E-Regulation and the Rule of Law: Smart Government, Institutional Information Infrastructures, and Fundamental Values


Rónán Kennedy in Information Polity: “Information and communications technology (ICT) is increasingly used in bureaucratic and regulatory processes. With the development of the ‘Internet of Things’, some researchers speak enthusiastically of the birth of the ‘Smart State’. However, there are few theoretical or critical perspectives on the role of ICT in these routine decision-making processes and the mundane work of government regulation of economic and social activity. This paper therefore makes an important contribution by putting forward a theoretical perspective on smartness in government and developing a values-based framework for the use of ICT as a tool in the internal machinery of government.

It critically reviews the protection of the rule of law in digitized government. As an addition to work on e-government, a new field of study, ‘e-regulation’ is proposed, defined, and critiqued, with particular attention to the difficulties raised by the use of models and simulation. The increasing development of e-regulation could compromise fundamental values by embedding biases, software errors, and mistaken assumptions deeply into government procedures. The article therefore discusses the connections between the ‘Internet of Things’, the development of ‘Ambient Law’, and how the use of ICT in e-regulation can be a support for or an impediment to the operation of the rule of law. It concludes that e-government research should give more attention to the processes of regulation, and that law should be a more central discipline for those engaged in this activity….(More)

Accountable Algorithms


Paper by Joshua A. Kroll et al: “Many important decisions historically made by people are now made by computers. Algorithms count votes, approve loan and credit card applications, target citizens or neighborhoods for police scrutiny, select taxpayers for an IRS audit, and grant or deny immigration visas.

The accountability mechanisms and legal standards that govern such decision processes have not kept pace with technology. The tools currently available to policymakers, legislators, and courts were developed to oversee human decision-makers and often fail when applied to computers instead: for example, how do you judge the intent of a piece of software? Additional approaches are needed to make automated decision systems — with their potentially incorrect, unjustified or unfair results — accountable and governable. This Article reveals a new technological toolkit to verify that automated decisions comply with key standards of legal fairness.

We challenge the dominant position in the legal literature that transparency will solve these problems. Disclosure of source code is often neither necessary (because of alternative techniques from computer science) nor sufficient (because of the complexity of code) to demonstrate the fairness of a process. Furthermore, transparency may be undesirable, such as when it permits tax cheats or terrorists to game the systems determining audits or security screening.

The central issue is how to assure the interests of citizens, and society as a whole, in making these processes more accountable. This Article argues that technology is creating new opportunities — more subtle and flexible than total transparency — to design decision-making algorithms so that they better align with legal and policy objectives. Doing so will improve not only the current governance of algorithms, but also — in certain cases — the governance of decision-making in general. The implicit (or explicit) biases of human decision-makers can be difficult to find and root out, but we can peer into the “brain” of an algorithm: computational processes and purpose specifications can be declared prior to use and verified afterwards.

The technological tools introduced in this Article apply widely. They can be used in designing decision-making processes from both the private and public sectors, and they can be tailored to verify different characteristics as desired by decision-makers, regulators, or the public. By forcing a more careful consideration of the effects of decision rules, they also engender policy discussions and closer looks at legal standards. As such, these tools have far-reaching implications throughout law and society.

Part I of this Article provides an accessible and concise introduction to foundational computer science concepts that can be used to verify and demonstrate compliance with key standards of legal fairness for automated decisions without revealing key attributes of the decision or the process by which the decision was reached. Part II then describes how these techniques can assure that decisions are made with the key governance attribute of procedural regularity, meaning that decisions are made under an announced set of rules consistently applied in each case. We demonstrate how this approach could be used to redesign and resolve issues with the State Department’s diversity visa lottery. In Part III, we go further and explore how other computational techniques can assure that automated decisions preserve fidelity to substantive legal and policy choices. We show how these tools may be used to assure that certain kinds of unjust discrimination are avoided and that automated decision processes behave in ways that comport with the social or legal standards that govern the decision. We also show how algorithmic decision-making may even complicate existing doctrines of disparate treatment and disparate impact, and we discuss some recent computer science work on detecting and removing discrimination in algorithms, especially in the context of big data and machine learning. And lastly in Part IV, we propose an agenda to further synergistic collaboration between computer science, law and policy to advance the design of automated decision processes for accountability….(More)”

EU e-Government Action Plan 2016-2020. Accelerating the digital transformation of government


Q and A: “The e-Government Action Plan includes 20 initiatives to be launched in 2016 and 2017 (full list). Several of them aim to accelerate the implementation of existing legislation and related take-up of online public services. The Commission will notably support the transition of Member States towards full e-procurement, use of contract registers and interoperable e-signatures.

