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Surveillance as a Service? On the Use of Surveillance Data for Administrative Purposes

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European Data Protection: Coming of Age

Abstract

For law enforcement purposes, authorities may either use a method of indiscriminate control or an investigative approach aimed at (finding) a particular suspect of law-breaking behavior. By applying data matching technologies, indiscriminately collected surveillance data are combined with data from other sources to select individual citizens. Inspired by insights from behavioral research, these citizens may be proactively approached in order to steer them towards desired behavior. The authorities present their communications as a service. However, selecting and addressing individual citizens tends towards investigative practices without the demonstration of any law-breaking behavior, thus straining legal certainties related to the distinction between control and investigation. Practical examples are provided through three case studies, and a number of procedural improvements are suggested to reduce the potentially intimidating character of the practices.

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Notes

  1. 1.

    Sameer van Alfen, “Fiscus Bespioneert Leaserijders,” De Telegraaf, February 11, 2011. See also Jasper Sluijs, “The Dutch Tax Authority and Lease Car Fraud: Institutionalized Intimidation,” TILT blog, February 28, 2011, http://vortex.uvt.nl/TILTblog/?p=291

  2. 2.

    David Lyon, Surveillance Studies: An Overview (Cambridge: Polity Press, 2007).

  3. 3.

    See e.g., Maria Los, “Looking into the Future: Surveillance, Globalization and the Totalitarian Potential,” in Theorizing Surveillance – the panopticon and beyond, ed. David Lyon, (Cullompton, UK: Willan Publishing, 2008), 69–94.

  4. 4.

    Income Taxation Act 1964 (Wet Op De Loonbelasting 1964).

  5. 5.

    The company car drivers thus have to produce surveillance data on their vehicle use, which in itself can be said to put a burden of bureaucratic precision on individual citizens.

  6. 6.

    In Dutch: “Verklaring geen privégebruik auto”. For a downloadable copy of the statement see: http://download.belastingdienst.nl/belastingdienst/docs/aanvraag_lh_verklaring_geen_privegebruik_auto_lh0551z3fol.pdf

  7. 7.

    The introduction of mass surveillance to verify data supplied by drivers and to then hold them accountable for behavior that is not represented in the disclosed data would only increase the burden mentioned in supra 5. It may lead to self-disciplining of citizens, an effect described in e.g. Michel Foucault, Discipline and Punish: The Birth of the Prison (London: Penguin Books, 1991).

  8. 8.

    Cabinet Office and National Fraud Authority, Eliminating Public Sector Fraud: The Counter Fraud Taskforce Interim Report (2011), at Annex 2.

  9. 9.

    Alice Hutton, “Hidden Cameras on All Routes in,” Royston Weekly News, March 25, 2011.

  10. 10.

    Angus Batey, “Welcome to Royston … You’re under Surveillance,” Guardian, June 29, 2011.

  11. 11.

    S.A. Mathieson, “Privacy Groups Take Royston’s ANPR Plans to ICO,” Guardian, June 10, 2011.

  12. 12.

    Charles Farrier, Simon Davies, and Daniel Hamilton, “Complaint Letter to the Information Commissioner Concerning Royston ANPR “Ring of Steel”,” June 7, 2011.

  13. 13.

    Information and Privacy Commissioner/Ontario, “Privacy Investigation: The Toronto Police Service’s Use of Mobile Licence Plate Recognition Technology to Find Stolen Vehicles,” (2003).

  14. 14.

    Richard H. Thaler and Cass R. Sunstein, Nudge: Improving Decisions About Health, Wealth, and Happiness, 1st ed. (Yale University Press, 2008).

  15. 15.

    See e.g., Christine Jolls, Cass R. Sunstein and Richard H. Thaler, “A Behavioral Approach to Law and Economics,” Stanford Law Review 50 (1997): 1471–1550.

  16. 16.

    For a brief outline of the methodology of behavioral economic research, see: George Loewenstein, “Experimental Economics from the Vantage-Point of Behavioural Economics,” The Economic Journal 109, February (1999): F25–F34.

  17. 17.

    Richard H. Thaler and Cass R. Sunstein, “Libertarian Paternalism,” The American Economic Review 93 (2003): 175–179.

  18. 18.

    David Wintour, “David Cameron’s ‘Nudge Unit’ Aims to Improve Economic Behaviour,” Guardian, September 9, 2010.

  19. 19.

    Gus O’Donnell, “Applying Behavioural Insights,” Cabinet Office, accessed November 29, 2011, http://www.cabinetoffice.gov.uk/content/applying-behavioural-insights.

  20. 20.

    Peter Kooreman and Henriëtte Prast, “What Does Behavioral Economics Mean for Policy? Challenges to Savings and Health Policies in the Netherlands,” De Economist 158, no. 2 (2010): 101–122.

  21. 21.

    Cabinet Office Behavioural Insights Team, “Behavioural Insights Team Annual Update 2010–2011,” 2011.

  22. 22.

    Cabinet Office Behavioural Insights Team, “Behavioural Insights Team Annual Update 2010–2011,” 2011, p. 17.

  23. 23.

    Australian Government, “Data-Matching Program (Assistance and Tax) Act 1990,” C2006C00591, 1990.

  24. 24.

    “Ultimately, improving data matching will help us to better measure the effectiveness of multiple programs, and more efficiently target resources to achieve goals like promoting more work and earnings, reducing poverty, and ending dependence on government benefits. These are goals that we should all agree on.”, U.S. House of Representatives, Committee on Ways and Means, Human Resources Subcommittee Hearing on the Use of Data Matching to Improve Customer Service, Program Integrity, and Taxpayer Savings, March 11, 2011.

  25. 25.

