AUTHOR:
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Arien Mack
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TITLE:
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Privacy
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SOURCE:
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Social Research 68 no1 v-vii, 1-338
Spr 2001
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The magazine publisher is the copyright holder of this article and it is
reproduced with permission. Further reproduction of this article in violation
of the copyright is prohibited.
The papers in this issue are versions of the
presentations given at the Social Research conference on
privacy held at New
School University
in October 2000. This conference was the seventh in the conference series we
initiated in 1988, and this issue is the seventh that has been devoted to
papers from these conferences. The mission of this series is to foster
discussion of matters of grave public interest in light of their often
neglected and generally illuminating historical and cultural contexts. Thus,
for example, past conferences have dealt with the AIDS crisis ("In Time of
Plague"), homelessness ("Home: A Place
in the World"), and hunger ("Food: Nature and Culture"). The
choice to organize a conference on privacy seemed a
natural extension of the series, since questions surrounding what should be
private and what public are among the most pressing of those now confronting
us.
Even in the short span of the last 30 to 35 years, our
conceptions of what should be kept private have undergone large and visible
changes. "MonicaGate" offers one all too obvious example. In the
early 1960s, when President Kennedy was in the White House, open discussion of
his sexual conduct was off-limits--it was considered a private matter. Not so
for Senator Gary Hart, whose run for the presidency not so many years later
ended abruptly with the press disclosure of his sexual misconduct, and
emphatically not so for our most recent president, who was impeached for his.
What had been off-limits and private a short time ago has become fair game and
open season for the press, which now behaves as if it has an obligation to
inform the public about these matters.
While these may be the most recent flagrant and
well-publicized illustrations of the rapid shift in our conception of privacy, there are many others. The "outing" of
gays, which highlights the current tension between private and public
discourse, is another example. A more subtle example is the shift in forms of
personal address. Where a short time ago we were introduced by our titles (Mr.,
Mrs., or Miss) and surnames, perfect strangers now address us by our first
names. The hierarchy of social distance, which
distinguished our associations with familiars and members of our private lives
from our interactions with those we did not know, whom we encountered in the
public sphere, has been eclipsed by the false intimacy of casual relations.
Of course, there is no doubt that the distinction
between private and public is the outcome of continuous cultural negotiation
rather than an enduring classification. However, even if the boundaries between
these two are in flux, the distinction continues to be critical, for where
nothing is private, democracy becomes impossible. Privacy
is not only threatened by the voracious publicity culture in which we live. It
is also threatened by the accessibility and transferability of information
enabled by the new electronic technologies that flourish unrestrained in a
culture in which the limits of privacy already have been
eroded. Because this instant access and instant transferability of information
defies all boundaries, it easily and effortlessly penetrates the boundaries
between self and other, one organization and another, one state and another,
and perhaps most uniquely, one nation and another. Wherever the equipment and
the power exist, this avalanche of information is available--including an
alarmingly large portion of what, not long ago, would have been considered
private and privileged: our medical records, our charge-card records, the
records of many businesses and organizations, and even government secrets.
As a consequence of all this, we are confronted today
with a situation seemingly without precedent. Moreover, while this situation is
challenging enough at the national level, it is far more challenging
internationally--more difficult even than controlling the flow of arms or
atomic know-how, which we have been unable to deal with successfully. However,
it is worth remembering that, although new technologies seem to be changing our
conception of privacy beyond recognition, history belies
the uniqueness of this experience. The story of the Garden of Eden depicts a
beginning in which nothing was private, not even our "private parts."
It was only after Adam ate from the tree of knowledge that the distinction
between public and private emerged. With the Fall came both the sense of shame
and the idea of privacy. Or, if we look back to the time
before design and technology allowed houses to have many different rooms, there
was virtually none of the kind of privacy we are now so
accustomed to within our own homes. Changes in architecture accompanied or
reflected changes in what was private. At a very different level, the
apparently simple matter of how we dress reflects different and changing views
of what we believe ought to be invisible to others--or, in other words,
private. A stark example of this is seen in the contrast between the dress of
women on American and European beaches and that of Islamic women, or between
the concealing styles of our own earlier eras and our contemporary dress.
Finally, to cite one other well-known historical example, it was only with the
Reformation that, for Christians, religion became a private matter.
So, at a time when our notions of privacy
seem to be under assault from many different directions, and new technologies
seem to be threatening privacy's very core, a public
forum to discuss these matters and to reflect on the evolution of our
conceptions of privacy as well as those of other
cultures with different histories seemed in order. While the papers in this
issue are primarily concerned with privacy from the
perspective of the United States, two future issues will explore privacy from quite different perspectives: one from the
perspective of the former communist countries now 11 years into their
transition to democracy, and the other from that of the Middle East, with an
emphasis on Islamic cultures. Both these forthcoming issues will be based on
additional privacy conferences we are organizing in
collaboration with colleagues abroad. Together we hope these three issues will
provide a rich picture of the various and complex histories of the meanings of privacy.
ADDED MATERIAL
Arien Mack Editor
PART I
PRIVATE/PUBLIC: THE EVOLUTION OF THE
DISTINCTION
INTRODUCTION: PRIVATE AND PUBLIC
BY DAVID BROMWICH
PERHAPS the thinker who best understood both the
strangeness and the necessity of the terms private and public was Jean-Jacques
Rousseau. He was a great believer in private and public life as he thought they
should be. At the same time Rousseau detested all that privacy
and publicity have made of human nature and culture as we know them. He
observed in his Discourse on Inequality that modern society was invented by the
first person who ever thought to say of a thing, "This is mine." The
barbarism that we call civilization followed lamentably but logically from that
beginning--the system of artificial honors and snobbery and the shameless
craving for distinction that have corrupted even as they have civilized. Privacy and publicity, property and theft, come into the world
at the same moment, obedient to the same discovery. Ever since, the good and
evil of the legacy have been joined.
One can hardly conceive of public life without an idea
of the private as its contrast and supplement. Only in fantasy or journalism do
people "gather strength in private" for the sake of a "public
deployment of their best energies." Equally silly is the notion of
fulfilling one's public duty for a settled period, and with proud reluctance,
for the sake of a later private and leisured retirement. The truth is that
these opposites exist in constant mutual dependency and tension. One thinks of
a dignified public life--the ideal may be vivid even if its attainment seems
remote--and yet the very idea becomes unreal when severed from a
well-understood observance of decency in private relations. We are fated to be
public persons with a reserve of self-knowledge, and private persons whose
fortune will always a carry meaning beyond ourselves.
THE LANGUAGE OF PRIVACY
BY JOHN HOLLANDER
THE title of my essay, "The Language of Privacy," could be construed in various ways: language
that occurs in private circumstances, for example, or language, or modes of it,
that can identify or characterize a condition of privacy.
It could also be a somewhat archaic-sounding way of referring to the notion of
a "private language," which has occupied philosophers since
Wittgenstein (Wittgenstein, 1955: sec. 243 ff.), but the concern there is with
the nature of language itself (for example, could you really call something
language that was--under an appropriate definition--totally "private"
in that only one speaker knew it?). This touches at best peripherally on the
subjects of this symposium. But I shall be concentrating
mainly on the language by which we designate, mention, describe, and invoke the
(increasingly amorphous) concept of privacy.
"Private" is a word that in modern life sends pseudopodia out into
the regions of other words, like "personal," "intimate,"
"secret," "confidential," and "solitary,"
although it never takes over any of them totally. I shall be concerned with the
borders between these various terrains, and the way they have shifted over time
with an increasingly profligate use of "privacy."
It is largely as a consequence of the attachment of the
word to a legal concept engaging issues of rights (initially by Justice Louis
Brandeis and subsequently--and most influentially--by the Privacy
Act of 1974) that the word "privacy" has come
into such sensationally active public use in the past few decades. Some
anomalies in our contemporary use of "private" emerge when the terms
are contrasted in different contexts: "publicly held" corporations,
for example, constitute most of what we call the "private sector."
Different senses of both "private" and "public" are at work
here, and they require some exploration. (British "public schools"
are surely private, by American criteria, in that they are not state schools;
and yet "private schools" in Great Britain are those run for profit,
and the public schools, like American private universities, are run only to
maintain themselves and their function.)
The English word "private" shares a common
Latin origin with "deprive," "privation," and
"deprivation," all with a sense of a stripping away that results in a
loss of something. In Roman times "privilege" denoted a law applying
to an individual rather than to a population in general. The earlier
"privy," from French privý, still exists in its special sense (for
example, being "privy" to a legal or institutional proceeding) as
well as with the sense of the later word ("privy counsel,"
"privy member," "privy" = "privy stool").
The Greek idios designated a particular person as
opposed to koinos, meaning what is common to the many. (Another pair of terms
whose axis of contrast seems parallel to a private-public one is of course what
used to be a firm distinction between family and polis.)(FN1) The oldest sense
of the word "private" in English I shall call sense (2). It
designates the nature of an individual person who is not official and not
otherwise distinguished--more generally, an unmarked member of a set. Yet even
the medieval European king, as opposed to his private subjects, was spoken of
as having two bodies, a private one and a public one. And even today, a private
soldier, for example, is distinguished from a noncommissioned officer, whose
official marked status puts him or her in a position to give orders, not as a
person but as a sergeant, for instance. We might want to say today that there could
be no true privacy of certain sorts in the military,
that the limits of one's personhood are circumscribed, but this probably
applies more to one's moral agency than even another meaning of
"private" that would have been invoked. Generally, this sense of
"private" is not in paired opposition to "public"; nor does
it lead to our various concepts of "privacy":
that would depend upon what I call sense (2). This meaning of
"private" is much closer to "personal" with regard to (a)
property, (b) one's body--one's "person" in more euphemistic,
nineteenth-century usage, and thus touching on "intimate"--and (c)
something more like "secret." It is also sense (2) that has grown in
range and in importance over the past century and, especially, in recent
decades. Fewer and fewer are the circumstances in which one would want to say
of something that it was "merely a private matter." On the other
hand, in response to a question delving into something we felt to be private,
we might say "Well, that's my business." Business? A matter for some
public--municipal, state, federal--regulation? And it is not the public realm
of the so-called private sector previously mentioned that is being referred to
here. (But if instead of saying "That's my business," one said,
"That's my business!" it would be answering an altogether different
question, and privacy would have had nothing to do with
it.)
The noun "privacy"
mostly derives from sense (2) of "private." For example, when an
infantry private is promoted or when an ordinary citizen is elevated to
privilege of rank or office, we would not want to say that their former privacy had thereby been invaded. But a strong poet's language
often opens up conceptual possibilities by stretching ordinary usage; consider
here Emily Dickinson's lines (1959: 163):
To my quick ear the leaves conferred; The bushes they
were bells. I could not find a privacy From Nature's
sentinels. In cave if I presumed to hide, The walls began to tell; Creation
seemed a mighty crack To make me visible.
The grammar of "a privacy
from--" is strongly idiosyncratic here, but the sense of "privacy" at work is revised when we get to the second
stanza. It seems either that it is a condition like that of a cave in which one
hides (the cave being a bungled, overly material form of something that would
invisibly and impalpably surround one), or that when "a privacy"
cannot be found, a hiding place is one's only bet, and that will not work
either when what you are hiding from is not an animal or human agency.
In earlier usage, sense (2) was particularly applicable
to property. (I suppose that sense (1) can still apply to property in certain
cases--the swans on all the rivers of England belong to the crown, save for the
egregiously odd case of, for example, the swans on the Cam that belong to St.