Another part of this set of initiatives focuses on cross-border digital public services. For example, the Commission will submit a proposal to create a Single Digital Gateway as a one-stop entry point for business and people to all Digital Single Market related information, assistance, advice and problem-solving services and making sure that the most frequently used procedures for doing business across borders can be completed fully online. The ESSI (Electronic Exchange of Social Security Information) will help national administrations to electronically share personal social information between Member States, thereby making it easier for people to live and work across borders.

Finally, the action plan aims to ensure that high-quality digital public services are designed for users and encourage their participation.

The plan will be regularly reviewed and if needed completed. An online platform for users will ensure that ideas and feedback are collected.

What is the “once-only” principle?

The “once-only” principle means that citizens and businesses should supply the same information only once to a public administration. Public administration internally shares this data, so that no additional burden falls on citizens and businesses. It calls for a reorganisation of public sector internal processes, rather than forcing businesses and citizens to fit around these processes.

The Commission will launch a pilot project with Member States to apply once-only principle across borders, with €8 million funding from Horizon 2020. This pilot will test out a technical once-only solution for businesses working in different EU Member States. Another activity will explore the once-only concept for citizens, and support networking and discussions on how this could be implemented, in due respect of the legal framework on personal data protection and privacy.

What is the digitisation of company law?

A number of EU company rules were conceived in a pre-digital era, when every form had to be completed on paper. As a result, many companies cannot fully benefit from digital tools where it comes to fulfilling company law requirements or interacting with business registers because many of the rules and processes are still paper-based.

The Commission will work on ways to achieve simpler and less burdensome solutions for companies, by facilitating the use of digital solutions throughout a company’s lifecycle in the interaction between companies and business registers, including in cross-border situations.

For instance, in order to set up as a company in a Member State, it is necessary to register that company in a business register. The Commission will look at how and in what ways online registration procedures could be made available in order to reduce the administrative burden and costs of founding a new company. Also, under EU law, companies are obliged to file a number of documents and information in business registers. Cost and time savings for companies could be generated through better use of digital tools when a company needs to submit and disclose new documents or up-date those throughout its lifecycle, for instance when the company name changes.

How will the Single Digital Gateway help European businesses and citizens?

The Single Digital Gateway will link up (not replace) relevant EU and national websites, portals, assistance services and procedures in a seamless and user-friendly way. Over time it will offer users a streamlined, comprehensive portal to find information, initiate and complete transactions with Member States’ administrations across the EU. The most frequently used administrative procedures will be identified and be brought fully online, so that no offline steps like printing and sending documents on paper will be needed.

This will save time and thereby costs for businesses and citizens when they want to engage in cross-border activities like setting up a business, exporting, moving or studying in another EU Member State.

How will interconnecting businesses registers, insolvency registers, and making the e-Justice portal a one-stop shop for justice help businesses?

These initiatives will help businesses trade within the EU with much more confidence. Not only will they be able to find the relevant information on other businesses themselves, but also on their possible insolvency, through the different interconnections of registers. This will increase transparency and enhance confidence in the Digital Single Market.

Interconnecting business registers will also ensure that business registers can communicate to each other electronically in a safe and secure way and that information is up-to-date without any additional red tape for companies.

The European e-Justice Portal provides a lot of additional information in case of problems, including tools to find a lawyer or notary, and tools for the exercise of their rights. It gives businesses easy access to information needed before entering into a business arrangement, as well as the confidence that if things go wrong, a solution is near at hand…. (More)”

See also  Communication on an EU e-Government Action Plan 2016-2020. Accelerating the digital transformation of government

Simplexity


Paper by Joshua D. Blank and Leigh Osofsky: “In recent years, federal government agencies have increasingly attempted to use plain language in written communications with the public. The Plain Writing Act of 2010, for instance, requires agencies to incorporate “clear and simple” explanations of rules and regulations into their official publications. In the tax context, as part of its “customer service” mission, the Internal Revenue Service bears a “duty to explain” the tax law to hundreds of millions of taxpayers who file tax returns each year. Proponents of the plain language movement have heralded this form of communication as leading to simplicity in tax compliance, more equitable access to federal programs and increased open government.

