S T A N D A R d SS T A N D A R d SStanhope Centre for Communications Policy ResearchStanhope Centre for Communications Policy Research

ICT Policy Training ProgrammeICT Policy Training ProgrammeBudapest, August 17-29Budapest, August 17-29

Dieter ZinnbauerDieter Zinnbauer

OutlineOutline

What are standards? What are standards? Why are ICT standards so important?Why are ICT standards so important? How do they affect public policy?How do they affect public policy? Where does the action take place?Where does the action take place? What could be done?What could be done?

►► Tools: Tools: a weird language, a raven, lots of carsa weird language, a raven, lots of cars

What is a standard?What is a standard?

No ‘standard’ definitionNo ‘standard’ definition SuggestionSuggestion: :

““technical specification that is used technical specification that is used consistently as a rule, guideline or consistently as a rule, guideline or definition”definition”

Compliance: explicit or tacitCompliance: explicit or tacit Standard types: Standard types:

reference, minimum quality, compatibilityreference, minimum quality, compatibility

Why are standards important?Why are standards important?

UnderstandingUnderstanding

TrustTrust andand

CoordinationCoordination

The role of standards in ICTThe role of standards in ICT

Users sideUsers sideWeaving a network: horizontal standardWeaving a network: horizontal standard

Producer side:Producer side:Building a system: vertical standardBuilding a system: vertical standard

Persistence through:Persistence through: critical mass barrierscritical mass barriers sunk investment (learning, development)sunk investment (learning, development)

Internet and StandardsInternet and Standards

Internet as collection of standardsInternet as collection of standards TCP/IPTCP/IP FTP/HTTP/SMTPFTP/HTTP/SMTP

Network of networks Network of networks →→ Meta-standard Meta-standard

Design principlesDesign principles Maximize interoperability, flexibilityMaximize interoperability, flexibility Avoid fragmentation, overspecificationAvoid fragmentation, overspecification

A definition of an Internet StandadA definition of an Internet Standad

““In general, an Internet Standard is a In general, an Internet Standard is a specification that is stable and well-specification that is stable and well-understood, is technically competent, has understood, is technically competent, has multiple, independent, and interoperable multiple, independent, and interoperable implementations with substantial implementations with substantial operational experience, enjoys significant operational experience, enjoys significant public support, and is recognizably useful public support, and is recognizably useful in some or all parts of the Internet.” in some or all parts of the Internet.” (IETF, RFC 2026)(IETF, RFC 2026)

The Standard MessageThe Standard Message

Standards are essentialStandards are essentialStandards are ubiquitousStandards are ubiquitousStandards are hard to changeStandards are hard to change

ICT Standards and Public PolicyICT Standards and Public Policy

Case example:Case example:The Raven Discussion (1999)The Raven Discussion (1999)

IETF working group on Voice over IPIETF working group on Voice over IP Wiretapping function to be built into Wiretapping function to be built into

Internet standards?Internet standards? Discussion expanded to entire community: Discussion expanded to entire community:

the Raven listthe Raven list Rejected due to “significant and Rejected due to “significant and

unacceptable security risks”unacceptable security risks”

ICT Standards and Public PolicyICT Standards and Public Policy

Thought experiment:Thought experiment:

Designing a Language of LanguagesDesigning a Language of Languages

You are a government concerned You are a government concerned about security. What rules do you about security. What rules do you

built into a language?built into a language?

ICT Standards and Public PolicyICT Standards and Public Policy

Thought experiment:Thought experiment:

Designing a Language of LanguagesDesigning a Language of Languages

Government concerned about security:Government concerned about security: Do not whisper! Do not whisper! Do not speak to loud!Do not speak to loud! Do say your name and location!Do say your name and location! Do not change language without my approval!Do not change language without my approval!

ICT Standards and Public PolicyICT Standards and Public Policy

Thought experiment:Thought experiment:Designing A Language of LanguagesDesigning A Language of Languages

You are a commercial entrepreneur, what You are a commercial entrepreneur, what does your language look like?does your language look like?

ICT Standards and Public PolicyICT Standards and Public Policy

Thought experiment:Thought experiment:Designing A Language of LanguagesDesigning A Language of Languages

Commercial entrepreneur:Commercial entrepreneur: Language for sale onlyLanguage for sale only Commercial breaks will be introducedCommercial breaks will be introduced Trademarked expressions are bannedTrademarked expressions are banned New words only introduced by vendorNew words only introduced by vendor

The ICT ‘language’ realityThe ICT ‘language’ reality Do not whisper! Do not whisper!

► The Raven debate► The Raven debate

Do not speak too loud!Do not speak too loud!►Asymetric transmission standards (DOCSIS)►Asymetric transmission standards (DOCSIS)

Do say your name!Do say your name!►IPv6 and MAC addressing►IPv6 and MAC addressing

Always say your location!Always say your location!►►location sensitive devices (e.g. cellular)location sensitive devices (e.g. cellular)

Do not change language without my approvalDo not change language without my approval►Participation in standard making?►Participation in standard making?

