迈向全球互联网治理：如何在不牺牲稳定性，自由性或问责制的情况下终止美国对ICANN的控制-研究论文资源-CSDN文库

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Electronic copy available at: http://ssrn.com/abstract=2408226

Towards Global Internet Governance:

How to End U.S. Control of ICANN Without Sacrificing Stability, Freedom or

Accountability

Milton Mueller

Syracuse University - School of Information Studies

Brenden Kuerbis

Syracuse University - School of Information Studies

Abstract:

For 16 years, ICANN has been a US government contractor rather than an independent, multi-stakeholder

governance institution. This special status became increasingly controversial as many stakeholders felt that

it was incongruous to allow one national government to have exclusive authority over aspects of Internet

governance that are critical to all states and all peoples. The Snowden revelations re-ignited indignation

over the privileged U.S. role leading to calls for the “globalization of the IANA functions.” In March 2014

the U.S. Commerce Department announced that it would be willing to end its oversight role and transfer

control of the IANA functions to the “global multistakeholder community.”

The problem of how to create a global governance regime that is neither intergovernmental nor a form of

unilateral hegemony by one government is one of theoretical as well as practical interest. One of the key

obstacles to altering the special U.S. position has been the absence of a viable alternative governance

structure. Many observers have feared that without the tether to the U.S. government, ICANN would be

unaccountable, and also possibly subject to manipulation by other states. This paper addresses a key issue

in Internet governance by setting out a blueprint for the globalization of the IANA functions. It also

provides a supporting analysis by articulating four principles that should guide the transition.

The proposal was originally released in March 2014 as a submission to the “Netmundial” Global

Multistakeholder Meeting on the Future of Internet Governance in Sao Paulo, Brazil, April 23-24, 2014. In

this longer paper, the proposal has been revised in response to feedback received both prior to and at the

meeting. In essence, it proposes to: Structurally separate the IANA functions from ICANN’s policy

process; create a new, independent “IANA Oversight Authority” (IOA) which would assume the

contractual role currently retained by the NTIA.

In addition to describing and justifying the proposal, the paper conducts a stakeholder analysis of the

responses to the IANA transition in the global Internet governance community. It tracks how the

economic and political interests of various stakeholder groups are reflected in their ideas for the

governance of ICANN and IANA.

Electronic copy available at: https://ssrn.com/abstract=2408226

Electronic copy available at: http://ssrn.com/abstract=2408226

Introduction

Non-governmental administration of the domain name system (DNS) was a policy goal of the Internet

Corporation for Assigned Names and Numbers (ICANN) regime from its inception. The 1998

Department of Commerce National Telecommunications and Information Administration (NTIA) White

Paper setting the policy framework for ICANN recognized that “an increasing percentage of Internet

users reside outside of the U.S., and those stakeholders want to participate in Internet coordination.”

The U.S. proposed to globalize the governance of Internet identifiers by delegating authority to a private

sector non-profit, which would govern by means of private contracts. The contracts would reflect

policies made by a multi-stakeholder process - not by national governments or intergovernmental

treaties (NTIA, 1998).

The U.S. failed to complete the transition. For 16 years, ICANN remained a US government

contractor rather than an independent, multi-stakeholder governance institution. But it is incongruous to

allow one national government to have exclusive authority over aspects of Internet governance that are

critical to all states and all peoples. Sensing an opportunity after the Snowden revelations, the Directors

of all the major Internet organizations agreed. In October 2013, ICANN, the Internet Engineering Task

Force, the Internet Architecture Board, the World Wide Web Consortium, the Internet Society, and all

five of the regional Internet address registries issued a statement calling for “the globalization of ICANN

and IANA functions, towards an environment in which all stakeholders, including all governments,

participate on an equal footing.” Addressing this development, the Internet Governance Project released

its proposal detailing a globalized IANA governance structure March 3, 2014.

Less than two weeks later, the NTIA announced its intent to “transition key Internet domain

name functions to the global multistakeholder community” (NTIA, 2014). Domain name functions are

but one part of the broader IANA functions, defined by a U.S. Commerce Department contract which

has been awarded to ICANN and expires in September 2015. The IANA functions consist of three

distinct areas: DNS root zone management, Internet numbers (IP address) allocation, and protocol

parameter registry maintenance. There are also two minor functions (operation of the .ARPA and .INT

top level domains). Claiming that ICANN was uniquely positioned to do so, NTIA asked the

organization “to convene global stakeholders to develop a proposal to transition the current role played

by NTIA in the coordination of the Internet’s domain name system (DNS).” ICANN has since initiated

two processes, one focused on the IANA functions transition and a second on enhancing the

accountability of ICANN as a whole.

This paper has four sections. It first reviews the IANA functions that the NTIA has proposed to

yield control of. Second, it reviews stakeholder reaction to the proposed IANA transition process.

Third, drawing upon these observations and from our original proposal, we formulate four principles that

should guide any proposals for the transition. Finally, we provide a revised proposal for the most

Milton Mueller & Brenden Kuerbis, Roadmap for Globalizing IANA: Four principles and a proposal for

reform. Internet Governance Project, March 3, 2014.

http://www.internetgovernance.org/2014/03/03/a-roadmap-for-globalizing-iana/

https://www.icann.org/en/about/agreements/iana/contract-01oct12-en.pdf

Electronic copy available at: https://ssrn.com/abstract=2408226

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