Horizontal Accountability
#9Key Findings
In the category of horizontal accountability, the UK falls into the sample’s upper-middle ranks (rank 9).
The independent National Audit Office evaluates government spending and offers guides on good practices. The Information Commissioner’s Office upholds information rights, ensuring data protection laws are followed.
The UK judiciary is independent, and has the power to halt government actions. The Supreme Court addresses constitutional issues, including those between the UK and devolved parliaments. While the UK lacks a written constitution, civil rights are protected by the Human Rights Act of 1998 and adherence to the European Convention on Human Rights. Anti-terrorism laws have imposed some civil liberties restrictions on some populations.
Explicit corruption is rare in the UK, particularly at the national level, though minor instances can occur locally. Parliamentarians have fewer resources than counterparts in some legislatures elsewhere, but have sufficient powers to monitor the executive and help shape policy.
The independent National Audit Office evaluates government spending and offers guides on good practices. The Information Commissioner’s Office upholds information rights, ensuring data protection laws are followed.
The UK judiciary is independent, and has the power to halt government actions. The Supreme Court addresses constitutional issues, including those between the UK and devolved parliaments. While the UK lacks a written constitution, civil rights are protected by the Human Rights Act of 1998 and adherence to the European Convention on Human Rights. Anti-terrorism laws have imposed some civil liberties restrictions on some populations.
Explicit corruption is rare in the UK, particularly at the national level, though minor instances can occur locally. Parliamentarians have fewer resources than counterparts in some legislatures elsewhere, but have sufficient powers to monitor the executive and help shape policy.
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Is there an independent audit office? To what extent is it capable of exercising effective oversight?
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9
9
There exists an effective and independent audit office.
8
7
6
7
6
There exists an effective and independent audit office, but its role is somewhat limited.
5
4
3
4
3
There exists an independent audit office, but its role is considerably limited.
2
1
1
There is no independent and effective audit office.
The National Audit Office (NAO) is independent of both the government and the civil service, and it is overseen by the Public Accounts Committee (PAC) of the House of Commons. The NAO examines government departments, executive agencies, and arm’s-length bodies, focusing on assessing the value for money of public spending. It also provides guides on good practice and distills lessons learned on cross-cutting issues important to the government. The NAO is led by the Comptroller and Auditor General, an officer of the House of Commons with statutory authority. By working closely with the PAC, which had 41 active inquiries at the end of 2023, the NAO can both select its investigations and influence public debate. However, the NAO clarifies that its purpose is to investigate whether public money has been well used, not to question government policy objectives.
The NAO conducts over 400 financial audits annually, including audits of all government departments, executive agencies, arm’s-length bodies, companies audited under statute or on a voluntary basis, and some charities. Additionally, the NAO publishes around 60 value-for-money reports each year, making recommendations for more efficient and effective spending. It also issues lessons learned reports and good practice guides. The NAO has some international activities, serving as the external auditor for certain international organizations and providing technical assistance to audit institutions in countries receiving UK aid.
NAO reports, often discussed in the PAC, receive extensive media coverage and frequently highlight issues for public authorities. For example, a 2021 report on COVID-19 criticized the procurement of personal protective equipment (PPE) and other goods and services through emergency direct awards instead of established procurement procedures. In the same year, the NAO found that the government was too slow in disbursing compensation to victims of the Windrush scandal. In 2023, the NAO drew attention to delays in auditing local authorities in England, several of which subsequently admitted to insolvency risks.
Each devolved parliament and government has its own audit office, conducting equivalent research and audit functions. These offices are essential for scrutinizing devolved public services. However, issues such as COVID-19 policy, where both UK and devolved governments funded initiatives, highlight the limitations of these offices in auditing the full range of activities in each country.
The NAO conducts over 400 financial audits annually, including audits of all government departments, executive agencies, arm’s-length bodies, companies audited under statute or on a voluntary basis, and some charities. Additionally, the NAO publishes around 60 value-for-money reports each year, making recommendations for more efficient and effective spending. It also issues lessons learned reports and good practice guides. The NAO has some international activities, serving as the external auditor for certain international organizations and providing technical assistance to audit institutions in countries receiving UK aid.