John's College and are private swans.) Common land in an English village would
not be private, but enclosed fields would become so. A. J. Ayer remarked that
in philosophical discussion, one of the "principal features" of the
distinction between mind/matter "is that a privacy
which is denied to matter is attributed to mind" and this suggests an
analogy with property but with regard to epistemological, rather than physical,
accessibility: matter is common and mind enclosed, although the enclosures
themselves would thus be built of common matter but, as human, minded bodies,
laid claim to by their minds as private property.(FN2) A separation of notions
of privacy and property occurs in American English usage
over a period of 80 years between the language of the Supreme Court in 1886,
referring to "the sanctity of a man's home and the privacies
of life" (Boyd vs. U.S.),(FN3) and speaking of a "right to privacy, no less important than any other right carefully and
particularly reserved to the people." It might be noted that nowhere in
the Fourth Amendment, which affirms "the right of the people to be secure
in their persons, houses, papers and effects" does the word
"private" appear, although the tendency today might be to feel that privacy inheres somehow in the grammar of "secure in
their ..." (which does not mean in the safety of their homes, etc., but
rather secure in their possession of them).
A zone of privacy that one
carries about with one (and that, today, can be said to extend to disembodied
information about one) is rather like the kind of "private property"
called personal wealth. George Kateb considers the right to property to be the
right "to have and to get more"; in this connection he observes that
"Only a miser wants it [wealth] for its own sake. Nothing of value--not
life itself--could go on without taxation. Giving up some of one's wealth is
therefore not acquiescing in injury to one's human dignity" (Kateb, 1992:
21). Giving up some of one's privacy is likewise therefore
not acquiescing in injury to one's human dignity, but rather possibly a
reasonable trade-off (for security, erotic enjoyment, wealth). But to pursue
this analogy, is catatonia a version of extreme hoarding of privacy?
Is autism? A total individualism--which need not, but which probably would,
result in anarchy--might also be. A sense of your own privacy
is not compromised by your knowledge that everyone else has an equal amount or
range of it; there is no greed extending to privacy, and
no striving to exceed others in its possession. This is not true of a sense of
ownership of real or other property. There can never be too much privacy, but putting it that way is to use the phrase very
differently than when saying, concerning human greed, that there can never be
too much property or wealth. On the other hand, we might agree that there can
never be too much protection of it from unwarranted intrusion.
John Locke asserts, in a formulation basic to some of
our concerns here, that "Though the Earth, and all inferior Creatures be
common to all Men, yet every Man has a Property in his own Person. This no Body
has any right to but himself" (Locke, 1690: ý27).(FN4) But in Hobbes's
state of nature, there can be no privacy: "[I]n
such a condition, every man has a Right to every thing; even to one another's
body" (Hobbes, 1952: 99-109).
Together, these formulations imply some sort of agency
that can possess undisputed rights to the bodily territory it has inherited,
but only the second insists that these rights are themselves constructed by the
first and general construction of culture itself. Animals often seek seclusion,
isolation, and shelter from any trace of presence of an Other; humans may tend
to speak of them as seeking privacy, but here again, the
imperial term extends its terrain.
Georg Simmel speaks of "our body which is our
first 'property'"--having previously defined "property" as
"that which obeys the will of the owner" (Simmel, 1964: 322 n.). This
perhaps raises the question as to whether disposability is a criterion for
property: if it is mine, I can destroy it, sell it, trade it, dis- or
reconfigure it. Yet even if our bodies are in any way our private property, our
ordinary rights seem not to extend to them. For example, suicide might have to
be held to be the taking of a life rather than the destruction of one's body in
order to constitute a crime, as it is in some jurisdictions. Counterassertions
to the notion that your body is your property would have to argue that your
private body is only leased to you by God, or, as in popular Catholic pastoral
jargon of the nineteenth and the first part of the twentieth centuries, remains
a sacred precinct, a temple, of God's gift of life, and therefore, again, not
private and not yours to allow to be sexually excited, entered, and possibly
impregnated.
Are our bodies more private than our
"thoughts" (or fears, sensations of hunger, or pain)? All the latter
are what we might want to "express," to squeeze out of the more
private space. The question whether we would want to say that our bodies are
privy to our thoughts is one for a philosophical argument not to be pursued
here. But we might more appropriately ask whether it is a greater invasion of
my privacy to touch me, or to interrogate me, against my
will. It probably depends upon what kind of touching where on my body, and what
kind of questions asked of me under what constraints. Or again, if you grab my
hand and shake it without my having offered it, have you violated my privacy? If you call me "John" without having met or
acquired some intimacy with me, have you violated my privacy?
Or in either or both of these cases, is it something else that has gone wrong,
and perhaps this is a matter not of privacy but of
intimacy? Does transgressional tutoyer--the use of the familiar rather than the
polite form, in languages other than English, of the second-person
pronoun--violate privacy? No. Then what? It has a feel
as if something here were being violated--decorum? status? one's right to
assume that decorum is a basic social default-mode? Or
what? That is surely a public matter: acknowledging status is what one wants in
that case. Residues of tutoyer in English occur only in obsolete
"biblical" (and early modern English)--thou, thee, thy (plural ye, you)--as
if a private discursive realm had been forever commandeered for public use. For
almost two centuries, American English reserved addressing someone by his or
her Christian name alone as a rough equivalent of the tutoyer of most European
languages.
But I note with some amusement that it was about the
time that the Supreme Court's opinion in Griswold focused new and intensifying
attention on the domain of privacy that people in their
late teens and early twenties abandoned surnames in most encounters, as if it
were more private information than one's given name.
My body is my private property par excellence. But
since privacy is itself immaterial, is my name my
property? And what makes it my name? I can't copyright "John
Hollander" per se--there are probably many others--but I suppose I can
copyright "John Hollander, Inc." Or can I? But, if I had a unique
number, it might be said, like my body, to be my property, even if only on
leasehold. And what about my shadow? Is that "mine," even though I have
less control over it than the light source that generates it? In Simmel's
terms, my shadow is not my property. If you call out my name are you violating
or encroaching upon my privacy? What if you tread on my
shadow, or if your shadow falls across mine? The history of the use of the word
private in the last half-century suggests that there would be more occasions on
which even people who would not want to assert that their shadows were private
would admit that they somehow feel as if they were. And this is to say
something about the changing uses of a word rather than about changing
attitudes toward cast shadows.(FN5)
Literature, especially poetry, often exhibits the
extraordinary use of ordinary language, and can often remind us of issues our
ordinary use of words would neglect, repress, or even deny. We might consider
one particular observation about privacy written in
1931. It emerges in W. H. Auden's dedication, to Stephen Spender, in his early
book The Orators (1932), a strange work in prose and verse full of secrets and
conspiracies against many areas of public, and particularly of institutional,
domain:
Private faces in public places Are wiser and nicer Than
public faces in private places.
Auden's lines play against an old and much simpler
proverb ("Fools' names and fools' faces/Are often seen in public
places"). But beyond that, this little dedicatory epigram turns upon
several meanings of the word "private." If we miss all of these, the
lines lose some of their point: "private face" might only make sense
if we meant a totally veiled one, or else, in another sense of face
("making a face"); in that instance, it would have to refer to a
particular facial gesture or set of these, only articulated in what the face's
owner would think of as some kind of privacy. Faces are
by nature public. But the word "private" in the first line is simply
contrasted with "public," although the faces and the places are
indeed more strongly differentiated. "Private" here blends with some
of the meanings of "personal" and "intimate" and sets up an
interesting balance of official/private, general/personal--the theme of the
sanctity of individuality and idiosyncrasy against social
conformity, a theme that has not yet fully flowered into a slightly later
political agenda of individuality brutally menaced by totalitarianism. I would
guess that for Auden there is the additional suggestion that public faces--the
result of what Eliot's J. Alfred Prufrock calls preparing "a face to meet
the faces that you meet"--are somehow masks that public roles impose upon
the players of them, and that they would be as intrusive, in a soft personal
realm, as hardware.
There is a play here on different senses of
"place" as well, a place that affords privacy
to a person, as opposed to one located on or in that person, particularly what
are less and less often called today "private parts." The interplay
between these two senses of "place" here is influenced, I believe, by
Andrew Marvell's famous lines from "To His Coy Mistress"--"The
grave's a fine and private place / But none I think do there
embrace"--"fine" = narrow + excellent + pun on final;
"private place" > "private parts," about which he has
just been speaking ("And your quaint honor turn to dust / And into ashes
all my lust"). In the case of Auden's lines, the erotic situation is one
of being gone down on by a perhaps dehumanized "public" person, a
molecule of institution rather than of individuated humanity, and particularly
a "private" person capable of loving another. (Indeed, a
twentieth-century sense of the word "private," distinguishing a
person from an institution, may have developed in recapitulation of the older
sense that I have designated [1].) On the other hand, the private face in the
public place may perhaps be vulnerable to all sorts of emotional and spiritual
battering, but it will not do anything to the public place beyond providing an
emblematic reminder that it--the place--does not wholly constitute the world.
Ultimately, public and private places in the poem are two different sorts of
place; the private one is more complex, to the degree that it can be both the
locus of a person, and--perhaps we might want to put it, concentrically--a
locus on or in a person. (I shall return to this concentric paradigm
later.)(FN6)
Even more blatantly sexual is another bit of background
text for Auden's epigram, a well-known moment in a scene from Shakespeare
between Hamlet and Rosencrantz and Guildenstern (Hamlet, II, 2). The pair are
characterized by Rosencrantz as "the indifferent [in the sense of
"undifferentiated" = ordinary = private (1)] children of the
earth." Guildenstern adds: "Happy [= fortunate, lucky] in that we are
not overhappy. / On Fortune's cap we are not the very button." And then:
Hamlet: Nor the soles of her shoe?
Rosencrantz: Neither, my lord.
H: Then you live about her waist, or in the middle of
her favors?
G: Faith, her privates we.
Guildenstern uses "private" to mean an
intimate, a close friend, and perhaps himself plays on "private (unranked,
ordinary) soldier" (remember that they are not "overhappy"). But
Hamlet moves in for the kill by replying: "In the secret parts of Fortune?
O, most true! She is a strumpet ...." (Note that the phrase "private
parts" has not come into usage yet. Instead, we have privy parts, privy
member, etc. There is no trace of it before Shakespeare's death, and the term
is mostly Victorian--thus Samuel Butler: "The three most important things
a man has are, briefly, his private parts, his money, and his religious
opinions." What an English and Protestant thing to say! And how neatly
these components of a larger sense of the private are assembled" (quoted
in Auden and Kronenberger, 1962: 10).
We speak of privacy as being
open to violation of, or intrusion upon, it. Certainly, issues of privacy have become almost sensational in the past few years;
and this may result in good part from privacy's rapidly
increasing fragility in the face of developing technologies violating it, both
secret and open, beyond the capacities of the intrusions of preindustrial ages.
But there are circumstances in which the boundary is traversed from the other
direction. In Thucydides' account of the decay of civic life in Athens during
the plague, he observes that "Men now coolly ventured on what they had
formerly done in a corner" (Thucydides, 1934: I, 53: 113) and we might
almost feel here that it is as it were the privacy of
the public realm that has been violated. There is another story about
"private faces in public places" that does not interest the young
Auden, but which we must certainly consider. One whose privacy
has been invaded may feel shame, or even guilt if part of the private terrain
had been a region of secrecy containing evidence of crimes, profoundly
regretted acts, or sins (if one's moral universe contained such a category).
But one might also feel something like shame--although not for oneself
personally--that the public realm had been violated, rather than merely feeling
sympathy for some other victim of the crime of breaking and entering. It is
almost as if the public realm had its own sort of privacy,
its own property-related propriety: what in many jurisdictions is defined as
"indecent exposure," for example, is felt to be just that sort of
intrusion.(FN7) It is easy to feel that something is wrong with the polis,
which must do too much public business secretly, and it seems very strained to
say that a government--which, unlike a king, is not a person--can have privacy (as opposed, of course, to members of government
as--in sense [1]--private persons).