This Article casts plain language efforts in a different light. As we argue, rather than achieving simplicity, which would involve reform of the underlying law, the use of plain language to describe complex legal rules and regulations often yields “simplexity.” As we define it, simplexity occurs when the government presents clear and simple explanations of the law without highlighting its underlying complexity or reducing this complexity through formal legal changes. We show that in its numerous taxpayer publications, the IRS frequently uses plain language to transform complex, often ambiguous tax law into seemingly simple statements that (1) present contested tax law as clear tax rules, (2) add administrative gloss to the tax law and (3) fail to fully explain the tax law, including possible exceptions. Sometimes these plain language explanations benefit the government; at other times, they benefit taxpayers.

While simplexity offers a number of potential tax administration benefits, such as making the tax law understandable and even bolstering the IRS’s ability to collect tax revenue, it can also threaten vital values of transparency and democratic governance and can result in inequitable treatment of different taxpayers. We offer approaches for preserving some of the benefits of simplexity while also responding to some of its drawbacks. We also forecast the likely emergence of simplexity in potential future tax compliance measures, such as government-prepared tax returns, interactive tax return filing and increased third-party reporting….(More)”.

Friended, but not Friends: Federal Ethics Authorities Address Role of Social Media in Politics


CRS Reports & Analysis: “Since the rise of social media over the past decade, new platforms of technology have reinforced the adage that the law lags behind developments in technology. Government agencies, officials, and employees regularly use a number of social media options – e.g., Twitter, Facebook, etc. – that have led agencies to update existing ethics rules to reflect the unique issues that they may present. Two areas of ethics regulation affected by the increased role of social media are the ethical standards governing gifts to federal employees and the restrictions on employees’ political activities. These rules apply to employees in the executive branch, though separate ethics rules and guidance on similar topics apply to the House and Senate….(More)”

How Big Data Harms Poor Communities


Kaveh Waddell in the Atlantic: “Big data can help solve problems that are too big for one person to wrap their head around. It’s helped businesses cut costs, cities plan new developments, intelligence agencies discover connections between terrorists, health officials predict outbreaks, and police forces get ahead of crime. Decision-makers are increasingly told to “listen to the data,” and make choices informed by the outputs of complex algorithms.

But when the data is about humans—especially those who lack a strong voice—those algorithms can become oppressive rather than liberating. For many poor people in the U.S., the data that’s gathered about them at every turn can obstruct attempts to escape poverty.

Low-income communities are among the most surveilled communities in America. And it’s not just the police that are watching, says Michele Gilman, a law professor at the University of Baltimore and a former civil-rights attorney at the Department of Justice. Public-benefits programs, child-welfare systems, and monitoring programs for domestic-abuse offenders all gather large amounts of data on their users, who are disproportionately poor.
In certain places, in order to qualify for public benefits like food stamps, applicants have to undergo fingerprinting and drug testing. Once people start receiving the benefits, officials regularly monitor them to see how they spend the money, and sometimes check in on them in their homes.

Data gathered from those sources can end up feeding back into police systems, leading to a cycle of surveillance. “It becomes part of these big-data information flows that most people aren’t aware they’re captured in, but that can have really concrete impacts on opportunities,” Gilman says.

Once an arrest crops up on a person’s record, for example, it becomes much more difficult for that person to find a job, secure a loan, or rent a home. And that’s not necessarily because loan officers or hiring managers pass over applicants with arrest records—computer systems that whittle down tall stacks of resumes or loan applications will often weed some out based on run-ins with the police.

When big-data systems make predictions that cut people off from meaningful opportunities like these, they can violate the legal principle of presumed innocence, according to Ian Kerr, a professor and researcher of ethics, law, and technology at the University of Ottawa.

Outside the court system, “innocent until proven guilty” is upheld by people’s due-process rights, Kerr says: “A right to be heard, a right to participate in one’s hearing, a right to know what information is collected about me, and a right to challenge that information.” But when opaque data-driven decision-making takes over—what Kerr calls “algorithmic justice”—some of those rights begin to erode….(More)”

What Should We Do About Big Data Leaks?