NAO reports, often discussed in the PAC, receive extensive media coverage and frequently highlight issues for public authorities. For example, a 2021 report on COVID-19 criticized the procurement of personal protective equipment (PPE) and other goods and services through emergency direct awards instead of established procurement procedures. In the same year, the NAO found that the government was too slow in disbursing compensation to victims of the Windrush scandal. In 2023, the NAO drew attention to delays in auditing local authorities in England, several of which subsequently admitted to insolvency risks.
Each devolved parliament and government has its own audit office, conducting equivalent research and audit functions. These offices are essential for scrutinizing devolved public services. However, issues such as COVID-19 policy, where both UK and devolved governments funded initiatives, highlight the limitations of these offices in auditing the full range of activities in each country.
Is there an independent authority that effectively holds government offices accountable for their handling of data protection and privacy issues?
10
9
9
An independent and effective data protection authority exists.
8
7
6
7
6
An independent and effective data protection authority exists, but its role is somewhat limited.
5
4
3
4
3
A data protection authority exists, but both its independence and effectiveness are considerably limited.
2
1
1
There is no effective and independent data protection office.
After Brexit, the UK maintained the same data protection policies it had as an EU member, including the General Data Protection Regulation (GDPR). The relevant legislation is the Data Protection Act, which has been periodically revised since its enactment in 1998.
The Information Commissioner’s Office (ICO) is tasked with upholding information rights. Its main office is in England, with separate offices in Northern Ireland, Scotland, and Wales. The ICO is an executive non-departmental public body with operational independence. The Commissioner oversees various data-related legislation, including the Data Protection Act, the Freedom of Information Act, and privacy and electronic communications regulations. Formally, the Commissioner is a crown appointment based on a recommendation from the ministry and is subject to scrutiny by the corresponding parliamentary committee. The ICO’s decisions and interventions are often reported in the media.
After a long period of development and much debate, the Online Safety Act was passed in late October 2023. Its purpose is to place obligations on social media companies to protect users’ safety, with an emphasis on shielding children from harmful content. OFCOM, the regulator of broadcasters, telecommunications companies, and postal services, is charged with enforcing the Act..
The Information Commissioner’s Office (ICO) is tasked with upholding information rights. Its main office is in England, with separate offices in Northern Ireland, Scotland, and Wales. The ICO is an executive non-departmental public body with operational independence. The Commissioner oversees various data-related legislation, including the Data Protection Act, the Freedom of Information Act, and privacy and electronic communications regulations. Formally, the Commissioner is a crown appointment based on a recommendation from the ministry and is subject to scrutiny by the corresponding parliamentary committee. The ICO’s decisions and interventions are often reported in the media.
After a long period of development and much debate, the Online Safety Act was passed in late October 2023. Its purpose is to place obligations on social media companies to protect users’ safety, with an emphasis on shielding children from harmful content. OFCOM, the regulator of broadcasters, telecommunications companies, and postal services, is charged with enforcing the Act..
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To what extent does an independent judiciary ensure that the government, administration and legislature operate in accordance with the constitution and law?
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9
9
The judiciary effectively ensures that the government and legislature act in accordance with the law.
8
7
6
7
6
The judiciary usually manages to ensure that the government and legislature act in accordance with the law.
5
4
3
4
3
The judiciary fails to ensure effective legal compliance in some crucial cases.
2
1
1
The judiciary fails to ensure effective legal control.
The UK has a manifestly independent judiciary that has, on occasion, halted government plans. One notable instance occurred in 2019 when the judiciary overturned an attempt by the Johnson government to prorogue Parliament. Although the government may complain about certain judgments, it always respects them. However, a Supreme Court ruling in November 2023 against a plan to send illegal immigrants to Rwanda has prompted an interesting response: a bill currently making its way through Parliament, perceived as an attempt to circumvent the decision. This bill has elicited substantial opposition from many quarters, including factions within the governing Conservative Party. The UK Supreme Court also plays a role in constitutional matters, including disputes between the UK and devolved parliaments.