Walt Whitman asserts a personal view of personal privacy in a wildly clever way by stripping institutions of
whatever might be thought of as their hedges against intrusion. After
proclaiming himself (Whitman, Song of Myself, sec. 24) to be "No more
modest than immodest," he exhorts his reader to "Unscrew the locks
from the doors! / Unscrew the doors themselves from the jambs!" From a
born Quaker with a particular sense of an almost sanctified boundary between
the private and the institutional, this sounds strange if taken too literally.
Whitman follows these lines with "Whoever degrades another degrades me, /
And whatever is done or said returns at last to me." and here the metaphor
of opening up a house of personhood becomes even more complex. But the whole of
Whitman's poem, with its new metaphors of body, soul, and self, might be looked
at in itself as an energetic and improvisatory reconfiguration of private and
public domains.
An easy structuralist sort of conceptual move might be
to highlight for basic significance the public/private boundary, rather than
the total peripheries of the territories it divides, with their far less
determinate frontiers. I shall not do so in these observations, although the
temptation is there and the consequences hardly dishonorable. Nor do I have
space to consider such questions as that of the relation between feeling that
one's privacy had been invaded and that some other
injustice had been done to one. Nor, indeed, what effect the current
jurisprudential climate may soon have on just that relation.
"Literary property" is, of course, private
property leased out into contingent public status until, after some legally
designated period of time, it enters what is called in this sort of language
"the public domain." You own a letter written by Fred to Hilda,
containing an unpublished poem and an ancillary confession to some vile misdeeds.
The letter--the pieces of paper--is yours and you can write on it, rewrite what
is on it, wrap sandwiches with it, start a fire with it, mop up messes with it,
shred it, or even burn it. But you cannot publish any of it in any form, for
the language belongs to Fred or his estate--not to Hilda or hers, and certainly
not to you. What you possess are the means and the right to destroy it, but
only the means, and not the right to give it life. For it is as if the language
only comes to life as language when it is re-uttered in public inscription,
like some portion of a person's privacy that only seems
to come into existence when it is violated--which is, again, like an internal
region of your body that only seems to be "there" when it is in some
kind of pain or other altered state. What meaning of the word "privacy," then, might someone be tempted to ascribe to
literary property? In the case of the Fred-Hilda letter, when a private
communication between two people is spied upon by the lawful owner of the
medium of that communication, whose privacy is invaded
more, Fred's or Hilda's? Does the zone of privacy apply
not only to people but to something connecting them?(FN8)
But I now wish to turn for a moment to another matter,
that of secrecy. Two issues seem to be central to the relation of privacy and secrecy. The first is that secrecy can be a mode
of ensuring privacy but, save in the worst of social and political circumstances, should not have to be. The
second, more interesting notion is that the truest secret is a dead secret (a
"deep" one in German), that is, one whose very existence, let alone
its content, is unknown, probably to no more than two people. Saying "I
have a secret" may mean only "I have knowledge of something and that
knowledge is of a private part of me, access to which is obtainable only by
very special permission." One may have to lie to protect a secret. There's
no special right to keep secrets, only an obligation not to lie about them
under oath.
"Do you have any secrets?"
Yes."
"What is one of them?"--and here Fifth
Amendment rights might then hold, if the secret involved guilty knowledge. But
do they in the case of the first question? Generally, secrecy is a condition
that is broader than the realm of the dead secret, but there is a purity about
the latter, as well as a power to remain unbroken, that can seem to constitute
an utmost authenticity. And once you share your secret with even one other
person, you compromise it and are therefore responsible in some part for its
becoming open knowledge if revealed by the other party. On the other hand, it
is probably essential that one's domain of privacy not
be a secret.
When secret matters become public, the only outrage
deemed to occur would be from those who felt such matters ought to have been
kept secret, and those who felt they ought never to have been in the first
place. But--as was previously observed--when certain privacies
are thrust into the public realm, many people will feel that it is the public
realm that has been violated somehow as well, even if the private party
consented, and thus might be said to have thrust an intimacy upon a public
realm that might perhaps reasonably claim its own right to protect its citizens
from having intimacy imposed upon them without contract. Or from contracting
intimacy as if it were a disease, rather than contracting for it, which is a
different matter.(FN9)
A secret revealed--or, more obviously, an enigma or
riddle solved--is not per se an intrusion upon any sort of privacy,
although the characteristic initial secrecy of the enigma may protect the
means, the hidden key or the burglar's tools, as it were, enabling that
intrusion. But the existence--and something of the nature--of a particular privacy need not, and probably should not, be a secret.
Rather, that privacy is something known to exist and to
be acknowledged. Emily Dickinson, a poet and person we tend to think of as the
secular saint of some kind of privacy, was very clear
about secrecy, which she deals with in several poems, but almost always
averring that dead secrets are the only true ones. For example:
"Secrets" is a daily word Yet does not
exist-- Muffled--it remains surmise-- Murmured--it has ceased-- (1960: No.
1385: 595)
and
The Suburbs of a Secret A Strategist should keep,
Better than on a Dream intrude To scrutinize the Sleep (1960: No. 1245: 546).
It is easy to think of secrecy as being forced to occur
when insufficient privacy is afforded individuals. This
comes from a particular antipuritanical view of society (not only American--we
have all read French novels). Societies may at once map out private and public
spheres and at the same time produce institutions that violate the
boundaries.(FN10) Certainly, a right to have secrets seems even more
fundamental than a right to privacy, however defined, as
is, I think, a right to seek solitude, and a right to try to preserve it by
lawful and reasonable means (although probably not a right to have it preserved
for me).
But let us consider for a moment the relation of
solitude and privacy. Solitude can be spoken of as a
condition free of one's consciousness of present Others having present
knowledge of one or, conversely, as a condition bare or in want of such
consciousness.
Loneliness is a very different condition that we
nevertheless implicitly treat as a metaphorical solitude. We can choose
solitude or not, the way we choose sunlight or shade, and we may decide to
barter some territory of our privacy. (I do not think we
would ever choose loneliness.) But unless one is invoking the privacy
that solitude necessarily and trivially provides, then a notion like "privacy in solitude" seems of little interest. It is privacy when one is among others that is the point. And there
is a way that public / private may not always function as a mutually exclusive
pair: one might want to invoke public privacy, that is,
a general acknowledgment that even when immersed in public relationships, there
is always a private core, that privacy is a matter to be
publicly acknowledged.
Elected solitude secures bodily and rhetorical privacy and prevents any intimate activity (although trespass,
or what I will call one's textual privacy, involving
one's written communications, and, more recently, certain information about
one, can always be violated in one's absence). Enforced solitude, on the other
hand, might be felt today as an infringement on one's privacy
even though one could not argue that this constituted an infringement upon any
of one's rights (for example, a prison sentence resulting from a confession to
a crime or an uncontested jury verdict). Voluntary solitude can generate
feelings of loneliness, but it is frequently loneliness felt in the midst of
others that encourages retirement and withdrawal into solitariness--a kind of
secular monastic retreat into a natural cell, the Waldeinsamkeit or sylvan
solitude of the German romantics. The English poet Andrew Marvell's protagonist
in "The Garden" withdraws into a private green world, not only from
the red and white of sexual embodiment, but from the contingent public greens
of oak, palm, and laurel--the wreaths awarded for achievement in war,
statesmanship, and poetry--as well. "Society is all but rude," he
proclaims, "To this delicious solitude," where the rude, the rough,
the raw usually flourish in the absence of civilization, or society. Here the
speaker's mind commits its most private act of withdrawal "annihilating
all that's made / to a green thought in a green shade," after which his
soul--in yet one innermost private realm--departs from his body and flies up
into a tree like a sort of nonmaterial bird. (Marvell, 1994: 46).
A much later English bourgeois kind of privacy
is the one outlined at the end of an essay by George Santayana, interesting
also for what seems to be a compound, rather than a mixture, of admiration and
condescension:
It is intelligible that a man of deep but inarticulate
character should feel more at ease in the fields and woods, at sea or in remote
enterprises, than in the press of men. In the world he is obliged to maintain
stiffly principles which he would prefer should be taken for granted. Therefore
when he sits with his newspaper, his wife, or his dog, his monumental passivity
is not a real indolence. He is busy reinforcing his character, ruffled by the
day's contact with hostile or indifferent things, and he is gathering new
strength for the fray. After the concessions imposed upon him by necessity or
courtesy, he is recovering his natural tone. To-morrow he will issue forth and
confident, and exactly the same as he was yesterday. His character is like his
climate, gentle and passing readily from dull to glorious, and back again;
variable on the surface, yet perpetually self-restored and invincibly the same
(1922: 38).
We should also note the question of private
devotions as opposed to public ones: perhaps seventeenth-century German pietism
favored privacy, but radical protestants in England and
the United States aimed more at outing religious experiences and testaments of
faith. Even beyond the most radical seventeenth-century protestants, Quakers
wished to nullify all institutionality, even of some sort of protestant
congregation, and opted for carefully filtered semipublic utterances
constituting witness of the private meditational state.
Before concluding, I should like to make some brief
observations on questions of shame and guilt as they touch on my subject. Ruth
Benedict, in The Chrysanthemum and the Sword, distinguished between "shame
cultures" and "guilt cultures," but did not go into detail about
the consequences for privacy in the two contrasting
instances. But even if a guilt/shame distinction can seem to lie along a
private/public axis, it may be misleading merely to leave it there. A very
important association of shame, guilt, and, implicitly, privacy
in our literature is worth a moment's consideration here.
There is no Privacy in Paradise,
just as classical antiquity had it that there was no Chastity (in an older
sense of the word, "honour") in the Golden Age, because there seemed
to be no need of it--in such a world in which all pleasure was by definition
virtuous--if only because there could be no motive for encroachment upon it. In
Renaissance mythography, the shading of the story is toward there being no
Guilt or Shame in the Golden Age as well. With regard to the meaning of "privacy," we might immediately want to associate shame
with the public realm and guilt with the private one, but this could be
misleading (as with theological as opposed to legal "guilt," for
example). One powerful modern myth of the dawn of the private/public boundary
deeply involves matters of shame and guilt, rather than of property or
personhood. (The very word "private" occurs only once in Paradise
Lost, but only in the sense of "secluded".)(FN11)
Milton's Paradise Lost presents us among other things
with a remarkable mythopoetic etiology of everything we think of as
"natural," which comes into being at the precise moment of the Fall.
There is a powerful moment (Book IX, 1051-59) when we see Adam and Eve confront
one other after their first, desperate act of fallen sex (their erotic life
before their act of disobedience, Milton tells us, was active and loving but
unspiced by guilt and desperation). But making love after their "first
disobedience" is different:
up they rose
As from unrest, and each the other viewing,
Soon found their eyes how opened, and their minds
How darkened; innocence, that as a veil
Had shadowed them from knowing ill, was gone,
Just confidence, and native righteousness
And honour from about them, naked left
To guilty shame he covered, but his robe
Uncovered more ...
Milton's phrase "guilty shame" is all the
more interesting when we consider the feeling of guilt about their sexual act.
In itself it is no less blameless than their breathing or eating--it is their
disobedience for which there is reasonable guilt to be felt, but at this moment
it is displaced onto the sex. This might in fact be thought of as a
"shameful guilt"; the first shame to be sensed in the world
"guilty" because of the general guilt borne by humanity for an
original act whose consequences include the origination of shame in the world.
The consequent origination of a particular desire for privacy occurs shortly thereafter in Adam's outcry:
O might I here In solitude live savage, in some glade
Obscured, where highest woods impenetrable To star or sunlight, spread their
umbrage broad And brown as evening: cover me, ye pines Ye cedars, with
innumerable boughs Hide me, where I may never see them more (Book IX, 1084-90).
Adam wants privacy here from the
only public gaze that exists at this point, that of the moon and stars and,
more closely, Eve (who feels the same about him). This desire leads to the
first clothing, designed not to protect bodies from cold, rain, or too burning
sunlight, but rather to protect what would eventually come to be called in
English the private parts of those bodies from totally impalpable view.
