OPEN SYSTEMS IN PRACTICE AND THEORY: THE SOCIAL CONSTRUCTION OF PARTICIPATORY INFORMATION NETWORKS A Dissertation Presented to the Faculty of the Graduate School of Cornell University In Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy by Shay David May 2008 © 2008 Shay David OPEN SYSTEMS IN PRACTICE AND THEORY: THE SOCIAL CONSTRUCTION OF PARTICIPATORY INFORMATION NETWORKS Shay David, Ph.D. Cornell University 2008 Over the last several years there has been a dramatic shift in the role of amateurs, volunteers and hobbyists as it pertains to the production, distribution and use of information and communication technologies. The work presents four case studies that explore this transition and aim to explain how and why large-scale, participatory systems that are open to volunteer contribution are becoming important in our time. The cases include: (1) Linux, a free computer operating system, that is disrupting proprietary software models (2) BiOS, an initiative that aims to import participatory models into the life sciences; (3) the American Radio Relay League, a volunteer organization that connects radio hams in order to relay messages from coast to coast; and (4) the Ground Observer Corps, a cold-war paramilitary organization that uses volunteers as human radars for detecting enemy aircraft. The dissertation explores continuities and discontinuities between these systems and traditional information networks, develops the analytic term ‘open systems’, and builds an explanatory framework that shows how relevant social groups who negotiate laws, norms, markets, and technical architectures, or code, effect the social construction of these systems. The work uses this framework to explore the clashes between the ideologies of openness and enclosure. iii BIOGRAPHICAL SKETCH Shay David was born in Israel, and grew up in Israel and California, alternately. He is interested in the complex interconnections that exist among technology and ideology, language and legitimation, authority and assimilation, expertise and reputation. Shay holds a B.Sc. in Computer Science and a B.A. in Philosophy, Magna Cum Laude, from Tel-Aviv University, and an M.A. from New York University where his interdisciplinary research thesis focused on the political economy of free and open source software and file sharing networks. Shay is also a fellow at The Information Society Project at the Yale Law School, where he contributes to policy making in the area of Access to Knowledge. Shay is an entrepreneur who co-founded two software start-up companies, and was involved for several years in software research, design, and development, combining open source and proprietary software. He shares his time between Ithaca, New Haven and New York City, where his wife Ofri, who is an exhibiting video artist, is working on several large-scale art projects. iii ACKNOWLEDGEMENTS As the poem goes, when I set out on my journey to Ithaca, I prayed that the road is long, full of adventure, and full of knowledge. I realized along the way that the journey towards a PhD was also a surefire route to accumulation of great personal and intellectual debt. Indeed my lenders are many and I hope to be able to repay them one day; I want to start by acknowledging the many people without whom my work would not have been possible. My interest in ‘open systems’ started while I was still at NYU working with Riaz Khan and Stefan Helmreich as I was writing my MA thesis on the political economy of free software. Both Riaz and Stefan provided invaluable lessons as I was making my first steps in primary research. Several years later, NYU proved a fertile ground for a less formal study/support group in which Biella Coleman, Joseph Reagle, Samir Chopra, Jelena Karanovic, and myself would get together to rant about life as ABDs and exchange ideas about Open Source, Open Systems, Free Software, and other such delights. This groups’ feedback on early drafts of my work, from the outline to the chapters, as well as the generous sharing of their own ideas, has provided me with a wonderful opportunity to expand my work. Also at NYU, I’ve benefited tremendously both as a speaker and a participant in Helen Nissenbaum’s ITS Colloquium series. This forum provided yet another occasion for exchanging ideas about how information technology and society interact, and Helen’s comments on several of my earlier works was instrumental to the development of my ideas about accountability in open systems. At the same round-table I have also met Gaia Bernstein, who have since become an esteemed colleague and also a great friend with whom I often discuss the complex set of issues that intersect S&TS and legal scholarship. iv When I first came to Cornell I was lucky enough to be part of what must be the best cohort ever to set foot in Ithaca. Alan Dafoe, Lisa Onaga, Joseph ‘Jofish’ Kaye, and Janet Vertesi were not only my partners in crime at the ‘Dinner Club of 2008’ which provided solace from the travails of student life, but also true friends without whom Ithaca could never be the same (Swedish Saunas in snowy February nights notwithstanding.) My gratitude extends to the rest of the Cornell community as well, including both the S&TS department and the Information Science program. In both of these communities I have always found intellectual stimulus in talks, lectures, conferences, and events, as well as bighearted friendship. I owe special gratitude to Anat Nidar-Levi and Rosemary Adessa over at 301 College Avenue, and Stacy Sullivan, Judy Yonkin, and Debbie Van Galder at Rockefeller, for providing me endless and generous administrative support. The many rides between New York City and Ithaca that I shared with Josh Greenberg, were an occasion for long ruminations about S&TS, and the beginning of a great friendship. Adelheid Voskuhl and Nab Sharif were also inspirational for me. When the time came to do my fieldwork, I was supported by a National Science Foundation dissertation completion grant (award number SES-0551426), and I am thankful to the NSF, John Perhoni, the program officer, and anonymous reviewers for their trust in me. Many other people helped me get the fieldwork done. Tab Lewis and Ken Schlessinger at the National Archives at College Park went way beyond the call of duty in helping me gather material for my case study on the Ground Observer Corps, and so did David J. Haight, at the Dwight D. Eisenhower Presidential Library. Perry Williams, W1UED, an avid ham and the American Radio Relay League’s chief archivist, was an invaluable source for my case on the ARRL. I owe special debt to Richard Poynder, who shares many of my research interests and interviewed many of my interviewees, for making his sources available to me. My v longtime friend Assaf Distelfeld was a wonderful teacher during a crash-course in molecular biology. Of course, I could not have completed this project without the willing support of my many interviewees. All of them inspire me in their endless dedication to their cause, more often than not as volunteers. Of this group two individuals stand out. Richard Stallman, the originator of free software, who is both a lead programmer and a community builder, and Richard Jefferson, who has spent the last two decades bringing the open methods to agricultural innovation. Both Richards have been generous to me and forthcoming in sharing their wisdom and knowledge and were always tolerant to my sometimes-penetrating questions. Throughout my project I have been working with four of the most supporting and caring faculty members Cornell could offer. As my mentors and committee members, Trevor Pinch, Ron Kline, Geri Gay, and particularly my adviser, Phoebe Sengers, provided guidance, discipline, and feedback, without which my project could not have come to fruition. I took inspiration from their diverse research and writing and have always found pleasure in our many one-on-one and group interactions. Each of them shaped my project in different ways, and the sum of their influence allows my research to be as interdisciplinary as it is, and for that I am grateful. Other faculty at Cornell, including Carl Lagoze, Jeff Hancock, Michael Lynch, and Bruce Lewenstein, gave me valuable feedback and useful comments on some of my earlier work. Tarleton Gillespie was a valued mentor throughout my project, and his detailed comments, large and small, on various aspects of my work were always useful and thought provoking. Three years ago, my good friend Shlomit Wagman invited me to give a guest lecture over lunch at the Yale Law School Information Society Project. This fateful invitation became an intellectual adventure as I became a fellow of the ISP and moved vi to Yale. At the Yale Law School, Both Yochai Benkler and Jack Balkin, in their writing and during our personal interactions, have helped me re-discover normatively and shape my ideas. I was fortunate to share an office with Eddan Katz who stewarded the ISP in a period of dizzying activities and rapid growth while always finding the time and attention of a close friend. Amy Kapczynski, Katherine McDaniel, Shyam Balganesh, Hong Xue, David Tannenbaum, Lea Shaver, Laura DeNardis, Laura Forlano, Michael Zimmer, James Grimmelmann, and Mike Godwin as well as Pascale Mathieu and the rest of the ISP family provided role models for passionate academic pursuits that are committed to real-world change. Together I hope we made a difference for the future of Access-to-Knowledge. In many ways this work is a result of my parents commitment to excellence. From an early age they encouraged me to be curious and inquisitive, to pay attention to my environment, ask hard questions, and follow my interests, wherever they led.