The judicial appointments system, reflecting the UK’s lack of a written constitution, has a degree of informality and has undergone substantial changes in recent years. The Constitutional Reform Act of 2005 divided the powers of the Lord Chancellor and established the Supreme Court of the United Kingdom, replacing the Appellate Committee of the House of Lords. The 12 judges of the Supreme Court are appointed by the crown based on the recommendation of the prime minister, who is advised by the Lord Chancellor in cooperation with a selection commission. It would be surprising if the prime minister ignored the advice of the Lord Chancellor and the selection commission, or if the king ignored the prime minister’s recommendations.
While there is no empirical basis to assess the actual independence of judicial appointments, there is every reason to believe that the process ensures judicial independence. Indeed, a public outcry would be expected if judicial independence were seen to be seriously threatened.
The judicial appointments system, reflecting the UK’s lack of a written constitution, has a degree of informality and has undergone substantial changes in recent years. The Constitutional Reform Act of 2005 divided the powers of the Lord Chancellor and established the Supreme Court of the United Kingdom, replacing the Appellate Committee of the House of Lords. The 12 judges of the Supreme Court are appointed by the crown based on the recommendation of the prime minister, who is advised by the Lord Chancellor in cooperation with a selection commission. It would be surprising if the prime minister ignored the advice of the Lord Chancellor and the selection commission, or if the king ignored the prime minister’s recommendations.
While there is no empirical basis to assess the actual independence of judicial appointments, there is every reason to believe that the process ensures judicial independence. Indeed, a public outcry would be expected if judicial independence were seen to be seriously threatened.
How well does the executive branch and its members uphold and safeguard civil rights, and to what extent do the courts effectively protect citizens against rights violations?
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9
9
There are no limits or constraints on the realization of civil rights.
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6
7
6
There are no significant limits or constraints on the realization of civil rights.
5
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3
4
3
There are some significant limits or constraints on the realization of civil rights.
2
1
1
There are multiple significant limits or constraints on the realization of civil rights.
The UK does not have a written constitution that defines civil rights. However, the Human Rights Act of 1998 and adherence to the European Convention on Human Rights provide a framework for protecting these rights. Despite regular criticisms and occasional talk of leaving the Convention, the UK respects the role of the Strasbourg Court in upholding human rights. GCHQ, part of the UK’s security apparatus, has significant capabilities in tracking and evaluating national and international electronic communications, sometimes attracting media criticism. Public opposition to these activities has been relatively mild, with most criticism coming from libertarian pressure groups. More sustained opposition comes from communication firms uncomfortable with government attempts to access private data.
A series of anti-terrorism acts has equipped the UK government with tools to combat terrorism, some of which impose restrictions on the civil liberties of a small minority of the population. While courts and public pressure have occasionally stopped practices like the indefinite detention of non-nationals, the state has often reintroduced similar measures under different names, such as replacing “control orders” with “terrorism prevention and investigation measures.” These actions occur under intense media scrutiny.
There is also a movement in the UK to advance the human rights-based approach language promoted by the UN Sustainable Development Goals, particularly evident in recent Scottish government initiatives.
Citations:
https://unsdg.un.org/2030-agenda/universal-values/human-rights-based-approach#:~:text=The%20human%20rights%2Dbased%20approach,promoting%20and%20protecting%20human%20rights
A series of anti-terrorism acts has equipped the UK government with tools to combat terrorism, some of which impose restrictions on the civil liberties of a small minority of the population. While courts and public pressure have occasionally stopped practices like the indefinite detention of non-nationals, the state has often reintroduced similar measures under different names, such as replacing “control orders” with “terrorism prevention and investigation measures.” These actions occur under intense media scrutiny.
There is also a movement in the UK to advance the human rights-based approach language promoted by the UN Sustainable Development Goals, particularly evident in recent Scottish government initiatives.
Citations:
https://unsdg.un.org/2030-agenda/universal-values/human-rights-based-approach#:~:text=The%20human%20rights%2Dbased%20approach,promoting%20and%20protecting%20human%20rights
To what extent are public officeholders prevented from abusing their position for private interests?
10
9
9
Legal, political and public integrity mechanisms effectively prevent public officeholders from abusing their positions.
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7
6
Most integrity mechanisms are effective and provide disincentives for public officeholders to abuse their positions.