It might be added that previous to this (Book IV, 505-10),
unfallen "privacy" has been prematurely
invaded by Satan, who watches them making love, which he finds a "sight
hateful, sight tormenting" and says of the two that they are
"emparadised / In one another's arms" when in fact they are literal
in Paradise, and not metaphorically so, in the language of fallen--or
natural--human eroticism. Satan misreads their state as being that of privacy. It is almost obscene to think of privacy,
or lying, or civil law, or weaponry, or cooking, or clothing, or calculus, as
existing in Paradise. It is Satan who brings the paradigms for the institution
of all of these into the garden. Privacy comes into
existence as his misconception and as the target of his invasion. Had there
been no first act of disobedience, and no Fall, none of Adam and Eve's
descendants would have felt a need or desire for--much less a right to--any
such condition.
It may be that a lot of what we mean today by the word privacy has become reified since a right to it was invoked by
Brandeis early on. The contour and mass of the realm of personal privacy we might want to protect have become increasingly
amorphous. There is a danger of the morally ludicrous in, for example, the
loudly implicit belief of so many Americans--fueled to some degree by the
lawyers--that somewhere in the Right to Privacy is
lodged a Right Not to Have One's Feelings Hurt. There are other, more plausible
extensions of the personally private. For example, I would like to claim that a
mentally brutal yahoo in a passing or waiting car with his booming bass
speakers thrusting unspeakable twaddle into my victimized hearing is infringing
upon my right not to hear. But I would dread much more the constitutional
consequences of my claim being legally acknowledged. And yet, the default mode
for making my claim would probably, these days, invoke some notion of privacy in public as the issue.
For--as was suggested earlier--an inappropriate
transgression of the public boundary can occur in either direction. We usually
think of public invasions of an individual's privacy,
and tend not to want to think of private invasions of another's privacy. This we usually call intimacy, and consider that
there is no invasion but some kind of consent and even extended welcome.
Intimacy may usefully be thought of as a contractual agreement between people--canonically
but not necessarily two of them--for mutual extension of the diameters of their
respective spheres of privacy. But where there are
taboos about, say, public exposure--and parts of the human body seem always to
be coated with a film of shame--it almost nullifies an individual's rights in
his/her body, and thereby infringes on a right to privacy
therein.
Considering the size of particular "spheres of privacy" is a way of dealing with the matter of degrees
of privacy, whether of property, person, body, thoughts,
or any particular mapping of relations among these. As I noted earlier, one may
think of a person at the center of a number of concentric spheres of family,
group, polis, and so forth.
But these are only spherical envelopes. Someone's house
may be more private than the rest of her private property, her living room more
private than (almost by definition) her foyer, her bedroom more private than
her living room. Would her bathroom then be more private than her bedroom? This
might depend on the probability that any glimpse--undesired by her--into it
would constitute an additional violation. (First, looking into the sanctum,
itself an intrusion; second, looking into it while she was there, an additional
intrusion; third, being observed doing some particular x or y within that
sanctum would cause her to feel yet one more violation, but probably as an
intensification of the first one.
We often talk as if these spheres of privacy
become more intimately private as we get closer to the center. But where would
we locate that center? One's personhood could itself be thought of as a large
sphere, within which body, various bodily parts, minds (themselves comprising
perhaps desires, intentions, memories, and so forth). Where--to look at it another
way--would we be implicitly locating that center: inside our bodies? our minds?
(or, for those who would wish to fill out this traditional taxonomy) our souls?
Which would we take as a greater intrusion: to peer into our thoughts or our
pants? And don't we often talk as though we would love to have violated the privacy of our own pain, so that someone else could feel it?
Even if we could refuse this option, saying "It is a far, far better thing
I do not to let you feel this too," the issue would not be one of not
wanting the privacy of our physical sensations to go.
And, indeed, we all implicitly pray that our sensations of the world and even
of something of ourselves are not totally private, lest we be insane.
FOOTNOTES
1 For a discussion of the distinction between idios/demios and idios/koinos--in
re a self as opposed to in re the people and what is in common, commonly
shared, and the older Homeric word xunos instead of later koinos, see
Barrington Moore (1981: 81-83). Moore speculates on the social
implications of what he considers to be the different senses of the older and
later words. We may also note the terms in modern German that span some of the
senses touched on in this paper: Abgeshiedenheit, Zurýckgezogenheit =
retirement, seclusion; Verborgenheit = secrecy, hiddenness, concealment;
Heimlichkeit = secrecy, secretiveness, mysteriousness; Geheimnis = secret,
mystery; Innigkeit = intimacy.
2 On this largely bourgeois sense of "private", see Joseph Rykwert's
paper in this issue of Social Research and Raymond
Williams (1985).
3 In Boyd vs. U.S. (116 U.S. 616 S.Ct. 524) and, more completely in Mapp. vs.
Ohio, four years before the landmark Griswold decision (381 U.S. 479) and cited
prominently in it, mentioning a "right to privacy,
no less important than any other right carefully and particularly reserved to
the people."
4 In the paragraph immediately preceding (ý26), Sir Robt. Fillmer's phrase,
"Private Dominion" over the world, is invoked by Locke when he
claims, contra Fillmer, that "no body has originally a private Dominion,
exclusive of the rest of Mankind" in any of it.
5 I suppose an extreme instance might be, "But what about my DNA?" Is
this my "identity"? Would it be quintessentially my private property?
How would it differ from a horoscope prepared for me, or the text of a
particular divination about me (say, from the lines on my palms)?
6 John Fuller (1998: 88) comments on these lines: "It suggests, with
memorable concreteness, that the community will benefit more from contributions
from individuals than it will from an organised bureaucracy. It may also
contain a sly apologia for private references in the work." Quite
possibly, but the specific sexual evocation is strongly there.
7 See in this connection the papers of Bromwich, Kateb, and Margalit in this
issue of Social Research.
8 The situation seems parallel to this ludicrous one: I have a jewel box,
legitimately acquired, containing jewels still belonging to you. Under our
laws, I can do anything I want to the box--sell it, destroy it--with whatever
consequences to the jewels inside. Except that, once the box is opened, any
jewel I take out of it and is touched by me immediately becomes stolen goods
unless handled with your documented permission. So in our normal instance: the
language does not become your property as long as it lies ontologically dormant
in the writing on the surface of the paper I own.
9 Also see Simmel (1964: 330-376) on secrecy generally.
10 I now wonder what my sort of America was like so as to produce that view in me
about 40 years ago. For example, I felt, I suppose, that shame was shameful.
But was a sense of false guilt shameful too? Certainly, something about
humanity in general was truly guilty of feeling false guilt. And on this score
see the discussion of Milton's lines involving "guilty shame" that
follows.
11 This occurs in Paradise Lost (V, 106-12):
Reason ... frames All what we affirm or what deny, and
call Our knowledge or opinion; then retires Into her private Cell, when Nature
rests. Oft in her absence, mimic Fancy wakes To imitate her, but misjoining
shapes, Wild work produces oft, and most in dreams.
On the other hand, in Paradise Regained, the word
"private" has a remarkably powerful dramatic function, being used by
Satan in denunciation of the Son; the term is redeemed in the final line of the
poem, when it is used in a very complex way, and in any case in partial
repudiation of Satan's wielding of it, where the Son "Home to his mother's
house private returned."
REFERENCES
Auden, W. H. and Louis Kronenberger. The Viking Book of
Aphorisms. New York: The Viking Press, 1962.
Ayer, A. J. "Privacy."
Proceedings of the British Academy, 1959. Oxford: Oxford University Press,
1960.
Benedict, Ruth. The Chrysanthemum and the Sword.
Boston: Houghton Mifflin, 1946.
Dickinson, Emily. Selected Poems and Letters. Ed.
Robert N. Linscott. New York: Anchor Books, 1959.
Dickinson, Emily. The Complete Poems of Emily
Dickinson. Ed. Thomas H. Johnson. Boston: Little, Brown, 1960.
Fuller, John. W. H. Auden: A Commentary. Princeton:
Princeton University Press, 1998.
Hobbes, Thomas. Leviathan. Oxford: Oxford University
Press, 1952.
Kateb, George. The Inner Ocean. Ithaca: Cornell
University Press, 1992.
Locke, John. Two Treatises of Government. London, 1690.
Marvell, Andrew. Selected Poems. Ed. Frank Kermode.
Oxford and New York: Oxford University Press, 1994.
Moore, Jr. Barrington. Privacy:
Studies in Social and Cultural History. Armonk, N.Y.: M.
E. Sharpe, 1984.
Santayana, George. Soliloquies in England and Later
Soliloquies. London: Constable, 1922.
Simmel, Georg. The Sociology of Georg Simmel. Trans.
and ed. Kurt H. Wolff. Glencoe, Ill.: The Free Press, 1964.
Thucydides. The Peloponnesian War. Trans. R. Crawley.
New York: Random House, 1934.
Whitman, Walt. Leaves of Grass. New York: W. W. Norton,
1968.
Williams, Raymond. Keywords. Rev. ed. Oxford: Oxford
University Press: 1985.
Wittgenstein, Ludwig. Philosophical Investigations.
Oxford: Blackwell, 1955.
PRIVACY IN ANTIQUITY
BY JOSEPH RYKWERT
AT the end of his paper in this volume, John Hollander
warns against the erection of privacy into the central
principle of thinking; that our sensations of the world "and even of
something of ourselves are not totally private, lest we be insane."
Against this complete isolation he sets the person whose privacy
is conditioned by being installed at the center of concentric social
spheres: family, neighborhood, city. I propose to follow him and begin by
considering the term personal first; personal and private are contiguous and
overlapping notions, after all.
Stalin famously assured his old friend and associate
Nikolai Bukharin that even if he had to be executed--as he indeed was--it would
be "nothing against him personally." Commenting on Stalin's remark,
George Walden, a British political theorist, remarked that "Nothing
Personal might double as the twentieth-century's motto--and its bitterest
joke."
Privacy is viewed in all these
comments as a faculty, an extension of the person--the person on whose sphere
Stalin's shot in the back of the head was not supposed to impinge. Perhaps
Stalin had a point though: the bullet would certainly bring an end to the
individual, but might not finish off the person. "Individual" and
"person" are two more words that we regard as coextensive and use
almost interchangeably--even if most of us know well enough that they are not
synonymous. It is the difference between them that I would like to consider
before I return to our primary business of privacy.
The individual of whom we speak nowadays is a
seventeenth-century construct. He or she--or perhaps it--has been the
inevitably singular subject of any mental process ever since Descartes made the
thinking ego the sole guarantee of any clear or certain knowledge. Not that the
individual is unknown to earlier philosophy: Aristotle had been at great pains
to characterize the atomic, the indivisible individual, in the seventh and
eighth books of his Metaphysics (1035a, 1045b), and the matter much preoccupied
philosophers in the following centuries.
Long before Descartes, Augustine of Hippo defended the
possibility of rational knowledge that had been questioned by Skeptics in
previous generations, and against them allowed that he might be mistaken, so
that his own cogito would be the possibility of error: Si enim fallor, sum. If
I am in error, then I surely am. Someone who did not exist, could not be
mistaken, he argues.(FN1)
Augustine is often regarded as the first writer to
articulate the inviolate interiority of the person: "do not wander about,
but return to yourself: truth dwells within man," he insisted. But his was
a brittle certainty and he would pray for divine help "when he had become
a question to himself."(FN2) Yet it was also characteristic of him that he
took the possibility of error as the ground of his being.
Augustinian interiority might be advanced
controversially to answer earlier skepticism--particularly that of Cicero--but
in the construction of his thought it remains a subordinate concern. It has
neither the polemic weight nor the central importance of Descartes'
cogito--which became the ground of his thinking after the radical, unfocused
skepticism of Pierre Charron and Michel de Montaigne (whom he so much admired).
