and the Institute for Technology and Society in Rio de Janeiro. This project would not have been possible without the financial support of the Swiss National Science Foundation, which I gratefully acknowledge. My family’s support and encouragement was essential in completing this book, at a distance and in Geneva. Eugenia, Paola, and Piero were there when I needed it the most. I am extremely thankful for having been surrounded, at all times, by amazing friends, who made this journey as exciting as it could possibly be: Alex, Aura, Ezgi, Ioana P., Ioana T., Merih, and Rishabh. Special thanks go to my partner, Alberto, always patient, loving, and inspiring. x Table of Contents List of Abbreviations xv 1. Introduction 1 Navigating Global Governance 4 Internet Governance under the Magnifying Glass 5 Global Governance— The Enactment Thesis 7 Research Focus, Central Question, and Argument 9 Method 11 Structure of the Book 12 2. Deconstructing Internet Governance: A Framework for Analysis 15 Global Governance Repertoires and the Internet 16 Varieties of Governance 18 State and Private Authority 21 Praxis 24 Deconstructive Lens 25 Evolution of Concerns over Time 26 Infrastructure and Critical Internet Resources 27 Cybersecurity 28 Legal Issues 28 Digital Economy 29 Information and Communication Technology for Development (ICT4D) 29 Civil Liberties 30 An Analytical Framework for Internet Governance 31 Mechanisms of Governance 32 Actors 34 Anchoring Practices 35 Research Design and Methods 37 Historical Analysis 37 Empirical Analysis 38 Dataset and Coding 39 Textual Analysis 40 Participant Observation 41 Synopsis 42 xii Table of Contents x i i 3. Revisiting the Origins: The Internet and its Early Governance 43 Setting the Stage: Pre-Internet Developments 44 ARPA, Internetworking, and the Military Agenda 46 ARPANET, its Alternatives and Successors 48 Private Initiative and Competing Protocols 52 TCP/IP and the Birth of the Internet 55 From ARPANET to NSFNET 58 Mechanisms of Governance 60 Research Funding: Basis for the Emergence of Multidisciplinary Cooperation 60 Domestic Regulation: New Rules for Computing Services 61 International Governance 63 Actors 66 Anchoring Practice: RFCs 70 Synopsis 73 4. Privatization and Globalization of the Internet 75 A Global Internet (Fairy) Tale: Market Emergence 76 Infrastructure 76 Domain Name Registrations 79 Web Applications, Information Intermediaries, and E-commerce 81 Regulatory Framework 83 New Rules under Construction 85 The Creation of ICANN 90 ICANN Negotiations: Political Stakes 94 Mechanisms of Governance 96 Actors 103 Anchoring Practice: Multi-stakeholder Participation 108 Synopsis 111 5. The WSIS Decade and the Public–Private Partnership Thirst 113 Internet Governance @ WSIS 114 In Search of a Definition 116 The WGIG Process 121 The WSIS Ordering 124 Role of the United Nations 127 WCIT- 12 130 Post- Snowden Fault Lines 135 Mechanisms of Governance 138 Actors 147 Anchoring Practices: Ad Hoc Expert Groups 152 Synopsis 156 Table of Contents xiii 6. Enacting Internet Governance: Power and Communities over Time 157 Power Dynamics and Authority Locus 158 A Longitudinal Comparison 159 Private Giants on the Rise 161 Stronger National Approaches 166 China and India 171 The IG Community 173 Communities in the IANA Stewardship Transition 175 Various Meanings of Community 178 Old- timers and Newcomers 181 Internal Dynamics 183 Anchoring Practices 187 Synopsis 190 7. Conclusion: Reflections on a Global Issue Domain 191 Findings 192 Understanding New IG Trends 196 Theoretical Implications 200 Future Research Directions 203 Bibliography 205 Index 225 x i v List of Abbreviations ACM Association for Computing Machinery ACTA Anti- Counterfeiting Trade Agreement AI artificial intelligence ARPA US Advanced Research Projects Agency ARPANET Advanced Research Projects Agency Network ASEAN Association of Southeast Asian Nations BAT Baidu, Tencent, and Alibaba BBN Bolt, Beranek, and Newman BRICS Brazil, Russia, India, China, and South Africa BSBN Beijing- Shanghai Backbone Network CBMs confidence building measures CCBI Coordinating Committee of Business Interlocutors CCITT International Telegraph and Telephone Consultative Committee cc- TLDs country- code top- level domains CCWG- Accountability Cross-Community Working Group on Enhancing ICANN Accountability CDA Communications Decency Act CERN European Organization for Nuclear Research CERTs Computer Emergency Response Teams CIRP UN Committee for Internet-related Policies CJEU Court of Justice of the European Union CNRI Corporation for National Research Initiatives CoE Council of Europe CORE Council