5
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3
4
3
Few integrity mechanisms are effective and provide disincentives for public officeholders to abuse their positions.
2
1
1
Public officeholders can exploit their offices for private gain as they see fit without fear of legal consequences or adverse publicity.
The United Kingdom is relatively free of explicit corruption, such as bribery or fraud, and there is little evidence that such corruption influences decision-making at the national level. Anti-corruption regulations were consolidated in the 2004 Corruption Bill, and the UK consistently scores well on most international comparisons of corruption.
Occasional episodes of limited and small-scale corruption do arise at the local level, usually related to property development. Parliamentarians are subject to strict rules regarding declarations of payments. Those found in breach, even on a minor scale, are subject to punishment by their peers based on investigations by the Parliamentary Commissioner for Standards. A common penalty is suspension from the House of Commons. If the suspension exceeds 10 days, it can trigger a recall petition from voters. If more than 10% of the constituency electorate signs the petition, the member of Parliament must resign.
Although cases of corruption are infrequent, the fact that some (often obscure) politicians fail to adhere to the rules highlights a gap between politicians’ behavior and public expectations, a lingering effect of the 2009 expenses scandal. A more subtle form of corruption occurs when politicians leave office and subsequently lobby for specific interests, exploiting their connections. For example, former Prime Minister David Cameron was implicated in the lobbying scandal involving Greensill, a financial services company that collapsed with huge debts in 2021. Allegations resurfaced when Cameron was appointed foreign secretary in November 2023.
During the COVID-19 pandemic, contracts awarded to firms associated with Conservative parliamentarians led to an inquiry by the National Audit Office. The inquiry criticized the suspension of normal procurement rules, which resulted in highly profitable contracts, such as those involving Conservative member of the Lords, Baroness Mone. These actions have been widely condemned in the media and public debate. The most plausible explanation is that the government, in its desperation to secure necessary supplies, failed to exercise due diligence, rather than deliberate corruption. The public inquiry into the handling of the pandemic, conducted by Baroness Hallett, has shed some light on these matters, but her final report is not expected until 2025 or later.
Occasional episodes of limited and small-scale corruption do arise at the local level, usually related to property development. Parliamentarians are subject to strict rules regarding declarations of payments. Those found in breach, even on a minor scale, are subject to punishment by their peers based on investigations by the Parliamentary Commissioner for Standards. A common penalty is suspension from the House of Commons. If the suspension exceeds 10 days, it can trigger a recall petition from voters. If more than 10% of the constituency electorate signs the petition, the member of Parliament must resign.
Although cases of corruption are infrequent, the fact that some (often obscure) politicians fail to adhere to the rules highlights a gap between politicians’ behavior and public expectations, a lingering effect of the 2009 expenses scandal. A more subtle form of corruption occurs when politicians leave office and subsequently lobby for specific interests, exploiting their connections. For example, former Prime Minister David Cameron was implicated in the lobbying scandal involving Greensill, a financial services company that collapsed with huge debts in 2021. Allegations resurfaced when Cameron was appointed foreign secretary in November 2023.
During the COVID-19 pandemic, contracts awarded to firms associated with Conservative parliamentarians led to an inquiry by the National Audit Office. The inquiry criticized the suspension of normal procurement rules, which resulted in highly profitable contracts, such as those involving Conservative member of the Lords, Baroness Mone. These actions have been widely condemned in the media and public debate. The most plausible explanation is that the government, in its desperation to secure necessary supplies, failed to exercise due diligence, rather than deliberate corruption. The public inquiry into the handling of the pandemic, conducted by Baroness Hallett, has shed some light on these matters, but her final report is not expected until 2025 or later.
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Do members of the legislature possess sufficient personnel and structural resources to effectively monitor government activities?
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9
9
As a group, legislative members have access to a range of resources that are suited for effectively monitoring all government activity.
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7
6
As a group, legislative members have access to a range of resources that are suited for effectively monitoring a government’s key activities.
5
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3
4
3
As a group, legislative members have access to a range of resources that are suited for selectively monitoring some government activities.
2
1
1
The resources provided to legislative members are not suited for any effective monitoring of the government.