Nearer our time the cogito provided Edmund Husserl with a core he was able to
swell and unfold--leading him to opine that "all philosophy was an
egology."
Between Descartes and Husserl the assertive ego-subject
became a touchstone of modern, of bourgeois individuality. Yet the thinking
subject, an atomic and immaterial res cogitans, cannot have privacy
predicated of it since its environment has no grasp on it. The "l" in
the cogito can only be private as the tangible res extensa. The connection
between the two res, as that between mind and body, is one of the major
problems of post-Cartesian philosophy. I therefore seem to be suggesting almost
the opposite of A. J. Ayer's view, which John Hollander quoted: "that a privacy which is denied to matter is attributed to mind."
And I will be concerned, in what follows, with the conditioning antecedents of
our conception of privacy as it has become highly
developed in the age of the bourgeoisie.
Nowadays, many consider privacy
a right that is often infringed by various pressures, while others consider it
a privilege they are prepared to defend legally and even physically. Privacy has therefore lost the sense of impoverishment and
exclusion that it certainly had in antiquity. Hannah Arendt pointed this out
long ago:
[T]he privative trait of privacy,
indicated in the word itself, was all-important: it means literally a state of
being deprived of something, and even of the highest and most human of man's
capacities. A man who lived only a private life who--like the slave--was not
permitted to enter the public realm--was not fully human. We no longer think of
deprivation when we use the word "privacy,"
and this is partly due to the enormous enrichment of the private sphere through
modern individualism (1959: 35/42).
This privative sense of privacy
was rooted in the social conditions of a subsistence
society. Hannah Arendt, again:
Individual maintenance [was] the task of the man, and
species' survival the task of the woman .... [T]he labor of the man to provide
nourishment ... [and] of the woman in giving birth were subject to the same
urgency.... Natural community in the household ... was born of necessity, and
necessity ruled over all activities performed in it. The realm of the polis, on
the contrary, was the sphere of freedom.... What all Greek philosophers, no
matter how opposed to polis life, took for granted is that freedom is
exclusively located in the political realm, that necessity is primarily a
prepolitical phenomenon (1958: 31).
Of course, Arendt overstated her case. Yet it
remains true that the householder who enjoyed the freedom of the polis was
always male--women did not usually appear in public space (even if there were
exceptions, as when women, disgusted with male warmongering and absenteeism,
take over the Athenian Agora and the Akropolis in Aristophanes' Lysistrata).
The gender separation of the place of the free agents and that of the ministers
to necessity--as between male and female--was often marked by displays.
Among the most common types of Greek sculpture are the
marble or bronze boys, the always naked kouroi, who were juxtaposed to the
Doric columns that surrounded buildings, particularly temple buildings;
meanwhile, korai, the girls, were always clothed, and were more often on the
interior. This contrast was sometimes emphasized by giving Doric temples Ionic
features within, as in the Athenian Parthenon. Female nudity is rare in Greek
sculpture. The Aphrodite that Praxiteles made for the Cnidians in the reign of
Alexander the Great was the first famous Greek female nude.
Although we know a great deal about Minoan and
Mycenacan houses and palaces from archaeologists--that some were two or even
three stories, that inner rooms were lit by clerestories or lanterns--we know
little about the way in which they were used. When it comes to
"classical" Greece, the Greece of the polis--and to Rome--we are much
better informed. The Greek houses we know from Delos and Olynthus, and later
from Priene and Olympia, even Athens itself, have many common characteristics.
They were often two-storied, their access streets narrow alleys, whether
winding or straight, and were entered through a yard, which was often
colonnaded in larger homes. Entered from the courtyard was the men's room, the
andron, which might be lined with built-in couches and even provided with an
anteroom. If the andron opened directly onto the entrance court, the women's
quarters, the gynaikon, would be more withdrawn. But such divisions were not rigid.
Lysias, the fifth-century Athenian advocate or speechwriter and logographer,
makes his client, a farmer Euphilos on trial for the murder of Eratosthenes,
his wife's lover, explain that.
my little house [{Begin Greek}oikidion{End Greek}] has an
upper story, arranged just like the lower one. The men's quarters was planned
just like that for the women. When a child was born to me, and the mother
suckled it, she was obliged to go downstairs each time she wanted to wash
it--and might have fallen. I therefore moved upstairs and the women
downstairs.(FN3)
Euphilos recalls entertaining a friend with whom he
went upstairs to dine, though he seems to be explaining a common arrangement to
his judges--before whom he was facing a capital charge. Certainly, the female
zone in the house was concerned with the affairs of daily life and had no real
public equivalent. This could also explain why homosexual dalliance, which went
on in the public sphere, has many more literary witnesses than the heterosexual
kind.
In another speech, Lysias provides a witness to the
withdrawn nature of the gynaikon in the context of a quarrel between two older
men over their boy-lover. The plaintiff complains that his rival
broke into my house at night drunk, smashed the doors and
got into the women's rooms where my sister and my nieces were, who are so
reserved that they blush even to meet their closest kin (Against Simon. III.6
ff.).
Privacy is here presented as
women's business. As for the dinner Euphilos gave his friend the night before
the murder for which he was tried, it would have been a small affair, if not a
private one. Any common meal in a Greek household, the deipnon, might include
guests and was a family occasion, usually taken in the main room, which, like
the house itself was called oikos. The more celebratory estion or hearth meal
would be taken wherever the sacred house fire might be located. Lysias is also
witness to the fire's sanctity in the speech quoted earlier--had the wretched
Eratosthenes taken sanctuary ({Begin Greek}epi thu estian) {End Greek}by the
household hearth, the verdict in the trail might have gone against his murderer
(1.27).
Other kinds of meals, such as the festive and solemn
eranos, might be an all-male affair, taken in the reception room, while the
all-male afterdinner party, the symposion (which Plato consecrated), would
certainly have been held in the andron, whatever the size of house. Seven seems
to have been the ideal number for it--"seven is a feast, nine a
scramble" was an old saw,(FN4) and it was often what we now call a
"bottle party": the food and drink were contributed by guests, who
would start by choosing their leader (not necessarily the host) to direct the
order of seating and the proportion of water to wine (wine was always diluted
in respectable houses). The leader could also discipline disorderly guests.
There was a direct correspondence between the andron,
the male and un-private zone of the house, and the prytaneion, the men's public
meeting and feasting house on the Agora where much eating and drinking was also
done. It was where ambassadors as well as heroes would be feasted. Most cities
had one, and they (or a neighboring building) also housed the city flame on the
altar of Hestia. Although she was not as prominent in the city as her Latin
sibling Vesta, Hestia's altar was important to the life of the polis. The
correspondence between the domestic and the civic hearth, between andron and
prytaneion, was further emphasized by the notion that certain places that could
be regarded as quintessentially Greek might be called the prytaneion of the
land: "that which the prytancion is to the city, this city has been to all
Hellas" says the Smyrnan rhetorician Aelius Aristides (surnamed Theodorus)
in his praise of Athens (The Panathenaicus 179.11).
The Etruscans had no such segregated quarters between
men and women, and unlike the Greeks would often show men reclining and even
embracing their womenfolk publicly but respectably on their domestic
couches--as they did on their tombs. In contrast, the more virtuous and
straightlaced old Romans dined--and sometimes even slept--sitting up, and when,
after the time of the dictator Marius, they came to recline at meals (like the
Etruscans and the Greeks), the women who accompanied them would sit on chairs
(Val. Max. II.1.ii).
The greater respectability of sitting was shown when
the Latins invited the gods to dine. Greek mortals rarely invited the gods to a
meal, but the Romans had a rite, the lectisternium, when gods and goddesses
might be bidden to attend a public feast on special occasions (the conquest of
Veii, an explosion of Vesuvius, for example). But even then goddesses could
not--respectably--recline (or so it was thought in imperial times) and they sat
upright. When they were not accompanying their consorts, their sit-down meal
was called a sellisternum.
The Etruscans and the Greeks were usually attired quite
decorously for their meals. As for washing and bathing, only larger houses
would have private baths with hot water; for most Greeks and Romans, bathing
was a public function and was associated with the gymnasia, as at Delphi and
Olympia, though the Greeks did not go in for the luxury associated with Roman
public baths. Gymnasium (from {Begin Greek}gnmuoz, {End Greek}naked) implied
exercise taken naked. In any case, male nudity was familiar enough--as Greek
sculpture shows--and Hermes with his erect penis guarded streetcorners while
huge winged phalloi were carried in processions, particularly at the great
Dionysian celebrations.
Whatever the smutty comedians wrote, there was
therefore no particular embarrassment associated with male nudity. The sexual
organs--which we now call private parts--were not called pudenda, shameful
parts, until the fourth century A.D. Female nudity was a more private matter
though, and the scantily dressed women who appeared at Greek men's banquets
were usually dissolute characters such as flute players, dancers--or some even
less reputable ones. And by the fourth century, female bathers are shown
wearing brief costurnes, Roman bikinis, in the mosaic floor at an imperial
villa at Piazza Armerina, not far from Syracuse, which is usually also dated to
the fourth century.
At the same time nudity--in the baths, in the theater,
at games--was accepted, though often under protest by many Christians, even if
preachers (John Chrysostom, Jerome, and many others) warned against the dangers
of indulgence it offered and saw it also as a test of class justice: the
ravaged and exploited bodies of the naked poor made a sharp contrast with the
well-fed, cosmetically smoothed bodies of the rich and privileged. Increasing
shame at sexual exposition was joined to indignation at social
inequity (see Brown, 1988: 87 ff., 315 ff.). Shame became a social
factor of growing importance.
Yet there was nothing especially private about latrines
or defecation. Drainage of both latrines and kitchen waste was only
exceptionally through channels outside the house, which were sometimes open but
occasionally underground--or into septic tanks. For the most part, waste matter
went from pails or chamber pots into slop buckets, which were sometimes emptied
by public-service dung carts and carried out of town. Although they had
closestools, the Greeks did not seem to have made any fixed provision for such
physiological functions, but Roman latrines--such as the ones at Piazza
Armerina--were quite splendid and conversational chambers. A common term for
them was necessarium. In the laws of the Emperor Theodosius (compiled after 380
A.D.), the word privatum is used for a bath, but it was not until the second
millennium that it came to signify the room we now call privy--a
thirteenth-century dictionary makes it a synonym of latrina, which is itself a
contraction of lavatorium.(FN5)
Although the sense of shame we now associate with
defecation and urination may not be absolutely universal, it seems to be nearly
so. In many preliterate societies, people who might urinate semipublicly as a
matter of course will withdraw outside the house or even outside the
settlement--into uncultivated bush--to defecate. Toilet training of small
children is also very general (see Moore, 1983: 59 ff.). Some anthropologists
want to associate the shame with the defenselessness that these functions impose,
the vulnerability of the squatting, exposed figure, while others talk of the
inherent ridiculousness of the bodily positions. This is also true of another
physiological function, copulation. It was Erasmus who observed that no one can
be born without two other people making fools of themselves first.
The Romans, following the Etruscans, did not attempt
the strict gender segregation the Greeks practiced in their houses. The typical
plan of the Roman house seems to have been devised by the Etruscans and was a
one-story arrangement. Entering through a narrow vestibule, the visitor came
into the atrium--which in modern parlance has come to mean a multistory
generously glazed public hall, although in Latin the term is related to
blackness, ink, smokiness--where the household altar stood. Even in later
houses, such as those at Pompeii, the majority of atria had black mosaic floors
and black-based wall painting. The roof was open to the sky and the rectangular
opening corresponded to a pool in the floor that provided a reservoir of
rainwater. It was lined on either side by bedrooms, cubicula. Opposite the
entry was that altar, the seat of the paterfamilias and the household gods, and
beyond it the tablinium, once the master bedroom but later the official reception
room and the family archive. It was often closed in earlier houses but open in
later ones, leading to peristyles and gardens.
