Joined-up government and privacy in the United Kingdom: managing tensions between data protection and social policy. Part II

The tension between the goals of integrated, seamless public services, requiring more extensive data sharing, and of privacy protection, now represents a major challenge for UK policy‐makers, regulators and service managers. In Part I of this article (see Public Administration volume 83, number 1, pp. 111–33), we showed that attempts to manage this tension are being made at two levels. First, a settlement is being attempted at the level of general data protection law and the rules that govern data‐sharing practices across the public sector. We refer to this as the horizontal dimension of the governance of data sharing and privacy. Secondly, settlements are also being attempted within particular fields of public policy and service delivery; this we refer to as the vertical dimension. In this second part, we enquire whether risks to privacy are greater in some policy sectors than others. We do this, first by showing how the Labour Government's policy agenda is producing stronger imperatives towards data sharing than was the case under previous administrations in three fields of public policy and services, and by examining the safeguards introduced in these fields. We then compare the settlements emerging from differing practices within each of these policy sectors, before briefly assessing which, if any, principles of data protection seem to be most at risk and in which policy contexts. Four strategies for the governance of data sharing and privacy are recapitulated – namely, seeking to make the two commitments consistent or even mutually reinforcing; mitigating the tensions with safeguards such as detailed guidelines; allowing privacy to take precedence over integration; and allowing data sharing to take precedence over privacy. We argue that the UK government has increasingly sought to pursue the second strategy and that the vertical dimension is, in practice, much more important in defining the settlement between data sharing and privacy than is the horizontal dimension. This strategy is, however, potentially unstable and may not be sustainable. The conclusion proposes a radical recasting of the way in which the idea of a ‘balance’ between privacy and data‐sharing imperatives is conceived.     

Joined-up government and privacy in the United Kingdom: managing tensions between data protection and social policy. Part I

The Labour government that came to power in the United Kingdom in 1997 made much of its commitment to ‘joined‐up working’, by which it meant horizontal integration between policies and co‐ordination across services. The particular manner in which it pursued this commitment has led to growing pressure for the sharing of citizens’ personal information among public service agencies. Yet at the same time, Parliament was engaged in implementing the European Data Protection Directive with a new Data Protection Act and the Government was honouring its manifesto commitment to bring the European Convention on Human Rights – including its enshrined right to private life – into domestic law. Government has therefore been obliged to find ways of managing the potential tension between these commitments. There are two analytically distinct dimensions to the arrangements through which this is being attempted. First, the horizontal dimension consists in initiatives that apply across all policy fields, and includes the establishment of cross‐governmental guidelines for implementing data protection law as well as the development of national policy on sharing personal data between public services. In 2002, the government published a major policy paper on data sharing and privacy. By late 2003, its approach to the need for legislation had changed sharply. The second analytically distinct dimension, the vertical dimension, consists in the laws, codes and norms developed in specific policy fields to govern relationships between data sharing and privacy within those fields. This two‐part article discusses these arrangements. Part I analyses the horizontal dimension of the governance of data sharing and privacy. Part II (published in the next issue) examines the vertical dimension in three fields in which tensions between data sharing and privacy have come to the fore: community safety, social security and NHS health care. Four options for the governance of data sharing and privacy are analytically distinguished: (1) seeking to make the two commitments consistent or even mutually reinforcing; (2) mitigating the tensions with detailed guidelines for implementation; (3) allowing data sharing to take precedence over privacy; and (4) allowing privacy to take precedence over data sharing. The article argues that, despite its strong assertion of (1), the government has, in practice, increasingly sought to pursue option (2) and that, in consequence, the vertical dimension has become much more important in shaping the relationship than the horizontal dimension. The articles argue, however, that option (2) is a potentially unstable strategy as well as being unsustainable.     

INFORMATION‐SHARING AND CONFIDENTIALITY IN SOCIAL POLICY: REGULATING MULTI‐AGENCY WORKING

In recent years, there has been growing concern in the UK that local services aimed at risky or vulnerable people are ineffective, because of agencies’ persistent failure to share information about their clients. Despite considerable national policy effort to encourage better information‐sharing, previous research indicates that there are many cases where information is still not shared when it should be, or where it is shared when it should not be, with potentially devastating results. This article uses data from the largest empirical study of local information‐sharing yet undertaken to examine four policy sectors where multi‐agency working has come to the fore. It shows that variations in their information‐sharing and confidentiality practices can be explained by neo‐Durkheimian institutional theory and uses insights from this theory to argue that current policy tools, which emphasize formal regulation, are unlikely to lead to consistent and acceptable outcomes, not least because of unresolved conflicts in values and aims.     