The House of Commons Library is a resource available to any member of Parliament (MP), providing research and briefings. Its stated role is to “provide a range of research and information services for MPs and MPs’ staff. Our work helps MPs scrutinize legislation, prepare for debates, develop policies, and support their constituents. We are a team of researchers, statisticians, librarians, indexers, communications, and customer service professionals, working together to provide an impartial and trusted service.”
All-party parliamentary groups are informal, cross-party bodies formed on an ad hoc basis to focus on specific subjects. They have no official status and often involve individuals and organizations from outside Parliament.
Parliamentary committees in both the Commons and the Lords can call witnesses for inquiries and routinely produce reports examining aspects of government policy. Clerks, paid by the legislature, play a pivotal role in producing these reports, although the committee “owns” the final document.
Each MP in the Westminster Parliament can employ up to four full-time staff members, paid for by Parliament and regulated by the Independent Parliamentary Standards Authority. MPs decide how to allocate this staff resource, which can include research. Additionally, it is common for MPs to have interns and additional staff paid from other sources. Parties typically provide a constituency agent to support MPs with local casework.
Through these various channels, MPs have access to resources, although on a smaller scale than in some other legislatures. While the Scottish and Welsh parliaments were established with a commitment to improve on Westminster scrutiny, they face similar limitations in research and staff capacity.
Citations:
https://commonslibrary.parliament.uk/about-us/
All-party parliamentary groups are informal, cross-party bodies formed on an ad hoc basis to focus on specific subjects. They have no official status and often involve individuals and organizations from outside Parliament.
Parliamentary committees in both the Commons and the Lords can call witnesses for inquiries and routinely produce reports examining aspects of government policy. Clerks, paid by the legislature, play a pivotal role in producing these reports, although the committee “owns” the final document.
Each MP in the Westminster Parliament can employ up to four full-time staff members, paid for by Parliament and regulated by the Independent Parliamentary Standards Authority. MPs decide how to allocate this staff resource, which can include research. Additionally, it is common for MPs to have interns and additional staff paid from other sources. Parties typically provide a constituency agent to support MPs with local casework.
Through these various channels, MPs have access to resources, although on a smaller scale than in some other legislatures. While the Scottish and Welsh parliaments were established with a commitment to improve on Westminster scrutiny, they face similar limitations in research and staff capacity.
Citations:
https://commonslibrary.parliament.uk/about-us/
Are legislative committees able to exercise oversight of government activities in practice?
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The legislature is able to exercise its oversight function.
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6
The legislature is able to exercise its oversight function most of the time.
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3
4
3
The legislature faces constraints in exercising its oversight function in a significant number of cases.
2
1
1
The legislature’s oversight function is frequently and severely compromised.
The House of Commons has a permanent Select Committee for every government department, complemented by cross-cutting committees such as the Public Accounts Committee and the Environmental Audit Committee, which can scrutinize any government department. The Liaison Committee, composed of the chairs of all other committees, notably questions the Prime Minister about policy, usually three times a year.
Committee chairs are elected by MPs, with some positions reserved for opposition MPs. These chairs can select topics for inquiries and call for evidence from the government, requiring witnesses, including ministers, to appear before them. However, the government may sometimes resist or delay in responding. The government is required to respond in writing to any inquiry. Special advisers are often appointed to assist committee members in formulating questions for witnesses and interpreting evidence.
Committees are known for their robust questioning of ministers and sometimes produce highly critical reports of the government. They also question business leaders, public servants, and other witnesses, such as senior representatives from the Bank of England. Additionally, committees hold hearings for candidates for public appointments, such as the Treasury Committee’s examination of candidates for the Monetary Policy Committee of the Bank of England, though they do not have veto power.
The devolved legislatures have equivalent roles and powers concerning devolved government ministers but do not have the authority to compel UK government ministers to engage.
Committee chairs are elected by MPs, with some positions reserved for opposition MPs. These chairs can select topics for inquiries and call for evidence from the government, requiring witnesses, including ministers, to appear before them. However, the government may sometimes resist or delay in responding. The government is required to respond in writing to any inquiry. Special advisers are often appointed to assist committee members in formulating questions for witnesses and interpreting evidence.