On either side of the atrium, just before the
tablinium, opened the wings, the alae, perhaps used as anterooms for clients
waiting to see the master of the house in the tablinium. In these were kept the
personae, the masks of ancestors. This is what a persona primarily meant in
Latin, a theatrical or a ritual mask. They would spill over into the
atrium--and were so important that people would hang some masks of fictitious
ancestors to claim antiquity for their family.(FN6)
There was some discussion among old grammarians about
the origin of the word. A few even suggested that it worked as an acoustic aid,
allowing the actor to sound louder, personare. But most of them--and modern
authorities agree--thought that the word was a Latinized form of the Etruscan
word for mask, Phiersu. It is at any rate used to translate the Greek {Begin
Greek}prosqpou{End Greek}--which had moved from the sense of front or face to
mean mask by the time of Aeschylus. It is therefore appropriate that persona
should also come to mean the type of person: after all, masks represented
types, not individuals, their character, even their reputation. This was
extended in Roman law to signify any group that could bring a case in law as a
collective body, or yet be sued--cities, colleges, even an estate in search of
an heir. That complex of ideas always clusters about persona--the character,
the presentation of self, the juridical entity acting in society. It is a
physical and a social entity before it can transform
itself in the Augustinian sense--and before it can feel shame.
The masked and typecast person does not invite
considerations of privacy. A masked figure could not be
individuated, nor could it have a private life. What interiority it had was for
public consumption. If such a figure felt shame, this would have to do with
honor and station--with public disgrace, not with an inner state. But even that
masked and unprivate emotion is analogous to the shame of which we are all more
or less capable. The analogy depends on the self-reflexive nature of shame:
"Through shame I [discover] an aspect of my being.... Shame is by its
nature, a recognition. I recognize that I am as the Other sees me ..."
observed Jean-Paul Sartre (1956: 221 f.).
The moment of shame always requires, even exacts privacy. Adam and Eve, having come to know good and evil by
eating the fatal fruit, saw that they were naked and sheltered behind their
fig-leaf aprons for primal privacy. The Other in their
case was each other--and their creator. It was different from the public
disgrace that the masked figure would have experienced. That frontal
presentation, which the impassive mask offered the actor who wore it, is
ambivalent. The mask shelters his or her inner life, inviting them to become
typecast characters. But it also gave emphasis to the interplay between the
characters, and made their confrontations clamorous and harsh, so that the
moments of shame and disgrace--as in the tragedies of Medea or Oedipus--become
real catastrophes.
Because shame can only be experienced in the face of
another, it has never been nor can it become an individual state of mind; nor
can it ever, as I suggested at the beginning of this paper, be attributed to
the bodiless mind, the res cogitans. The piling of antique detail in which I
have perhaps overindulged leads me to conclude that privacy
can only be the attribute and the demand of the socially rooted person.
In a sense, perhaps Stalin did have a point. It was the
private individual the executioner would kill. The person--his name and his
deeds--would not fall to the same bullet.
FOOTNOTES
1 Aurelius Augustinus Conf. X.17: "... domine Deus meus, exaudi et respice
et sana me, in cuius oculis mihi quaestio factus sum...." De Civitate Dei
XI.26: "mihi esse me idque nosse et amare certissimum est .... Quid si
falleris? Si enim fallor, sum. Nam qui non est, utique nec falli potest; ac per
hoc sum si fallor ...."
2 "Noli foras ire, in te redi. In interiore homini habitat veritas."
Quoted in Husserl (1969: 134).
3 He was absolved, having killed his wife's seducer. Lysias, On the Murder of
Eratosthenes 1.9 ff.
4 Septem convivium, novem vero convitium. Scrip. Hist. Aug. (Vero Imperator,
V.1). But the number is often debated. Aulus Gellius (Noct. Att. XIII.11)
suggests that it might be between the number of graces (three) and the muses
(nine), while the fourth-century gastronome-poet Archestratos (quoted in
Athenaios's Deipnosophistae I) debated the merits of three, four, and five
guests (he considered five the maximum).
5 John Garland (Johannes de Garlandia; b. 1108) in synonymis, quoted by Du
Cange, s.v. Privada vel Privata:
Est latrina locus idem cacabunda cloaca Signat idem
quasi triste tegens tristega vocatur Nec non privata coniungimus his sociando
6 Seneca Ep. ad Lucilium V.44.5; Consolatio ad Polyb. XIV.3; Anon. Laus
Pisonis. See also Juvenal VIII.19-20; Martial II.90, IV.40; V.20; Pliny N.H.
XXXV.2; Petron, Sat. XXIX.8.
REFERENCES
Arendt, Hannah. The Human Condition. Chicago:
University of Chicago Press, 1958. New York: Anchor Books, 1959.
Brown, Peter. The Body and Society. New York: Columbia
University Press, 1988.
Du Cange, Sieur Charles du Fresne. Glossarium ad
Scriptores Mediae et Infimae Latinitatis. Niort, 1883-1887 [Paris, 1678].
Husserl, Edmund. Mýditations Cartesiennes. Paris: J.
Vrin, 1969.
Moore, Jr. Barrington. Privacy:
Studies in Social and Cultural History. Armonk, N.Y.: M.
E. Sharpe, 1984.
Sartre, Jean-Paul. Being and Nothingness. New York:
Philosophical Library, 1956.
PRIVACY AND DOCUMENTARY FILMMAKING
BY FREDERICK WISEMAN
I MAKE documentary films based on unstaged events using
the photographs and voices of people who are not actors and who are not asked
to do anything other than give their permission to be included in the film. In
this paper I will discuss some of the practical problems involved in obtaining
their consent and the relationship of the procedures I follow to privacy issues.
First a brief introduction to the technique. My films
are shot with a handheld 16 mm camera and a handheld tape recorder and
microphone. There is no narration and the events are not staged. Most of the
sequences are shot with natural light. Very occasionally it is necessary to
augment natural light with a stronger lightbulb and perhaps five times in 35
years with a very powerful light called a sun gun.
Many but not all of my films are about public
institutions. They are public in the sense that they are supported by tax money
collected by public authorities--city, state, or federal--and exist to provide
services such as education, health care, welfare, and police to the community.
Some of the films are concerned with private institutions and the privacy issues take a somewhat different form. I will discuss
some of the differences later.
I try to obtain permission from the people in the films
to use their photographs and voices. Sometimes I receive permission before the
sequence is shot, sometimes immediately afterward. If the person photographed
objects to his or her picture or voice being used, I do not use it--even if the
sequence is shot. Their objection has to be expressed either before, during, or
immediately after the event in which they participate has been photographed and
recorded. I do not obtain written releases but ask for and receive
tape-recorded consents. Some people are frightened of signing written releases
phrased in formal legal language either because they are fearful they won't
understand the language used and may be giving away more than they realized or
because of the formal nature of the document.
The method is as follows. I ask the person whose
picture and voice I want to record or have already recorded for permission to
use their image and voice. I tell them that the tape recorder is recording and
that I am going to explain to them the nature of the film I am making, the
technique that I use, and where the film will be shown--for example, public
television, schools, libraries, colleges, and some theatrical distribution in
the United States (with the possibility but not the certainty of a similar
distribution in other countries). I explain that often over 100 hours of film
will be shot and that only about 3 percent of the material is used in the final
film. I tell them that the film will not be finished for at least one year and
that other than festival showing, the first public showing will be on public television
in America.
I then ask them if they have any questions and, if they
do, respond to their inquiries. I ask if they have understood my explanation
and if so if they have any objection to their picture and voice being used in
the film. Ninety-nine point nine percent of the people asked give their
permission. When they do give their consent I ask them to give me their names
and addresses, which are recorded on the tape. This gives me a contemporaneous
record of the consent of the participants.
I think that people agree to be in a documentary film
for a variety of reasons. Some want others to know of their experience. They
hope that their behavior can provide a model of either what to do or what not
to do. For example, women in a shelter for battered women agreed to be filmed
because they wanted other women to know that it was possible to get out of
abusive relationships and also because they wanted to inform people unfamiliar
with domestic violence about the nature of the relationship they were trying to
escape. Another possible explanation is related to wanting to share the feeling
of competence and a job well done with others. Some people filmed, like the
doctors and nurses in a medical intensive care unit, want to participate in
informing the public about the life-and-death issues they have to deal with on
a daily basis and want to share their method and offer it for critique. The
doctors and nurses assumed that most people are unfamiliar with the questions
they have to resolve regularly and that presenting these issues in their
complexity would contribute to public knowledge and help others to think more
clearly about these questions.
Some people agree to participate out of vanity. Some
from indifference. In hierarchical organizations like the army and police,
participation may result from an actual order or a need to follow the dictates
of a fantasy about the imagined need to comply with the orders of a superior.
Some may consent for a combination of all these reasons. As I noted, my experience
is that for whatever reason, nearly all the people asked agree to be in the
film.
A sequence from a film I made about the Kansas City,
Missouri police in 1968 illustrates the way privacy
issues are raised. To make an arrest for prostitution in Kansas City in 1968,
the police had to have a price offered and an act. The law made it almost
necessary for a vice squad police officer to strip at least to his underpants
and get in bed with the woman before, presumably, at the last minute, the
arrest was made.
Such an event took place in a Kansas City hotel. When
the vice-squad policeman led the woman from the hotel room she pulled away from
him, knocking him over and fleeing. The policeman called other members of the
vice squad, who were waiting in a police car in the neighborhood of the hotel.
We were also in the vice-squad car. When the officers arrived at the hotel a
bellhop informed them that the woman had fled to the basement. The police went
to the basement looking for her. The basement was dark and I had available a
powerful light called a sun gun; it would have been impossible to shoot any
film otherwise. The police found the woman hiding under a pile of old
furniture, dragged her out from beneath it, and then one of the policeman began
to strangle her. Before she passed out the policeman stopped strangling her.
The woman, gasping for breath, said to the policeman that he was trying to
strangle her. His reply was that she was just imagining it. But it was clear
from the film that the policeman was strangling the woman.
The sequence I described was shot on 16 mm film and a
still photograph from the film accompanies this article. Another part of the
same sequence included a visit by one of the vice-squad officers to the hotel
room of the women, where he examines her personal belongings and takes
possession of her address book. He looks through it and asks her if she is
friendly with other women whom he says are prostitutes and whose names he has
found in the address book. She is eventually taken to the police station and
booked for prostitution. I asked the woman for permission when she was in the
police car on the way to the station and followed the procedure I outlined
earlier. The film, Law and Order, was shown on public television with an edited
version of the sequence I have described.
Up to this point I have emphasized the consent I
received from the woman who was arrested. However, there were others whose
permission was needed. I had to have the permission of the chief of police in
Kansas City to ride with the police and record their day-to-day activities. I
also needed the consent of the individual policemen and policewomen. In the six
weeks I was with the Kansas City Police, no police officer ever objected to
being photographed and recorded. I did not take the same care to obtain their
individual consents that I did with people they came in contact with and/or
arrested. I knew that a letter had come from the chief to the captain in charge
of the precinct where I worked asking that all the officers in the precinct
cooperate with the filming. Since the police are a hierarchical organization,
the officers complied with the orders of the chief. It was impossible for me to
know if they individually had strong objections. I could only assume that if
they did not want to be filmed they would have found a way to avoid my riding
in the police car with them. I also assumed that they were sizing me up in the
same way I felt I was trying to form an opinion about them. Despite the
hierarchical nature of the department, if the police felt that I could not be
trusted, they would have found a way not to cooperate either by presenting
subtle indirect obstacles or by going to the chief and saying that the film
crew was interfering with their work.