Paul Ford at the New Republic: “I have a great fondness for government data, and the government has a great fondness for making more of it. Federal elections financial data, for example, with every contribution identified, connected to a name and address. Or the results of the census. I don’t know if you’ve ever had the experience of downloading census data but it’s pretty exciting. You can hold America on your hard drive! Meditate on the miracles of zip codes, the way the country is held together and addressable by arbitrary sets of digits.

You can download whole books, in PDF format, about the foreign policy of the Reagan Administration as it related to Russia. Negotiations over which door the Soviet ambassador would use to enter a building. Gigabytes and gigabytes of pure joy for the ephemeralist. The government is the greatest creator of ephemera ever.

Consider the Financial Crisis Inquiry Commission, or FCIC, created in 2009 to figure out exactly how the global economic pooch was screwed. The FCIC has made so much data, and has done an admirable job (caveats noted below) of arranging it. So much stuff. There are reams of treasure on a single FCIC web site, hosted at Stanford Law School: Hundreds of MP3 files, for example, with interviews with Jamie Dimonof JPMorgan Chase and Lloyd Blankfein of Goldman Sachs. I am desperate to find  time to write some code that automatically extracts random audio snippets from each and puts them on top of a slow ambient drone with plenty of reverb, so that I can relax to the dulcet tones of the financial industry explaining away its failings. (There’s a Paul Krugman interview that I assume is more critical.)

The recordings are just the beginning. They’ve released so many documents, and with the documents, a finding aid that you can download in handy PDF format, which will tell you where to, well, find things, pointing to thousands of documents. That aid alone is 1,439 pages.

Look, it is excellent that this exists, in public, on the web. But it also presents a very contemporary problem: What is transparency in the age of massive database drops? The data is available, but locked in MP3s and PDFs and other documents; it’s not searchable in the way a web page is searchable, not easy to comment on or share.

Consider the WikiLeaks release of State Department cables. They were exhausting, there were so many of them, they were in all caps. Or the trove of data Edward Snowden gathered on aUSB drive, or Chelsea Manning on CD. And the Ashley Madison leak, spread across database files and logs of credit card receipts. The massive and sprawling Sony leak, complete with whole email inboxes. And with the just-released Panama Papers, we see two exciting new developments: First, the consortium of media organizations that managed the leak actually came together and collectively, well, branded the papers, down to a hashtag (#panamapapers), informational website, etc. Second, the size of the leak itself—2.5 terabytes!—become a talking point, even though that exact description of what was contained within those terabytes was harder to understand. This, said the consortia of journalists that notably did not include The New York Times, The Washington Post, etc., is the big one. Stay tuned. And we are. But the fact remains: These artifacts are not accessible to any but the most assiduous amateur conspiracist; they’re the domain of professionals with the time and money to deal with them. Who else could be bothered?

If you watched the movie Spotlight, you saw journalists at work, pawing through reams of documents, going through, essentially, phone books. I am an inveterate downloader of such things. I love what they represent. And I’m also comfortable with many-gigabyte corpora spread across web sites. I know how to fetch data, how to consolidate it, and how to search it. I share this skill set with many data journalists, and these capacities have, in some ways, become the sole province of the media. Organs of journalism are among the only remaining cultural institutions that can fund investigations of this size and tease the data apart, identifying linkages and thus constructing informational webs that can, with great effort, be turned into narratives, yielding something like what we call “a story” or “the truth.” 

Spotlight was set around 2001, and it features a lot of people looking at things on paper. The problem has changed greatly since then: The data is everywhere. The media has been forced into a new cultural role, that of the arbiter of the giant and semi-legal database. ProPublica, a nonprofit that does a great deal of data gathering and data journalism and then shares its findings with other media outlets, is one example; it funded a project called DocumentCloud with other media organizations that simplifies the process of searching through giant piles of PDFs (e.g., court records, or the results of Freedom of Information Act requests).

At some level the sheer boredom and drudgery of managing these large data leaks make them immune to casual interest; even the Ashley Madison leak, which I downloaded, was basically an opaque pile of data and really quite boring unless you had some motive to poke around.