    C. Pierson, The Modern State. (London: Routledge, 2004), pp. 4–26.

  26. 26.

    J. Alder, Constitutional and Administrative Law. (Hampshire: Palgrave Macmillan, 2005), pp. 94–95.

  27. 27.

    K.H.F. Dyson, The State Tradition in Western Europe; A Study of an Idea and Institution. (Oxford: Martin Robertson, 1980), p. 223.

  28. 28.

    M.C. Burkens et al., Beginselen Van De Democratische Rechtsstaat. 5th ed. (Deventer: W.E.J. Tjeenk Willink, 2001), p. 18.

  29. 29.

    M.C. Burkens et al., Beginselen Van De Democratische Rechtsstaat. 5th ed. (Deventer: W.E.J. Tjeenk Willink, 2001), p. 26.

  30. 30.

    K.H.F. Dyson, The State Tradition in Western Europe; A Study of an Idea and Institution. (Oxford: Martin Robertson, 1980), p. 223.

  31. 31.

    G.J.M. Corstens, Het Nederlands Strafprocesrecht, 3rd ed. (Deventer: Gouda Quint, 1999), p. 21.

  32. 32.

    G.P.A. Aler, De Politiebevoegdheid Bij Opsporing En Controle (Zwolle: W.E.J. Tjeenk Willink, 1982), p. 4 and 30.

  33. 33.

    G.J.M. Corstens, Het Nederlands Strafprocesrecht, 3rd ed. (Deventer: Gouda Quint, 1999), p. 22.

  34. 34.

    G.P.A. Aler, De Politiebevoegdheid Bij Opsporing En Controle (Zwolle: W.E.J. Tjeenk Willink, 1982), p. 29.

  35. 35.

    G.J.M. Corstens, Het Nederlands Strafprocesrecht, 3rd ed. (Deventer: Gouda Quint, 1999), p. 15.

  36. 36.

    In a similar fashion, speed cameras are used as a tool to enforce speed limits and to catch speeding incidents, Both approaches qualify as control measures, because all cars within reach of the cameras are recorded for a specific purpose that has been defined in advance.

  37. 37.

    See e.g., Christine Bellamy, “Alive and Well? The ‘Surveillance Society’ and the Coalition,” Public Policy and Administration 26, no. 1 (2011): 149–55, and Wetenschappelijke Raad voor het Regeringsbeleid. iOverheid (Amsterdam: Amsterdam University Press, 2011).

  38. 38.

    In Dutch: handeling.

  39. 39.

    Statistical inference using data collected through surveillance may result in social sorting, discrimination and accumulated disadvantage. See e.g., Oscar H. Gandy, “Quixotics unite! Engaging the pragmatists on rational discrimination,” in Theorizing Surveillance - the panopticon and beyond, ed. David Lyon, (Cullompton, UK: Willan Publishing, 2008), 318–336. In this particular case, the subgroup of people who visit IKEA on Sundays is also more intensively scrutinized as a result of the classification process described. The societal effects are however less prevalent, because the subgroup is less susceptible to future discrimination.

  40. 40.

    In Dutch: “Voor een strafbaar feit moet sprake zijn van een feit, dat in strijd is met het recht en waarvan de bedrijver een verwijt gemaakt kan worden (dus waaraan deze schuld heeft)”, J. Remmelink, Inleiding Tot De Studie Van Het Nederlandse Strafrecht, 14th ed. (Arnhem: Gouda Quint B.V., 1995), p. 126.

  41. 41.

    Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data, OJ L 281, 23.11.1995, pp. 31–50.

  42. 42.

    Directive 95/46/EC has been implemented in the national legislation of each EU member state (e.g., the Wbp in the Netherlands and the DPA in the United Kingdom).

  43. 43.

    Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data, OJ L 281, 23.11.1995, pp. 31–50.

  44. 44.

    We refer to the Personal Data Protection Act as the legal framework against which the processing of personal data should be assessed. Considering the nature of the cases, and the involvement of actors with investigative powers, specific laws related to these actors are relevant as well. These laws contain comparable data protection principles. The point is that – no matter which legal regime is applicable – the suggested alternative process respects these principles better than the current practice does.

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Acknowledgement

The authors greatly acknowledge the anonymous reviewers for their valuable comments on draft versions of this paper.

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Authors and Affiliations

  1. Tilburg Institute for Law, Technology, and Society (TILT), Tilburg University, 90153, 5000 LE, Tilburg, The Netherlands

    Martin Pekárek & Arnold Roosendaal

  2. Tilburg Law and Economics Center (TILEC), Tilburg University, 90153, 5000 LE, Tilburg, The Netherlands

    Jasper Sluijs

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  1. Martin Pekárek
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  2. Arnold Roosendaal
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Correspondence to Martin Pekárek .

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  1. Pleinlaan 2, Brussel, 1050, Belgium

    Serge Gutwirth

  2. , TILT, Tilburg University, Warandelaan 2, Tilburg, 5037 AB, Netherlands

    Ronald Leenes

  3. , LSTS, Vrije Universiteit Brussel, Avenue de la Plaine 2, Brussels, 1050, Belgium

    Paul de Hert

  4. Research Centre for Information, Technology & Law, University of Namur, Rempart de la Vierge 5, Namur, 5000, Belgium

    Yves Poullet

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Pekárek, M., Roosendaal, A., Sluijs, J. (2013). Surveillance as a Service? On the Use of Surveillance Data for Administrative Purposes. In: Gutwirth, S., Leenes, R., de Hert, P., Poullet, Y. (eds) European Data Protection: Coming of Age. Springer, Dordrecht. https://doi.org/10.1007/978-94-007-5170-5_15

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