Committees are known for their robust questioning of ministers and sometimes produce highly critical reports of the government. They also question business leaders, public servants, and other witnesses, such as senior representatives from the Bank of England. Additionally, committees hold hearings for candidates for public appointments, such as the Treasury Committee’s examination of candidates for the Monetary Policy Committee of the Bank of England, though they do not have veto power.
The devolved legislatures have equivalent roles and powers concerning devolved government ministers but do not have the authority to compel UK government ministers to engage.
Do legislative committees have the capacity to investigate unconstitutional or illegal activities carried out by the executive branch?
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9
The legislature is able to exercise its investigation function.
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6
The legislature is able to exercise its investigation function most of the time.
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3
The legislature faces constraints in exercising its investigation function in a significant number of cases.
2
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1
The legislature’s investigation function is frequently and severely compromised
Opposition parties can initiate investigations, but the usual channel is through select committee inquiries. These committees typically have a government majority, but they value their independence. If the government tries to block an inquiry or influence it by whipping members, it would likely face a backlash. In some recent high-profile cases, particularly concerning privileges, committees have conducted inquiries against the government’s wishes and published reports critical of the individuals investigated.
Two notable examples are the inquiry into Owen Paterson, a former minister, who was found to have taken money from private companies (not against the rules) and lobbied ministers on their behalf (which is against the rules). When then-Prime Minister Boris Johnson tried to persuade Parliament not to enforce the committee’s proposed sanctions, Parliament overruled his request. Subsequently, Johnson himself was investigated for misleading Parliament and was found to have done so. In this case, Parliament voted overwhelmingly to approve the sanctions.
Investigations requiring more resources or independence from political parties are typically conducted through independent statutory inquiries, such as the UK COVID-19 inquiry.
Two notable examples are the inquiry into Owen Paterson, a former minister, who was found to have taken money from private companies (not against the rules) and lobbied ministers on their behalf (which is against the rules). When then-Prime Minister Boris Johnson tried to persuade Parliament not to enforce the committee’s proposed sanctions, Parliament overruled his request. Subsequently, Johnson himself was investigated for misleading Parliament and was found to have done so. In this case, Parliament voted overwhelmingly to approve the sanctions.
Investigations requiring more resources or independence from political parties are typically conducted through independent statutory inquiries, such as the UK COVID-19 inquiry.
To what extent are the organization and operations of legislative committees effective in guiding the development of legislative proposals?
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9
9
The organization and operations of legislative committees are well-suited for effectively monitoring ministry activity.
8
7
6
7
6
The organization and operations of legislative committees are, for the most part, suited for effectively monitoring ministry activity.
5
4
3
4
3
The organization and operations of legislative committees are rarely suitable for monitoring ministry activity.
2
1
1
The organization and operations of legislative committees are not at all suitable for monitoring ministry activity.
Because the House of Commons selects committees that match departments and adapt if the government reconfigures ministries, there is a clear correspondence in monitoring. A majority of members usually belong to the governing party (or, in the exceptional case of the 2010 – 2015 coalition government), but chairs of several committees are from opposition parties. By convention, the opposition usually chairs the powerful public accounts committee.
In addition to monitoring, public bill committees play an important role in passing legislation through Parliament. These committees handle the “committee stage” of bills, where detailed scrutiny occurs, and amendments are proposed. A separate committee stage takes place in the House of Lords. However, once the bill returns to the House of Commons, the amendments made in the Lords can still be overturned.
In deliberate contrast to Westminster, committees in the Scottish and Welsh parliaments combine the functions of select committees and legislative scrutiny. They consider bill principles and draft legislation before the plenary debate.
In addition to monitoring, public bill committees play an important role in passing legislation through Parliament. These committees handle the “committee stage” of bills, where detailed scrutiny occurs, and amendments are proposed. A separate committee stage takes place in the House of Lords. However, once the bill returns to the House of Commons, the amendments made in the Lords can still be overturned.
In deliberate contrast to Westminster, committees in the Scottish and Welsh parliaments combine the functions of select committees and legislative scrutiny. They consider bill principles and draft legislation before the plenary debate.