If this is the age of the citizen journalist, or at least the citizen opinion columnist, it’s also the age of the data journalist, with the news media acting as product managers of data leaks, making the information usable, browsable, attractive. There is an uneasy partnership between leakers and the media, just as there is an uneasy partnership between the press and the government, which would like some credit for its efforts, thank you very much, and wouldn’t mind if you gave it some points for transparency while you’re at it.

Pause for a second. There’s a glut of data, but most of it comes to us in ugly formats. What would happen if the things released in the interest of transparency were released in actual transparent formats?…(More)”

Data to the Rescue: Smart Ways of Doing Good


Nicole Wallace in the Chronicle of Philanthropy: “For a long time, data served one purpose in the nonprofit world: measuring program results. But a growing number of charities are rejecting the idea that data equals evaluation and only evaluation.

Of course, many nonprofits struggle even to build the simplest data system. They have too little money, too few analysts, and convoluted data pipelines. Yet some cutting-edge organizations are putting data to work in new and exciting ways that drive their missions. A prime example: The Polaris Project is identifying criminal networks in the human-trafficking underworld and devising strategies to fight back by analyzing its data storehouse along with public information.

Other charities dive deep into their data to improve services, make smarter decisions, and identify measures that predict success. Some have such an abundance of information that they’re even pruning their collection efforts to allow for more sophisticated analysis.

The groups highlighted here are among the best nationally. In their work, we get a sneak peek at how the data revolution might one day achieve its promise.

House Calls: Living Goods

Living Goods launched in eastern Africa in 2007 with an innovative plan to tackle health issues in poor families and reduce deaths among children. The charity provides loans, training, and inventory to locals in Uganda and Kenya — mostly women — to start businesses selling vitamins, medicine, and other health products to friends and neighbors.

Founder Chuck Slaughter copied the Avon model and its army of housewives-turned-sales agents. But in recent years, Living Goods has embraced a 21st-century data system that makes its entrepreneurs better health practitioners. Armed with smartphones, they confidently diagnose and treat major illnesses. At the same time, they collect information that helps the charity track health across communities and plot strategy….

Unraveling Webs of Wickedness: Polaris Project

Calls and texts to the Polaris Project’s national human-trafficking hotline are often heartbreaking, terrifying, or both.

Relatives fear that something terrible has happened to a missing loved one. Trafficking survivors suffering from their ordeal need support. The most harrowing calls are from victims in danger and pleading for help.

Last year more than 5,500 potential cases of exploitation for labor or commercial sex were reported to the hotline. Since it got its start in 2007, the total is more than 24,000.

As it helps victims and survivors get the assistance they need, the Polaris Project, a Washington nonprofit, is turning those phone calls and texts into an enormous storehouse of information about the shadowy world of trafficking. By analyzing this data and connecting it with public sources, the nonprofit is drawing detailed pictures of how trafficking networks operate. That knowledge, in turn, shapes the group’s prevention efforts, its policy work, and even law-enforcement investigations….

Too Much Information: Year Up

Year Up has a problem that many nonprofits can’t begin to imagine: It collects too much data about its program. “Predictive analytics really start to stink it up when you put too much in,” says Garrett Yursza Warfield, the group’s director of evaluation.

What Mr. Warfield describes as the “everything and the kitchen sink” problem started soon after Year Up began gathering data. The group, which fights poverty by helping low-income young adults land entry-level professional jobs, first got serious about measuring its work nearly a decade ago. Though challenged at first to round up even basic information, the group over time began tracking virtually everything it could: the percentage of young people who finish the program, their satisfaction, their paths after graduation through college or work, and much more.

Now the nonprofit is diving deeper into its data to figure out which measures can predict whether a young person is likely to succeed in the program. And halfway through this review, it’s already identified and eliminated measures that it’s found matter little. A small example: Surveys of participants early in the program asked them to rate their proficiency at various office skills. Those self-evaluations, Mr. Warfield’s team concluded, were meaningless: How can novice professionals accurately judge their Excel spreadsheet skills until they’re out in the working world?…

On the Wild Side: Wildnerness Society…Without room to roam, wild animals and plants breed among themselves and risk losing genetic diversity. They also fall prey to disease. And that’s in the best of times. As wildlife adapt to climate change, the chance to migrate becomes vital even to survival.

