23

4. Possible Government Actions:

Conclusions and Recommendations
Because the technologies emerging from the information and biological
revolutions are inherently global, success in governing these technologies
depends upon the ability to enlist all stakeholdersstates, NGOs, interest
organizations, and citizensto cooperate in developing governance norms or
structures. A number of interests intermingle in the applications and governance
of these technologiescommercial, defense, social, individualand these
various interests can be made to work to the advantage of cooperation. This
section describes some of the policy options available to decisionmakers to aid in
governing the technologies the study group examined.
As our RAND colleagues, John Arquilla and David Ronfeldt, point out, in the
economic-legal sphere of governing new technologies, the primary concerns are
commercial.1 The incentives for agreeing on standards are relatively
straightforward. Furthermore, given the overriding interests of many parties in
ensuring safety, efficiency, and security of the flows of information and goods
that can be traded as a result of electronic commerce, cooperation in the
regulatory sphere may depend upon reaching agreement in making substantive
lawagreeing on what constitutes criminal activity on the Internet:
Cooperation may also hinge upon acceptance of a body of
administrative and legal procedure that would establish
jurisdiction and allow enforcement of substantive laws designed to
protect property and other assets, both in and out of cyberspace. In
the information realm, agreement about such matters as
territoriality, extradition, and the notion of hot pursuit may form
a minimum basis for international cooperationespecially in the
area of cyberspace-based territoriality. . . .2
In some cases, law can be decided on a cooperative basis and implemented with
a top-down approach. In other cases, norms governing noncriminal use of the
Internet may actually emerge from practice: Hubermans research has suggested
that a number of these governing functions will emerge from current practice,
________________
1John Arquilla and David Ronfeldt, The Emergence of Noopolitik: Toward an American Information
Strategy, Santa Monica, Calif.: RAND, MR-1033-OSD, 1999, p. 57.
2Arquilla and Ronfledt (1999), p. 57.

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leading to self-regulation of the Internet without having to institute a governing

agent.
In the social arena, primary concerns are more numerous and varied than those
in the commercial realm, making global cooperation more difficult to achieve.
The complexity and speed of technological change in information and
biotechnology suggests that top-down approaches to governance will not work.
Given the difficulty of achieving global consensus on governance in genetic
manipulation, trade in body parts, cloning, implantation of silicon chips,
enhanced intelligence and other emerging technologies, it may be worth sorting
out which of these issues are worth attempting to addressif not directly with
regulation, then in a global dialog to monitor and oversee their use and combat
misuse.
Participants in the study group agreed that a top-down or positivist approach to
governance of these technologies will not work. In the realm of standard- and
norm-setting, a bottom-up, informal approach could prove workable. However,
enforcing regulations across a wide variety of countries is likely to present
problems, especially when top-down intergovernmental mechanisms lack force
or fail because governments are unwilling to pressure one another. Moreover,
the individualistic control of these technologies and their applications and use
make regulation particularly difficult. Given that many decisions about use and
application will be made on an individual basis, it is hard to imagine any
regulatory structure without wide buy-in from the polity.
Accordingly, one approach to making decisions like these might be to use a
distributed decisionmaking model that would involve a significant number of
organizations and users in deciding what technologies should be supported with
research and development funds; what technologies need governance; what the
norms of use and application should be; and if, how, and at what level of
formality technologies should be regulated.

Broader Decisionmaking Models

Two specific alternative governance mechanisms were suggested during the
course of the study group: citizen councils and NGOs.

Citizen Councils
A possible approach to involving a broad swath of the polity in decisionmaking
about technology would be to create citizen councils to provide
recommendations to higher-level, more-formal governing bodies. One model

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might involve aiding the organization of hundreds of citizen councils across the
United States (or even around the world) and encouraging deliberation about
norms of use, regulation, and governance of technology. Using the networking
capacities of information technology, such councils could conceivably deliberate
and share ideas on a series of governance questions in a way that draws toward a
consensus on how to manage and govern technologies.
A centrally organized groupin this case, perhaps, the White House Office of
Science and Technology Policy, National Science Foundation, or a public-private
coalitioncould provide the incentive for convening citizens, provide the council
adequate information with which to deliberate, and be the repository and
clearinghouse for opinions and ideas emerging from the councils.
Citizen councils like this have actually been used quite effectively in Europe. The
mechanism of consensus councils has a long tradition of settling contentious
matters in science. These councils, however, have traditionally been made up of
recognized experts and professionals in the field to be considered, leading one
observer to liken them to a synod of Bishops.3 In the late 1980s, however, the
Danish Board of Technology redefined consensus councils as bodies of lay
citizens that would be convened to consider the evidence on a particular science
or technology issue, participate in public debates, and ultimately provide a
consensus report of their findings and policy recommendations. The purpose of
the process was not to dictate policy but instead to help the legislature
understand where an educated population might stand on an issue before
considering specific policies. The consensus council reports have not only
shaped policies; industries have also used them to craft research agendas to
avoid public opposition that might emerge after they have made significant
investments, when is difficult to change direction.4 This success led to the
engagement of similar processes in the Netherlands, the United Kingdom, and
Australia. 5 A similar citizens panel was convened April 4, 1997, at Tufts
University in the United States to consider the topic of Telecommunications and
the Future of Democracy.6
It may be necessary to determine the proper scale for this sort of public
discussion and consensus, particularly in a country as large and as populous as
________________
3Peter Skrabenek, Nonsense Consensus, Lancet (1990): 1446-1447.
4See Richard E. Sclove, Town Meetings on Technology, Technology Review Vol. 5, 1996, pp. 24
28
5Sclove (1996) and Ian Schibeci, Robin Shaw, and Aidan Davison, Genetic Medicine: an
Experiment in Community-Expert Interaction, Journal of Medical Ethics, Vol. 4, 1999.
6Sarah Hackman, And Now a Word from Your Neighbors, Technology Review, Vol. 6, 1997, pp.
67