Police activity in a democratic society is supposed to
be transparent and any comment about police work is thought to be protected by
the First Amendment. It would be impossible, however, to obtain police
cooperation for the kind of films that I make if they did not want to
participate, despite the existence of the First Amendment. The courts have
generally ruled that when a conflict emerges between the First Amendment and
the right to privacy, the protection of the First
Amendment is the dominant value. To obtain the permission of the individual
officers it was necessary to talk with them about matters of common interest
with the hope that they would come to the conclusion that I could be trusted to
accurately report on their work. I also had to be sure that the conversation
concerned genuine areas of shared interest, otherwise I risked appearing to be
condescending.
A strong argument can be made that in the
police-prostitute sequence described, it is not necessary to have the formal
consent of any of the participants. Certainly not of the police and perhaps not
even the woman. Suppose, for example, that the woman did not give her consent
or that she gave it but did not fully understand the implications of showing
this aspect of her life on public television. Does that mean the sequence
cannot be broadcast and also shown in other forms, such as videocassette,
laser, or DVD? My view is that if the institution is public, in the sense
indicated earlier, neither a tape-recorded consent nor a written release is
necessary and that this police sequence and any others involving work performed
or activities that take place in public institutions are fully protected by the
First Amendment. In these situations the individual right to privacy
is less important than the values expressed in the phrase, "the public's
right to know."
Despite this absolutist First Amendment view with
respect to presenting on film the daily activities at public institutions, I
try--even though I am not legally obligated to do so--to obtain the tape-recorded
consents because I believe it is the ethical and fair thing to do. The fact
that people readily give their consent does not necessarily mean that they
understand the implications regarding the use of the material. One could argue
that the only valid consent would be consent obtained only after participants
had seen the final film and could see and hear how the sequences in which they
had participated were edited and how they were placed in relation to other
sequences.
This would be completely impractical for several
reasons. It would give the participants individually and collectively a right
to veto part or all of the final film. It would be impossible to find funding
for the film if the funding source knew that at the end of the editing the participants
could prevent the film from being shown. Also, with some subjects it would be
impossible 12 to 18 months after the filming to find all the people. I believe
it is necessary to act on the same assumption that operates in other areas of
the law and in medicine and indeed in most aspects of our lives. The assumption
is that people who fall within the range of the various legal definitions of
competency have the ability to understand, evaluate, and act on a request to
participate in a documentary film and that they understand the implications of
their choice and decision.
The situation is different with respect to activities
in private institutions. In these institutions I try to carefully obtain
tape-recorded consents from the participants. While retaining some force, the
"transparency" argument applicable to public places cannot so easily
be applied to private institutions unless one can convincingly assert their
"de facto" public role.
In a democratic society the need for the citizens of a community
to have access to information about the way their public institutions function
takes precedence over individual privacy rights. The
issue goes well beyond the need to protect the right of documentary filmmakers
to work. If it were otherwise, society runs the risk of the state closing down
the sources of information necessary for citizens to make decisions about the
way they want to live.
From Law and Order
PART II
PRIVACY AND THE LAW: THE LEGAL CONSTRUCTION OF PRIVACY
INTRODUCTION: THE LEGAL CONSTRUCTION OF PRIVACY
BY FREDERICK SCHAUER
ARECURRING theme in the literature on privacy
is the multivalent nature of the word "privacy"
itself. When we speak of private property we mean something quite different
from when we speak of private parts, although there are obviously connections
between the work that the word "private" does in the two different
contexts. When the law is brought into the picture, the multivalence
multiplies. The right to privacy may refer to the right
to sue someone who publishes a picture without the subject's permission; the
right to keep information about a person's history from advertisers and law
enforcement agencies; the right to keep police outside of one's home unless
they first obtain a search warrant; and, perhaps most saliently in the
contemporary United States, the right to be free from state interference in
making a wide range of personal choices, including but not limited to the
choice whether to obtain an abortion.
In some societies law's actions and concepts may rarely
penetrate the larger society. Lawyers in these societies may occupy a position
not dissimilar to that of dentists: essential actors in the play of life, but
hardly in the foreground of popular consciousness, and thus largely cordoned
off from ordinary language and everyday discourse. But in other societies the
law plays a larger role, and its concepts, its categories, and its language
become part of the concepts, categories, and language even of those who neither
inhabit nor self-consciously use the legal apparatus. The United States, of
course, is the prototypical example of this latter type of society, and it
should come as no surprise that in a society in which entire television
channels are devoted to the law, legal ideas and language permeate the larger
culture.
As a consequence of this permeation, the law's use of
the language of privacy has become an influential source
of popular ideas about privacy and thus about the
concept of privacy itself. This is particularly apparent
in the understanding of privacy as choice; little in the
pre-1965 interpretation of the idea of privacy would
have suggested that privacy was the appropriate rubric
for the kind of autonomy-based arguments against state interference with
self-regarding behavior that had hitherto been associated more with Chapter One
of John Stuart Mill's On Liberty than with anything in the Constitution of the
United States. With Griswold v. Connecticut the Supreme Court changed all of
that, not only for the law, but for society. The history of the relationship
between the Supreme Court's development of the constitutional right of privacy and the public's acceptance of that understanding of
the right to privacy is the central theme of David
Garrow's "Privacy and the American Constitution."
Using the hearings on the nomination of Robert Bork to be a justice of the
Supreme Court to highlight the gap between how Griswold (and later Roe v. Wade)
have played better in the public arena than in the law reviews, Garrow asks us
to consider whether what he calls the "elite conversation" about privacy has failed to capture the importance of privacy as choice in American life, whether it has failed to
capture the importance of privacy as resistance to state
interference in American consciousness, and whether it has failed to capture
the way in which the nonelite conversation, a conversation that has accepted
Griswold's ideas of privacy far less critically, is
perhaps Griswold's most enduring legacy.
In "Is My Body My Property?" David Richards places
less emphasis on public understanding than does Garrow. Although Richards
plainly agrees with Garrow about the correctness of Supreme Court doctrine
starting with Griswold, Richards sees these developments not only historically
but also philosophically. For him Griswold represents an important recognition
of a preexisting moral right, and the commentators who have failed to recognize
this, Richards can be seen as arguing, have misunderstood the essentially moral
dimensions of the Constitution. But if this is so, Richards argues, there is no
excuse not to extend the essential rights recognized in--but not created
by--Griswold and Roe to the right of persons to express their sexuality as they
see fit, unconstrained by antihomosexuality laws that represent a fundamental
failure to understand the idea of privacy as personal
and intimate choice.
Taken together, the Garrow and Richards essays
represent an understanding of privacy that has dominated
the subject for more than three decades. That this understanding was shaped by
the Supreme Court is strong evidence of the power of the law to construct
larger understandings of the idea of privacy, and
perhaps even stronger evidence of the power of law in general to set the agenda
of much of American historical, political, and moral discourse.
PRIVACY AND THE AMERICAN CONSTITUTION
BY DAVID J. GARROW
WITHIN America's modern constitutional tradition, both
"privacy" as a single word and the "right
to privacy" as a legal concept are almost
universally associated with the famous 1965 Supreme Court ruling in Griswold v.
Connecticut (381 U.S. 479, 1965), which struck down a long-standing state
criminal statute that prohibited the use of contraceptives even by married
couples (Garrow, 1994a: 1-259). The court's majority opinion in Griswold,
authored by Justice William O. Douglas and supported by only the necessary
minimum of five justices, offered an enthusiastic paean to the importance of
marriage in American life but failed to provide any explicit constitutional
grounding for the recognition of a "right" that was not itself
specifically named anywhere in the Constitution's own text. That failure
notwithstanding, Griswold's invocation of a constitutional right to privacy inspired a handful of youthful attorneys to envision
how Griswold's shielding of marital contraception could be expanded to
encompass constitutional protection for a pregnant woman's choice to obtain a
legal and medically safe abortion (Garrow, 1994a: 335-388), and within less
than eight years that legal crusade triumphed with the landmark pair of Supreme
Court decisions in Roe v. Wade (410 U.S. 113 (1973)) and Doe v. Bolton (410
U.S. 179 (1973)).
Ironically, that 1973 triumph in Roe v. Wade, rather
than presaging expanded acceptance of constitutional protection of the right to
privacy, turned out instead to be the high-water mark
for constitutional privacy as a legal concept. Over the
past quarter century, and especially over the past decade, as public and civic
elite interest in protecting manifold aspects of individual privacy
has expanded at a seemingly exponential rate as a result of the ongoing
information technology revolution, recognition of "privacy"
as an important right or even cognizable constitutional concept by the Supreme
Court has all but vanished. As every attentive student of the court knows well,
the court's remarkable 1992 reaffirmation of the constitutional core of Roe v.
Wade in Planned Parenthood of Southeastern Pennsylvania v. Casey (505 U.S. 833
(1992)) took place in an opinion in which invocation of the constitutional
concept of "liberty" completely and utterly supplanted the court's
previous employment of "privacy" as the
operative legal construct. Privacy's complete
disappearance from the court's constitutional worldview was quietly and indeed
silently underscored in June 2000 when the court's majority opinion in its
first abortion case since Casey, Stenberg v. Carhart (120 S.Ct. 2597 (2000)),
failed to mention the word "privacy" even
once.
This conundrum--why has privacy
as a constitutional value all but disappeared from the radar screen of the
United States Supreme Court at the same time that cultural commentators and
legal observers have been calling more and more attention to the concept's
importance (see, e.g., Rosen, 2000)--is actually susceptible to a far
simpler--and perhaps more depressing--answer than many might suspect. Privacy as a reputable constitutional concept has been the
victim--and probably in all truthfulness the no longer breathing or revivable
victim--of the constitutional commentators whose academic assaults on first
Griswold and then far more so Roe have left both of those rulings with the
widespread reputation of being either an analytical laughingstock or at least
an academic embarrassment. "Privacy" may be
widely embraced and celebrated within the popular culture as a legal value of
preminent importance, but hardly anyone looks askance at a sitting Supreme
Court justice openly displaying in his chambers a sign--"Please don't
emanate in the penumbras"--that mocks the court's majority opinion in
Griswold (see Carelli, 1994, reporting that Justice Clarence Thomas displays
such a sign).
It is this devastating reputational injury to
constitutional privacy over the course of the past
generation that will make any restoration of substantive acceptance of the
concept an extremely difficult and perhaps impossible undertaking. My task here
does not encompass the narrower Fourth Amendment realm where constitutional
"privacy" within the ambit of search and
seizure and the warrant clause has likewise been in serious decline ever since
its own high-water mark in Katz v. United States (389 U.S. 347 (1967)), but it
is of considerable import to our undertaking to examine why privacy
as a constitutional concept and prospective "right" is in more dire
circumstances at the advent of the twenty-first century than it was at the
beginning of the twentieth.
The constitutional right to privacy
that the Supreme Court first acknowledged in Griswold had its earliest American
origins in a trio of late nineteenth-century writings. The legal scholar Thomas
Cooley's 1888 coining of the phrase the "right to be let alone" was
the first of the three (Cooley, 1888: 29), but the initial apparent public
invocation of "the right to privacy" itself
took place in 1890 when the well-known journalist E. L. Godkin, writing in
Scribner's Magazine, attacked tawdry and intrusive newspaper stories.
Just five months later, in what was to become one of
the most renowned law review articles of all time, two young Boston lawyers,
Samuel D. Warren and Louis D. Brandeis, used that very phrase as the title of a
Harvard Law Review essay that advocated legal recognition of "a general
right to privacy for thoughts, emotions and
sensations" (206).(FN1) As with Godkin, it was "the unwarranted
invasion of individual privacy" (215) by
journalists that most concerned Warren and Brandeis, who wanted legal
protection for "the private life, habits, acts, and relations of an
individual" (216). Their call to "protect the privacy
of private life" (215) won approbation both in popular magazines such as
The Nation ("The Right to Privacy," 1890) and
in other law reviews,(FN2) but in its first major courtroom test, in 1902, the
Warren and Brandeis argument came out on the losing side of a four-to-three
decision by the New York Court of Appeals in Roberson v. Rochester Folding Box
Co. (171 N.Y. 538 (1902)).