National parks and other large protected areas are part of the answer, but they’re not enough if wildlife can’t move between them, says Travis Belote, lead ecologist at the Wilderness Society.

“Nature needs to be able to shuffle around,” he says.

Enter the organization’s Wildness Index. It’s a national map that shows the parts of the country most touched by human activity as well as wilderness areas best suited for wildlife. Mr. Belote and his colleagues created the index by combining data on land use, population density, road location and size, water flows, and many other factors. It’s an important tool to help the nonprofit prioritize the locations it fights to protect.

In Idaho, for example, the nonprofit compares the index with information about known wildlife corridors and federal lands that are unprotected but meet the criteria for conservation designation. The project’s goal: determine which areas in the High Divide — a wild stretch that connects Greater Yellowstone with other protected areas — the charity should advocate to legally protect….(More)”

Selected Readings on Data and Humanitarian Response


By Prianka Srinivasan and Stefaan G. Verhulst *

The Living Library’s Selected Readings series seeks to build a knowledge base on innovative approaches for improving the effectiveness and legitimacy of governance. This curated and annotated collection of recommended works on the topic of data and humanitarian response was originally published in 2016.

Data, when used well in a trusted manner, allows humanitarian organizations to innovate how to respond to emergency events, including better coordination of post-disaster relief efforts, the ability to harness local knowledge to create more targeted relief strategies, and tools to predict and monitor disasters in real time. Consequently, in recent years both multinational groups and community-based advocates have begun to integrate data collection and evaluation strategies into their humanitarian operations, to better and more quickly respond to emergencies. However, this movement poses a number of challenges. Compared to the private sector, humanitarian organizations are often less equipped to successfully analyze and manage big data, which pose a number of risks related to the security of victims’ data. Furthermore, complex power dynamics which exist within humanitarian spaces may be further exacerbated through the introduction of new technologies and big data collection mechanisms. In the below we share:

  • Selected Reading List (summaries and hyperlinks)
  • Annotated Selected Reading List
  • Additional Readings

Selected Reading List  (summaries in alphabetical order)

Data and Humanitarian Response

Risks of Using Big Data in Humanitarian Context

Annotated Selected Reading List (in alphabetical order)

Karlsrud, John. “Peacekeeping 4.0: Harnessing the Potential of Big Data, Social Media, and Cyber Technologies.” Cyberspace and International Relations, 2013. http://bit.ly/235Qb3e

  • This chapter from the book “Cyberspace and International Relations” suggests that advances in big data give humanitarian organizations unprecedented opportunities to prevent and mitigate natural disasters and humanitarian crises. However, the sheer amount of unstructured data necessitates effective “data mining” strategies for multinational organizations to make the most use of this data.
  • By profiling some civil-society organizations who use big data in their peacekeeping efforts, Karlsrud suggests that these community-focused initiatives are leading the movement toward analyzing and using big data in countries vulnerable to crisis.
  • The chapter concludes by offering ten recommendations to UN peacekeeping forces to best realize the potential of big data and new technology in supporting their operations.

Mancini, Fancesco. “New Technology and the prevention of Violence and Conflict.” International Peace Institute, 2013. http://bit.ly/1ltLfNV

  • This report from the International Peace Institute looks at five case studies to assess how information and communications technologies (ICTs) can help prevent humanitarian conflicts and violence. Their findings suggest that context has a significant impact on the ability for these ICTs for conflict prevention, and any strategies must take into account the specific contingencies of the region to be successful.
  • The report suggests seven lessons gleaned from the five case studies:
    • New technologies are just one in a variety of tools to combat violence. Consequently, organizations must investigate a variety of complementary strategies to prevent conflicts, and not simply rely on ICTs.
    • Not every community or social group will have the same relationship to technology, and their ability to adopt new technologies are similarly influenced by their context. Therefore, a detailed needs assessment must take place before any new technologies are implemented.
    • New technologies may be co-opted by violent groups seeking to maintain conflict in the region. Consequently, humanitarian groups must be sensitive to existing political actors and be aware of possible negative consequences these new technologies may spark.
    • Local input is integral to support conflict prevention measures, and there exists need for collaboration and awareness-raising with communities to ensure new technologies are sustainable and effective.
    • Information shared between civil-society has more potential to develop early-warning systems. This horizontal distribution of information can also allow communities to maintain the accountability of local leaders.