26

the United States. Similarly, it would be difficult for 15 people to approximate

the demographics of the entire country. Also, finding a body viewed as
nonpartisan may be difficult in the U.S. context. Still, it seems that this sort of
considered lay opinion has clear advantages for governance that can complement
such mechanisms as opinion polls and expert panels and reports.

Governance by NGO
Another model for future governance came up in James Rosenaus presentation
to a similar study group held in 199819997 and repeatedly in this study group
discussions, was governance by NGO action.8 In numerous recent examples,
NGOs, empowered by low-cost electronic communications, have been able to
bring about outcomes that sovereign nation-states could not easily achieve, either
acting alone or in concert with one another. One case of this was the intervention
that human rights and other activist groups made on behalf of the Indians in
Chiapas, Mexico; the rapid action of the human rights groups forced the hand of
the Mexican government in that instance.9 More recently, Greenpeace and other
international environmentalist groups were able to force Shell Oil to change
policy both in Brent Spar in the North Sea and with respect to Nigeria. Other
advocacy groups induced the sportswear maker Nike to make promises about
the use of child labor. Environmental groups have also been active on a number
of biotechnology issues, such as the dispute over beef hormones.
In each of these cases, the NGOs in question were able to change the behavior of
a large multinational corporation, or in the Chiapas case, the government of
Mexico, in a situation where state action was ineffective. Questions have, of
course, been raised about the true effectiveness of this kind of intervention: Who
will monitor Nike, for example, for compliance with the promises it made on
labor standards? Nonetheless, NGOs have the capability of organizing quickly
and transnationally in ways that avoid the bureaucracy and rigidity of
conventional international organizations.
This model of governance does, however, have a number of problems. The first
concerns legitimacy. One of the reasons that formal government institutions
exist is to confer legitimacy on their decisions; in an age when legitimacy results
from popular consent, democratic institutions, such as legislatures and
________________
7A similar study group was also held in the 19981999 year. James Rosenaus presentation was
based on his book, Turbulence in World Politics: A Theory of Change and Continuity (Princeton:
Princeton University Press, 1990).
8See Jessica Matthews, Power Shift, Foreign Affairs, Vol. 76, 1997, pp. 5066.
9David Ronfeldt and Cathryn L. Thorup, North America in the Era of Citizen Networks: State,
Society, and Security, Santa Monica, Calif.: RAND, DRU-459-RC/FF, 1993.

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parliaments, are broadly accepted as a means of expressing consensus.

Government by NGO, on the other hand, comes about simply as a result of
groups being able to organize themselves effectively, with no requirements for
being representative or promoting the public interest. Many existing NGOs
claim to represent the public interest, of course, and many see themselves as
offsetting the inordinate power of multinational corporations or governments in
the pay of multinationals. But they are self-appointed tribunes of the public
interest, whose actions may or may not correspond to what democratic publics
really want. They are also unaccountable; unlike a democratically elected
legislature that can be turned out of office in the next electoral cycle, NGOs
cannot be removed by popular demand.
A further problem is that the kinds of issues that NGOs can deal with effectively
are limited in many ways. Nike and Shell could be pressured by activist
organizations only because they had large consumer marketing operations that
could be hurt by bad publicity. Companies that sell to other businesses, or which
market unique or difficult to obtain products, would be far less vulnerable to
pressure, and indeed much less open to public scrutiny.

Conclusions
Todays governance structures are challenged by a unique shift from collective
control and hierarchical decisionmaking to individual control and
decisionmaking that will mark the technologies emerging form the dual
revolutions. The very natures of these technologies make regulating and
controlling them particularly challenging. Traditional top-down or positivist
methods of governance will have little influence over how these technologies are
developed, diffused, and assimilated. New governance mechanisms are needed,
and they must emerge quickly, be flexible, and have broad buy-in. The
alternative methods discussed herestandard-setting bodies, citizen councils,
and NGOspresent some options to policymakers considering ways to deal
with these challenges.