COMMITTEE SCRUTINY WITHIN A CONSOCIATIONAL CONTEXT: A NORTHERN IRELAND CASE STUDY

This article considers non‐legislative committee scrutiny at the Northern Ireland Assembly. The core question is: How is such committee scrutiny diminished through the consociational/power‐sharing context? The question is assessed in terms of three phases – selection, obtaining evidence, and evaluative – and through eight specific claims. Consideration is also given to the context of the absence of a formal opposition, ways in which politicians can circumvent consociational constraints, and connections to the current reform agenda at the Assembly. Overall, the study identifies significant support for the claims in terms of practice at the Assembly and suggests that these findings offer opportunities for other scholars to develop further the literature on consociational governance. There is also a clear association with wider issues of the balance of power between legislatures and executives more generally.     

THE EU COMITOLOGY SYSTEM: WHAT ROLE FOR THE COMMISSION?

The literature on comitology has largely ignored the European Commission's actual behaviour in the daily workings of the numerous comitology committees that were designed to control it. On the basis of survey data of Danish and Dutch representatives on nearly all comitology committees, this paper investigates the Commission's role in the system. We find that the Commission acts both as a mediator and as a policy advocate, but to varying degrees. We take a first step towards understanding this behaviour by an inspection of four arguments found in the literature on comitology and the Commission: the constraining or enabling impact of the comitology procedures; the institutional position of the responsible Directorate‐General; the nature of the cases dealt with by the committees and, finally, the intensity of the member states' preferences in relation to the committees' cases. In comitology, each of these arguments shapes the mediating or the advocating behaviour of the Commission.     

THE INSTITUTIONALIZATION OF EU AGENCIES: AGENCIES AS ‘MINI COMMISSIONS’

A stream of reviews that take stock of EU governance trends shows that the EU's governance agenda produces mixed results. EU agencies are part of the EU's search for new governance mechanisms. They have not proven to be a break with EU policy‐making processes – underpinning administrative stability rather than reform. This article explores the institutionalization of EU agencies. Using the case of the EU's human resources (HR) policy, it concludes that administrative details are important in order to understand the development of EU agencies turning into institutions. The influence of the EU's institutional environment on their operations is so strong that they must operate as ‘mini Commissions'. This tight control hinders their institutionalization.     

The future UN development agenda: contrasting visions,contrasting operations

‘Sustainable development’ – as currently and politically correctly formulated – provides an inappropriate basis on which to frame a future-oriented UN agenda, and risks perpetuating patterns of assistance in which most UN organisations perform poorly and in the shadow of alternative and more able multilateral and bilateral sources. UN operations should take as their point of departure the comprehensive agenda outlined by the two world summits of 2000 and 2005. This agenda recognises the value-based UN as the only universal-membership organisation, which combines the concerns of satisfying human needs while ensuring security, human rights, justice and sound governance. The post-2015 agenda should not look only at development and environment but aspire to what a million global voices canvassed by the UN in ‘the world we want’ campaign are clamouring for.     

From Corporate Governance to Local Governance: Stakeholder‐Driven Community Score‐Cards for UK Local Agencies?

Abstract

This paper compares the methodology of the “comprehensive performance assessment”, recently proposed by the Audit Commission for all UK local authorities, with the “community score‐card” approach which has been used in the United States of America for a number of years. It suggests that the Audit Commission approach should be altered to take on board some of the more imaginative aspects of the community score‐card, particularly in relation to the inclusion of those quality of life measures, which local people regard as important, and measures of the quality of local governance.     

THE SEPARATION/SPECIFICATION DILEMMA IN CONTRACTING: THE LOCAL GOVERNMENT EXPERIENCE IN VICTORIA

This article draws on evidence from case studies of local government contracting in the Australian state of Victoria. It argues that one of the key elements of competitive tendering – the separation of purchasers from providers – undermines another of its essential mechanisms – the specification of services – at the point where previously in‐house services are exposed to competition. The managers who are to become purchasers lack the requisite knowledge of services, which instead resides in the minds of the service delivery staff whose work is to be subjected to competitive processes. Separating purchasing from service‐provision ‘distances’ the staff from the managers, impairing employees’ willingness to share the relevant information. At the same time, the introduction of competition increases the probability that staff will withhold that knowledge, and makes it harder on probity grounds to maintain the type of collaborative relationship which might overcome their reluctance to share it.     