Meier, Patrick. “Digital humanitarians: how big data is changing the face of humanitarian response.” Crc Press, 2015. http://amzn.to/1RQ4ozc

  • This book traces the emergence of “Digital Humanitarians”—people who harness new digital tools and technologies to support humanitarian action. Meier suggests that this has created a “nervous system” to connect people from disparate parts of the world, revolutionizing the way we respond to humanitarian crises.
  • Meier argues that such technology is reconfiguring the structure of the humanitarian space, where victims are not simply passive recipients of aid but can contribute with other global citizens. This in turn makes us more humane and engaged people.

Robertson, Andrew and Olson, Steve. “Using Data Sharing to Improve Coordination in Peacebuilding.” United States Institute for Peace, 2012. http://bit.ly/235QuLm

  • This report functions as an overview of a roundtable workshop on Technology, Science and Peace Building held at the United States Institute of Peace. The workshop aimed to investigate how data-sharing techniques can be developed for use in peace building or conflict management.
  • Four main themes emerged from discussions during the workshop:
    • “Data sharing requires working across a technology-culture divide”—Data sharing needs the foundation of a strong relationship, which can depend on sociocultural, rather than technological, factors.
    • “Information sharing requires building and maintaining trust”—These relationships are often built on trust, which can include both technological and social perspectives.
    • “Information sharing requires linking civilian-military policy discussions to technology”—Even when sophisticated data-sharing technologies exist, continuous engagement between different stakeholders is necessary. Therefore, procedures used to maintain civil-military engagement should be broadened to include technology.
    • “Collaboration software needs to be aligned with user needs”—technology providers need to keep in mind the needs of its users, in this case peacebuilders, in order to ensure sustainability.

United Nations Independent Expert Advisory Group on a Data Revolution for Sustainable Development. “A World That Counts, Mobilizing the Data Revolution.” 2014. https://bit.ly/2Cb3lXq

  • This report focuses on the potential benefits and risks data holds for sustainable development. Included in this is a strategic framework for using and managing data for humanitarian purposes. It describes a need for a multinational consensus to be developed to ensure data is shared effectively and efficiently.
  • It suggests that “people who are counted”—i.e., those who are included in data collection processes—have better development outcomes and a better chance for humanitarian response in emergency or conflict situations.

Katie Whipkey and Andrej Verity. “Guidance for Incorporating Big Data into Humanitarian Operations.” Digital Humanitarian Network, 2015. http://bit.ly/1Y2BMkQ

  • This report produced by the Digital Humanitarian Network provides an overview of big data, and how humanitarian organizations can integrate this technology into their humanitarian response. It primarily functions as a guide for organizations, and provides concise, brief outlines of what big data is, and how it can benefit humanitarian groups.
  • The report puts forward four main benefits acquired through the use of big data by humanitarian organizations: 1) the ability to leverage real-time information; 2) the ability to make more informed decisions; 3) the ability to learn new insights; 4) the ability for organizations to be more prepared.
  • It goes on to assess seven challenges big data poses for humanitarian organizations: 1) geography, and the unequal access to technology across regions; 2) the potential for user error when processing data; 3) limited technology; 4) questionable validity of data; 5) underdeveloped policies and ethics relating to data management; 6) limitations relating to staff knowledge.

Risks of Using Big Data in Humanitarian Context
Crawford, Kate, and Megan Finn. “The limits of crisis data: analytical and ethical challenges of using social and mobile data to understand disasters.” GeoJournal 80.4, 2015. http://bit.ly/1X0F7AI

  • Crawford & Finn present a critical analysis of the use of big data in disaster management, taking a more skeptical tone to the data revolution facing humanitarian response.
  • They argue that though social and mobile data analysis can yield important insights and tools in crisis events, it also presents a number of limitations which can lead to oversights being made by researchers or humanitarian response teams.
  • Crawford & Finn explore the ethical concerns the use of big data in disaster events introduces, including issues of power, privacy, and consent.
  • The paper concludes by recommending that critical data studies, such as those presented in the paper, be integrated into crisis event research in order to analyze some of the assumptions which underlie mobile and social data.