of Registrars CREN Corporation for Research and Educational Networking CSIRTs Computer Security Incident Response Teams CSNET Computer Science Network CSTD UN Commission on Science and Technology for Development DARPA Defense Advanced Research Projects Agency xvi List of Abbreviations x v i DCA Defense Communications Agency DNS domain name system DNSO Domain Name Supporting Organisation DoC Department of Commerce DoD Department of Defense DOT Force Digital Opportunities Task Force ECHR European Court of Human Rights ECOSOC UN Economic and Social Council EU European Union FCC Federal Communications Commission FNC Federal Networking Council G8 Group of 8 GAC Governmental Advisory Committee GDDI Global Digital Divide Initiative GDP Gross Domestic Product GDPR General Data Protection Regulation GFCE Global Forum on Cyber Expertise GIC Global Internet Council GIP Global Internet Project GNSO Generic Names Supporting Organisation gTLDs generic top-level domains gTLDs-MoU Generic Top-Level Domain Memorandum of Understanding HTTP Hypertext Transfer Protocol IAB Internet Activities Board IAHC International Ad Hoc Committee IANA Internet Assigned Numbers Authority ICANN Internet Corporation for Assigned Names and Numbers ICCB Internet Configuration Control Board ICG IANA Stewardship Transition Cooperation Group ICPC International Cable Protection Committee ICTs information and communication technologies ICT4D ICT for development IEG Informal Experts Group IENs Internet Experiment Notes List of Abbreviations xvii IETF Internet Engineering Task Force IFWP International Forum for the White Paper IG Internet governance IGF Internet Governance Forum ILO International Labour Organization IMPs Interface Message Processors InterNIC Internet Network Information Center INWG International Packet Network Working Group IOs international organizations IoT Internet of Things IP Internet Protocol IPTO Information Processing Techniques Office IR international relations ISF Internet Social Forum ISO International Organization for Standardization ISOC Internet Society ISPs Internet Service Providers ITAA Information Technology Association of America ITAG IANA Transition Advisory Group ITRs International Telecommunication Regulations ITU International Telecommunication Union IUF Internet Ungovernance Forum LAWS lethal autonomous weapon systems LRO Legal Rights Objections MAG Multistakeholder Advisory Group MDG Millennium Development Goal MILNET military network NASA National Aeronautics and Space Administration NATO North Atlantic Treaty Organization NCP Network Control Protocol NCSG Non-Commercial Stakeholder Group NEPAD New Partnership for Africa’s Development NIC Network Information Center NIPRNET Non-classified Internet Protocol Router Network NPL National Physical Laboratory xviii List of Abbreviations x v i i i NRO Number Resource Organization NSA US National Security Agency NSF US National Science Foundation NSFNET National Science Foundation Network NSI Network Solutions, Inc. NTIA National Telecommunication and Information Administration NWICO New World Information and Communication Order NWG Network Working Group OAS Organization of American States OECD Organisation for Economic Co-operation and Development OSCE Organization for Security and Co-operation in Europe OSI Open Systems Interconnection PC personal computer PIPA Protect IP Act PrepCom Preparatory Committee PTT post, telephone, and telegraph organizations RFC Request for Comments RIRs Regional Internet Registries SCO Shanghai Cooperation Organisation SDG Sustainable Development Goal SIPRNET Secret [formerly Secure] Internet Protocol Router Network SOPA Stop Online Piracy Act STS science and technology studies TCP Transmission Control Protocol TLDs top level domains UAE United Arab Emirates UDRP Universal Domain Name Dispute Resolution Policy UN United Nations UNCTAD UN Conference on Trade and Development UNDP United Nations Development Programme UNESCO UN Educational, Scientific and Cultural Organization UNGA UN General Assembly UNGIS UN Group on the Information Society List of Abbreviations xix UNICTTF UN ICT Task Force W3C World Wide Web Consortium WB World Bank WCIT-12 World Conference on International Telecommunications 2012 WEF World Economic Forum WGEC Working Group on Enhanced Cooperation WGIG Working Group on Internet Governance WIPO World Intellectual Property Organization WITSA World Information and Telecommunication Association WSF World Social Forum WSIS World Summit on Information Society WSIS + 10 decennial review of the World Summit on Information Society WTO World Trade Organization WWW World Wide Web