The Civil Servant as Legislator: Law Making in British Administration

How are government policy commitments converted into legislation and what happens in the conversion? The role of civil servants in preparing legislation is far more important than is generally assumed. By looking at the work of four recent bill  teams in Britain – teams of civil servants given the task of developing Acts of Parliament – their crucial roles in initiating policies, placing them on the political agenda (even helping secure their place in a party manifesto), developing them, making sure they pass through parliament and enacting them once they have reached the statute books are assessed. The article explores the composition and working methods of bill teams. These teams work with considerable autonomy in developing legislation, but it cannot be assumed that they operate outside ministerial control. Teams see themselves as reflecting the priorities of the government in general and their ministers in particular. Yet ministers typically know relatively little about the law they are bringing in until they receive the submissions and briefings from their officials. Perhaps the biggest danger for democracy is not a civil service putting forward proposals which a minister feels forced to accept, but rather that ministers do not notice or fully appreciate what is being proposed in their name despite having the political authority to change it and a civil service which bends over backwards to consult and accommodate them.     

Coordinated European Governance: Self‐Organizing or Centrally Steered?

Now that it is widely accepted that the European Union (EU) constitutes a system of governance, analysts need actively to explore precisely how it may affect the continuing struggle better to coordinate national and European administrations. In its 2001 White Paper on governance, the European Commission interpreted governance to mean less central control and more network-led steering. Its interpretation of such networks is that they are self-organizing. Drawing upon an empirical study of environmental policy integration (EPI) in the EU, this article shows that this vision may not adequately fit the multi-actor, multi-level coordination challenges associated with some EU problems. By studying the administrative capacities that the European Commission and three member states have created to achieve better environmental coordination, this article shows significant administrative weaknesses. It concludes that the coordination challenges now troubling the EU require a more thoughtful discussion of network management than the White Paper suggests.     

Anthropo-Technology

Information in our era of networks and genome maps, according to Sloterdijk, binds man and his tools that transform nature into one operative system. This “post‐metaphysical” condition not only tends to abolish the separation between the subjective person and “objective spirit,” but the distinction between culture and nature as well. For Sloterdijk, one co‐intelligent system now encompasses subject and object, culture and nature. This information ecology gives man a new fused identity with the other, with his world and his tools. He is no longer an identity apart. Such a civilization of co‐intelligent “anthropo‐technology” requires an entirely new perspective on ethics. For Sloterdijk, today's passionate debates over man's domination of nature or technology's domination of man miss the point because they are fearfully rooted in the obsolete master‐slave dichotomy that holds such a hallowed place in Western philosophy. As Sloterdijk sees it, this dichotomy, based as it was on the opposition between subject and object and between culture and nature, needs to be updated: In our time, master and slave are dissolved in the advance of intelligent technologies whose operability is non‐dominating. One can only talk about self‐manipulation, not slavery; not about a master, but about self‐mastery. Unleashing the basic force of nature against the people of Hiroshima may have been possible prior to the information revolution when “allo‐technology” (the division between man and machine) still predominated. But, the anthropo‐technology of the post‐metaphysical 21st century, Sloterdijk contends, holds out a generous promise. In this system bound together by information feedback and artificial intelligence, the preservationist instinct of the co‐beneficiaries of co‐intelligence will limit the destructive acts of anthropo‐technology against itself. Between the lines, Sloterdijk even seems to suggest that the “astraying” fate of alienated Being may at last find its dwelling place rejoined with nature and the world. In May 2000, Sloterdijk gave lectures at the Goethe Institute in Boston and in Los Angeles that covered these topics. Some excerpts appear below. — NATHAN GARDELS , editor     

Equal Contributions and Unequal Risks in a North-east Thai Village Funeral Society

Village funeral societies in north-east Thailand collect equal contributions from all participating households, even though some households are much more likely to experience deaths and receive money from the funeral society than others. The societies' use of the equal contributions rule is not an outcome of the asymmetric distribution of information on risks. It reflects, instead, an ambivalence over the relevance of expected returns, a willingness to subsidise fellow villagers, and the need to maximise simplicity and transparency to safeguard against mismanagement and corruption. The equal contributions rule is efficient, in that it leads to low administrative costs, has no clearly superior alternatives, and creates only minor adverse selection.     

EXPIATING EVIL: REFLECTIONS ON THE DIFFICULTIES OF CULTURAL,ORGANIZATIONAL AND INDIVIDUAL REPARATION

Evil actions by human beings show little sign of diminution as the twenty‐first century unfolds. Evil can be defined as the knowing infliction of pain and suffering – physical and/or psychological – on another human being. It can be perpetrated by individuals, by organizations, and by nation states, among others. It can take the form of administrative evil, in which people participate in acts of evil while thinking they are just doing what they should be doing in their organizational role. Under conditions of moral inversion, evil can be engaged in under the guise of doing good. While some aspects of evil’s aftermath are clear enough through the trail of mass graves, broken bodies and lives, and trans‐generational reverberations, the possibilities of expiating evil, including administrative evil, through processes of forgiveness, reconciliation and reparation, especially on the part of organizations and states, remain under‐explored. This article begins that exploration.     