Jacobsen, Katja Lindskov (2010) Making design safe for citizens: A hidden history of humanitarian experimentation. Citizenship Studies 14.1: 89-103. http://bit.ly/1YaRTwG

  • This paper explores the phenomenon of “humanitarian experimentation,” where victims of disaster or conflict are the subjects of experiments to test the application of technologies before they are administered in greater civilian populations.
  • By analyzing the particular use of iris recognition technology during the repatriation of Afghan refugees to Pakistan in 2002 to 2007, Jacobsen suggests that this “humanitarian experimentation” compromises the security of already vulnerable refugees in order to better deliver biometric product to the rest of the world.

Responsible Data Forum. “Responsible Data Reflection Stories: An Overview.” http://bit.ly/1Rszrz1

  • This piece from the Responsible Data forum is primarily a compilation of “war stories” which follow some of the challenges in using big data for social good. By drawing on these crowdsourced cases, the Forum also presents an overview which makes key recommendations to overcome some of the challenges associated with big data in humanitarian organizations.
  • It finds that most of these challenges occur when organizations are ill-equipped to manage data and new technologies, or are unaware about how different groups interact in digital spaces in different ways.

Sandvik, Kristin Bergtora. “The humanitarian cyberspace: shrinking space or an expanding frontier?” Third World Quarterly 37:1, 17-32, 2016. http://bit.ly/1PIiACK

  • This paper analyzes the shift toward more technology-driven humanitarian work, where humanitarian work increasingly takes place online in cyberspace, reshaping the definition and application of aid. This has occurred along with what many suggest is a shrinking of the humanitarian space.
  • Sandvik provides three interpretations of this phenomena:
    • First, traditional threats remain in the humanitarian space, which are both modified and reinforced by technology.
    • Second, new threats are introduced by the increasing use of technology in humanitarianism, and consequently the humanitarian space may be broadening, not shrinking.
    • Finally, if the shrinking humanitarian space theory holds, cyberspace offers one example of this, where the increasing use of digital technology to manage disasters leads to a contraction of space through the proliferation of remote services.

Additional Readings on Data and Humanitarian Response

* Thanks to: Kristen B. Sandvik; Zara Rahman; Jennifer Schulte; Sean McDonald; Paul Currion; Dinorah Cantú-Pedraza and the Responsible Data Listserve for valuable input.

Elements of a New Ethical Framework for Big Data Research


The Berkman Center is pleased to announce the publication of a new paper from the Privacy Tools for Sharing Research Data project team. In this paper, Effy Vayena, Urs Gasser, Alexandra Wood, and David O’Brien from the Berkman Center, with Micah Altman from MIT Libraries, outline elements of a new ethical framework for big data research.

Emerging large-scale data sources hold tremendous potential for new scientific research into human biology, behaviors, and relationships. At the same time, big data research presents privacy and ethical challenges that the current regulatory framework is ill-suited to address. In light of the immense value of large-scale research data, the central question moving forward is not whether such data should be made available for research, but rather how the benefits can be captured in a way that respects fundamental principles of ethics and privacy.

The authors argue that a framework with the following elements would support big data utilization and help harness the value of big data in a sustainable and trust-building manner:

  • Oversight should aim to provide universal coverage of human subjects research, regardless of funding source, across all stages of the information lifecycle.

  • New definitions and standards should be developed based on a modern understanding of privacy science and the expectations of research subjects.

  • Researchers and review boards should be encouraged to incorporate systematic risk-benefit assessments and new procedural and technological solutions from the wide range of interventions that are available.

  • Oversight mechanisms and the safeguards implemented should be tailored to the intended uses, benefits, threats, harms, and vulnerabilities associated with a specific research activity.

Development of a new ethical framework with these elements should be the product of a dynamic multistakeholder process that is designed to capture the latest scientific understanding of privacy, analytical methods, available safeguards, community and social norms, and best practices for research ethics as they evolve over time.

The full paper is available for download through the Washington and Lee Law Review Online as part of a collection of papers featured at the Future of Privacy Forum workshop Beyond IRBs: Designing Ethical Review Processes for Big Data Research held on December 10, 2015, in Washington, DC….(More)”