The ICT ‘language reality IIThe ICT ‘language reality II

Language for sale onlyLanguage for sale only ► Proprietary or free standards?► Proprietary or free standards?

Commercial breaks possibleCommercial breaks possible ►OPES ( ►OPES (Open Pluggable Edge Services) Open Pluggable Edge Services)

Trademarked expressions are bannedTrademarked expressions are banned ►ICANN / WIPO Domain Name Process►ICANN / WIPO Domain Name Process

New words only introduced by vendorNew words only introduced by vendor ►Open or closed standards? ►Open or closed standards?

Change is possibleChange is possible

Raven: Raven: rejectedrejected

IPv6 / MAC addressing: made optionalIPv6 / MAC addressing: made optional

DOCSIS: improved in second generationDOCSIS: improved in second generation

Geoprivacy: Geoprivacy: IETF working group IETF working group under wayunder way

► ► All achieved through advocacy and users’ pressureAll achieved through advocacy and users’ pressure

Public Interest Checklist for Public Interest Checklist for StandardsStandards

ContentContent Design principlesDesign principles ProcessProcess

ContentContent““If code is law than standards are the constitution”If code is law than standards are the constitution”

Public values involvedPublic values involved Privacy Privacy

(wiretapping, encryption, authentication)(wiretapping, encryption, authentication) Freedom of Expression Freedom of Expression

(content intermediation, asymetric publishing)(content intermediation, asymetric publishing) User control (digital rights mangement)User control (digital rights mangement) ……

Design principlesDesign principles Co-ordination not uniformizationCo-ordination not uniformization

max. modularity, end-to-endmax. modularity, end-to-end Backwards compatibilityBackwards compatibility Intellectual property practicesIntellectual property practices

RAND: Reasonable and non-discriminatory RAND: Reasonable and non-discriminatory licensinglicensing

► ► Values Values innovation, market access, user control, innovation, market access, user control, investment protection…investment protection…

Process practicesProcess practices TransparencyTransparency Due processDue process AccountabiliyAccountabiliy ParticipationParticipation InclusivenessInclusiveness

LegitimacyLegitimacy

The shake-up of the standard The shake-up of the standard system Isystem I

Change factorsChange factors

LiberalizationLiberalization ConvergenceConvergence Politicization (standards in national ICT Politicization (standards in national ICT

strategy)strategy) CommercializationCommercialization Rapid innovationRapid innovation

The shake-up of the standard The shake-up of the standard system IIsystem II

Change dynamicsChange dynamics

Intergovernmental Intergovernmental → Private→ Private National → InternationalNational → International Post-development → AnticipatoryPost-development → Anticipatory Institutional overlaps and gapsInstitutional overlaps and gaps

Standard makersStandard makers

Professional associations / trade associations Professional associations / trade associations (early 1900)(early 1900)

Formal Standards Developing Organizations Formal Standards Developing Organizations (1930)(1930)

International Standards Organizations (1945)International Standards Organizations (1945) Consortia (1990s)Consortia (1990s) Open source Open source

A mixed bag for public interests A mixed bag for public interests Dominant players in the standard’s processDominant players in the standard’s process

TraditionalTraditional: : telco monopolies: state interests: telco monopolies: state interests: formal process accountability, formal process accountability, oligopolistic marketsoligopolistic markets

Early InternetEarly Internet: : tech community (libertarian tech community (libertarian interests?), interests?), informal meritocracy, open informal meritocracy, open marketsmarkets

Maturing InternetMaturing Internet: stakes rise: commercial interests, : stakes rise: commercial interests, state interests back in, standards qua state interests back in, standards qua market dominance?market dominance?

► ► windows of opportunity but formidable windows of opportunity but formidable challengeschallenges

Taking actionTaking action

Internet Engeneering Taskforce (IETF)Internet Engeneering Taskforce (IETF) *1986, from small community to central *1986, from small community to central

forumforum Open process and participation: drafts Open process and participation: drafts

online, email discussion, anyone can online, email discussion, anyone can participateparticipate

Current issues: Geprivacy, OPESCurrent issues: Geprivacy, OPES

Taking action IITaking action II

World Wide Web Consortium (W3C)World Wide Web Consortium (W3C) *1994*1994 Membership association, fees to Membership association, fees to

participateparticipate Issues: semantic web, P3PIssues: semantic web, P3P

Advocacy StrategiesAdvocacy Strategies Technical competenceTechnical competence Constructive participation and dialogueConstructive participation and dialogue Time and resources (20% of full staff time)Time and resources (20% of full staff time) Different modes of engagementDifferent modes of engagement

Ongoing participationOngoing participation Ad hoc represenationAd hoc represenation Background monitoringBackground monitoring

► ► Strategies: Strategies: pooling, twinning, awareness pooling, twinning, awareness raising, trainingraising, training

First point of callFirst point of call

Center for Democracy and TechnologyCenter for Democracy and Technology

““Standards, Technology, and Policy Standards, Technology, and Policy Project”Project”

http://www.cdt.org/standards/http://www.cdt.org/standards/