Networks in the Policy Process: An International Perspective

Abstract

This article (and more broadly this special issue) indicate that various types of policy networks, including governance networks, social networks, proto‐networks, and issue networks are defining the way that policy processes take place in various parts of the world. By focusing on network behavior in Africa, eastern Europe, and Denmark, it is clear that interorganizational cohesion, accesibility, trust generation, and “framing” issues are central to understanding network policy outcomes. Important implications regarding links between network characteristics and democracy are also suggested.     

The Audit Commission: guiding, steering and regulating local government

How does the non‐executant state ensure that its agents are fulfilling their obligations to deliver nationally determined policies? In the case of elected local government in England and Wales, this function is carried out by the Audit Commission (AC) for Local Authorities and the Health Service for England and Wales. Since being established in 1983, it is the means by which local authorities are held to account by central government, both for its own purposes and on behalf of other interested stakeholders. Although the primary function of the AC is to ensure that local authorities are fulfilling their obligations, it does so by using different methods. By acting as a regulator, an independent expert, an opinion former and a mediator, the AC steers local authorities to ensure that they are compliant with the regulatory regime and are implementing legislation properly.     

UNEXPECTED ADVANTAGES OF LESS ACCURATE PERFORMANCE MEASUREMENTS. HOW SIMPLE PRESCRIPTION DATA WORKS IN A COMPLEX SETTING REGARDING THE USE OF MEDICATIONS

In this paper we argue that performance measurement can be done better by general, less accurate measurements than by complex – and possible more accurate – ones. The conclusions of this study are drawn from a case study of the Dutch Foundation for Effective Use of Medication. While most studies about performance measurements focus on the management of public service organizations, this case study – informed by the literature from Science and Technology Studies – focuses on the active role of the measurements themselves. In the paper we show that indicators do not have to be as complex as the practices they represent – as long as they are part of a chain of intermediary data that allow travelling from the general or simple indicators to detailed data in day‐to‐day practices and vice versa. Furthermore, general indicators enable stakeholders to obtain distance from each other. Rather than the involvement of stakeholders, it is this reflexive distancing that explains the degree of compliance to performance measurement and thereby the prospect for effective co‐governance.     

Task Environment Matters for Intra-ministerial Change: The Interaction of International Environment,Organizational and Opportunity Factors

Why, how, and when does intra-ministerial change take place? Previous answers to these questions suggest that political factors, such as cabinet reshuffling, are the most decisive drivers of inter-ministerial change. By contrast, this article begins with a distinction between the mechanism responsible for intra-ministerial and inter-ministerial change of ministries, the latter discusses which of these has been given more attention in previous research. Data covering the intra-ministerial change of 11 ministries in Germany between 1949 and 2006 can demonstrate that environmental as well as organizational factors are decisive in order to explain the timing and type of intra-ministerial change. The main finding is that a clearly definable threshold of tasks, organizational units, and a horizontal dispersion of jurisdictions – all of which react to the international environment – can explain intra-ministerial change in German ministries.     

ARE STREET‐LEVEL BUREAUCRATS COMPELLED OR ENTICED TO COPE?

Traditional studies of street‐level bureaucrats see the bureaucrat’s behaviour as a kind of self‐defence – a way to minimize negative aspects of the job and thereby job frustration. I argue – and empirically show – that it is equally relevant to consider at least part of street‐level bureaucrat behaviour as positively motivated – as a way of maximizing job satisfaction. Behavioural mechanisms such as coping are not just a way to avoid frustration, but also a way to gain satisfaction. This becomes clear when we attempt to explain differential treatment among regulated companies.     

THE REFORM OF FINANCIAL MANAGEMENT IN THE EUROPEAN COMMISSION: A PUBLIC MANAGEMENT POLICY CYCLE CASE STUDY

Since the mid‐1990s during the Santer, Prodi, and Barroso presidencies, the European Commission has experienced several public management policy cycles. Included on the Barroso Commission's (2004–2008) policy agenda was the reform of internal financial control, prompted by significant irregularities in budget execution signalled repeatedly by the European Court of Auditors (ECA) in its annual Declaration of Assurance (DAS) and Annual Reports. This led to a declared Barroso Commission strategic objective of achieving a ‘positive DAS' by 2009. The proposed solution was ‘integrated internal control’ based on an international reference point within the accounting and auditing professions. The result was a centrally co‐ordinated Commission project aiming to reform management and audit practices within both the Commission and EU member states. This article reports on the ‘positive DAS' and ‘integrated internal control’ policy cycle and explains its agenda‐setting, alternative‐specification, and decisional processes.