结构独立和行为独立:阐述隐私权领域中机构独立性的含义

Structural and behavioural independence:mapping the meaning of agency independence at the field level

对监管机构来说,独立性与善治、改革和最佳实践相关,亦已成为管制型国家最为标榜的特征之一。但究竟什么是独立机构呢?本文对此展开探讨,访谈五个隐私权(和信息)委员会的利益相关者,阐述那些真正参与了日常监管流程的人对独立性的理解。利益相关者对独立性的信念和期望不仅塑造了关系,而且最终决定了监管实践的合法性。本文明确了理解独立性的六大主题。每个主题代表各个利益相关群体特别关注的领域。这些主题包括行为特质和结构安排两方面,整合起来表明了对独立性的共识。本文提出的框架,既提供途径以综合各种对独立性的描述,又对机构在确定独立性方面发挥的积极作用进行识别。对实践工作者的启示机构独立性与行为特质和结构安排有关。独立性的行为特质包括捍卫公共利益、产生公信力和展示公正性。在明确的程序公正和透明原则基础之上,程序和惯例可能提升机构的独立性。

For regulators,independence is associated with good governance,reform and best practice.It has become one of the most claimed characteristics of the regulatory state.But what does it really mean to be an independent agency?This article explores this question with stakeholders of five privacy(and information)commissions to map the understanding of those actually involved in the everyday processes of regulation.It is argued that the beliefs and expectations of stakeholders shape not only relationships but ultimately the legitimacy of regulatory practices.Six separate themes of understanding are identified.The themes represent areas of particular concern for each stakeholder group.Together they suggest a shared understanding of independence that encompasses both behavioural qualities as well as structural arrangements.A framework is proposed that provides a means for incorporating the different accounts of independence and recognizing the active role of agencies in determining independence.Points for practitioners Agency independence relates to behavioural qualities as well as structural arrangements.Behavioural qualities of independence encompass championing public interest,engendering trust and demonstrating impartiality.Procedures and routines based on clear principles of procedural fairness and transparency are likely to enhance agency independence.