That ruling, which refused to vindicate a claim by a
young woman whose photograph had been used without her permission in a baking
products ad for the "flour of the family," met with widespread public
and professional criticism (see Mensel, 1991, esp. 36-40, and O'Brien, 1902, a
rather defensive rejoinder to the critics of Roberson by one of the four judges
who had endorsed the majority opinion). However, just three years later, when a
Georgia man filed suit against a life insurance company that had similarly used
his photograph in its advertising without obtaining his permission, the Georgia
Supreme Court rendered the first American ruling embracing a tort law right of privacy. "Each person has a liberty of privacy,"
the Georgia court held, "derived from natural law" and protected by
constitutional due process. "The right of privacy
has its foundation in the instincts of nature. It is recognized intuitively,
consciousness being the witness that can be called to establish its
existence" (Pavesich v. New England Life Insurance Co., 122 Ga. 190, 50
S.E. 68, 69-71 (1905)).
The Georgia decision in favor of Paolo Pavesich
received widespread legal praise,(FN3) and once Louis Brandeis himself ascended
to a seat on the United States Supreme Court in 1916, opportunities to
introduce the privacy concept into high court opinions,
albeit in dissent, were not long in coming.(FN4) In 1920 Brandeis spoke of
"the privacy and freedom of the home" in
Gilbert v. Minnesota (254 U.S. 325, 335 (1920)), and eight years later, in his
famous dissent in Olmstead v. United States (an early wiretapping case),
Brandeis linked Cooley's early phrase to the Fourth Amendment's prohibition of
"unreasonable searches and seizures." The Constitution, Brandeis
asserted, "conferred, as against the Government, the right to be let
alone--the most comprehensive of rights and the right most valued by civilized
men. To protect that right, every unjustifiable intrusion by the Government
upon the privacy of the individual, whatever the means
employed, must be deemed a violation of the Fourth Amendment" (277 U.S.
438, 478 (1928)).
After Brandeis's retirement, two majority opinions, the
first by Justice Wiley B. Rutledge in Prince v. Massachusetts in 1944, and the
second by Justice William O. Douglas in 1948 in McDonald v. United States, each
explicitly invoked privacy.(FN5) Rutledge spoke of
"the private realm of family life which the state cannot enter"
(Prince v. Massachusetts, 321 U.S. 158, 166-67 (1944)), and Douglas in McDonald
invoked both "the constitutional barrier that protects the privacy of the individual" as well as a similarly
protected "privacy of the home" (335 U.S. 451,
455-56 (1948). See also Davis v. United States, 328 U.S. 582, 587 (1946) and
Kovacs v. Cooper, 336 U.S. 77, 87 (1949)). Four years later, writing this time
in dissent, Douglas spoke of "the constitutional right to be let
alone" and asserted that "Liberty in the constitutional sense must
mean more than freedom from unlawful government restraint; it must include privacy as well, if it is to be a repository of freedom"
(Public Utilities Commission v. Pollak, 343 U.S. 451, 467, 468 (1952)).(FN6)
Prior to the court's decision of Griswold v.
Connecticut, arguably the best argument for constitutional privacy
to appear in a Supreme Court opinion occurred in Justice Douglas's dissent in
Griswold's own immediate precursor, Poe v. Ullman, in 1961. Both at that time
and in later years, Douglas's Poe dissent was significantly overshadowed by
Justice John Marshall Harlan's extremely influential dissent, which articulated
an explicitly substantive due process liberty application of the Fourteenth
Amendment (367 U.S. 497, 522 (1961)). Douglas, however, contended in Poe that
any actual enforcement of Connecticut's criminal prohibition of the use of
contraceptives against married couples would be "an invasion of the privacy that is implicit in a free society" and that
legally "emanates from the totality of the constitutional scheme under
which we live" (367 U.S. 497, 509, 521 (1961)).
Douglas's 1965 Griswold opinion, joined by Justices Tom
C. Clark, William J. Brennan, Jr., and Arthur J. Goldberg, and by Chief Justice
Earl Warren,(FN7) simultaneously created an apparently fundamental (although
nontextual) constitutional right to privacy and placed
the newly acknowledged right on an extremely tenuous and uncertain analytical
footing. Less than seven pages in length, Douglas's majority opinion disclaimed
any reliance on the kind of substantive due process philosophy that underlay
Justice Harlan's Poe dissent (as well as Harlan's own separate concurrence in
Griswold itself [381 U.S. 479, 501 (1965)]) and began its affirmative argument
by invoking the previously recognized but otherwise nontextual First
Amendment-based right of association. Asserting that the First Amendment
"has a penumbra where privacy is protected from
governmental intrusion" (381 U.S. 479, 483 (1965)), Douglas then cited
several cases, including Schware v. Board of Bar Examiners (353 U.S. 232
(1957)), before enlarging on his First Amendment conclusion to declare that
"specific guarantees in the Bill of Rights have penumbras, formed by
emanations from those guarantees that help give them life and substance."
After citing his own Poe dissent in support of that view, Douglas then
concluded that "Various guarantees create zones of privacy.
The right of association contained in the penumbra of the First Amendment"
was one, and the Third, Fourth, and Fifth Amendments likewise each protected
another "facet" or "zone" of privacy
(381 U.S. 479, 484 (1965)).
After quoting the Ninth Amendment without further
comment and appending several additional case and commentary citations, Douglas
in his penultimate paragraph declared that Griswold's invocation of marriage
"concerns a relationship lying within the zone of privacy
created by several fundamental constitutional guarantees." Connecticut's
outlawing of contraception, he added, "seeks to achieve its goals by means
having a maximum destructive impact upon that relationship" and police
searches of "the sacred precincts of marital bedrooms," Douglas rhetorically
volunteered, would be "repulsive to the notions of privacy
surrounding the marriage relationship." Douglas's final paragraph offered
an endorsement of the importance of marriage and asserted that "We deal
with a right of privacy older than the Bill of
Rights" (381 U.S. 479, 485, 486 (1965)).
In the months and years immediately following the
handing down of Griswold in June 1965, virtually every legal commentator who
addressed the case agreed that it had been correctly decided, but many also
voiced discomfort with the "nebulous language" Douglas had used in
the majority opinion (Wilkins, 1966: 306. See also additional citations
collected in Garrow, 1994: 784-85 n. 87). Perhaps the most insightful law
review discussion of Griswold was offered by Robert G. Dixon, who explained
that "By invoking the married couples' fictional fear of prosecution for
use of contraceptives to give the clinic defendants"--Connecticut Planned
Parenthood Executive Director Estelle T. Griswold and Planned Parenthood medical
director Dr. C. Lee Buxton--"standing to defend themselves from actual
prosecution for giving advice, the Court tied marital privacy
and access to information together into a single bundle of rights." Dixon
concluded that "unless some kind of information-access theory is
recognized as implicit in Griswold, then it stands as a decision without a
satisfying rationale" (Dixon, 1965: 214, 217).
But many commentators were more expressly critical than
Dixon. One complained about Douglas's "curious, puzzling mixture of
reasoning" and about the decision's "ambiguous and uncertain
reach" (Kauper, 1965: 242, 244). Another, more impassioned critic, writing
in the New York University Law Review, attacked Griswold as "a
malformation of constitutional law which thrives because of the conceptual
vacuum surrounding the legal notion of privacy"
(Gross, 1967: 35). Most critics, however, were more measured, saying that the
opinion was "far from satisfying," "shot through with serious
weaknesses," or "rather opaque" (Blackshield, 1966: 404;
Bodenheimer, 1966: 458; Greenawalt, 1971: 478). "Only the rhapsody on
marriage," one later commentator wrote, "saves an opinion whose
concepts fall suddenly in a heap" (Gerety, 1981: 152).(FN8)
A number of critics zeroed in on Douglas's use of the
term "penumbra." First coined in 1604 by the astronomer Johannes
Kepler to describe the area of shaded or partial illumination occasioned by an
eclipse, several subsequent commentators concluded that Griswold's use of the
astronomical metaphor was "obfuscating rather than clarifying"
(Allen, 1987: 478 n.).(FN9) Many critics failed to realize that Douglas was far
from the first Supreme Court justice to employ "penumbra" in an
opinion, and that many of the more than 20 previous invocations appeared in
opinions authored by some of the court's most illustrious members.(FN10) Oliver
Wendell Holmes had employed the word in an 1873 article--"the penumbra
between darkness and light"--and had subsequently used it three times
while serving on the Massachusetts Supreme Judicial Court. After joining the
United States Supreme Court, Holmes employed penumbra in four additional
opinions, including a dissent of his own in Olmstead v. United States, where he
spoke of "the penumbra of the Fourth and Fifth Amendments" (277 U.S.
438, 469 (1928)). Benjamin Cardozo, Second Circuit Court of Appeals Judge
Learned Hand, and Douglas himself had all used penumbra at least twice in
judicial opinions, and even the conservative Felix Frankfurter has used it
once. A perceptive later critic of Griswold noted that "Douglas could have
replaced penumbra with periphery or fringe with no loss of meaning or
force" (Greely, 1989: 260), but Douglas's use of so distinctive a word
became a prime target for those who were either methodologically uncomfortable
or substantively opposed to constitutional recognition of a right to privacy, especially if such a right would insulate issues of
sexuality from regulation by the state.
Much as like happened with the short-term impact of
Brown v. Board of Education (347 U.S. 483 (1954) in 1954-1955, when those who
were inspired to activism by the decision initially stepped forward more
energetically than did those who were its opponents (see Garrow, 1987: esp.
viii; and Garrow, 1994b), the most important short-run impact of Griswold v.
Connecticut was on the young attorneys who saw in Griswold's protection of
reproductive choice the never before imagined opportunity to challenge criminal
statutes prohibiting abortion as unconstitutional infringements on women who
did not want to carry a pregnancy to term (Garrow, 1994a: 334-39, 351-54). The
concept of a Griswold-based constitutionally fundamental right to privacy that protected women's reproductive choices was the
substantive analytical centerpiece of all that followed between 1965 and 1973.
Griswold's potential promise was immediately recognized by both proponents and
opponents of the legalization of abortion (Garrow, 1994a: 301-12 passim), and
by the fall of 1969, when the first actual case posing a privacy
challenge to existing state anti-abortion statutes was filed in federal
district court for the southern district of New York (Hall v. Lefkowitz, 305
F.Supp. 1030 (S.D.N.Y. 1969); see also Garrow, 1994a: 379-81), the judicial or
constitutional climate was clearly ready for such an expansion and application
of Griswold-style constitutional privacy.(FN11)
The full story of how Griswold's introduction of
constitutional protection for reproductive privacy was
carried forward throughout the late 1960s and early 1970s by a far from
completely coor-dinated national network of attorneys and abortion activists
has already been told in copious detail (Garrow, 1994a: 389-472) and need not
be revisited here, but anyone pondering the constitutional vicissitudes of privacy as an American legal concept over the past 35 years
simply must absorb and acknowledge both the speed and the extent of the
acceptance Griswold's application to abortion won between 1969 and 1973.
From a historian's vantage point, the Supreme Court's
January 1973 rulings in Roe v. Wade and Doe v. Bolton were first and foremost
the amazingly rapid culmination of the almost wildfire-like fashion in which
Griswold-based constitutional challenges sped across the American legal
landscape from New York to Texas to California to Georgia in the space of just
three years (1970-1972).
But, as noted and underscored at the outset, that
seeming triumph for constitutional privacy in January
1973 began to turn sour within just weeks of the decisions as Justice Harry A.
Blackmun's majority opinions for the court increasingly became the target of
scholarly scorn that in time became both more pointed and more widely shared
than the academic criticism attracted by William Douglas's Griswold.
To anyone whose understanding of Roe and Doe has
unfortunately been informed primarily by one or another constitutional law
casebook rather than by immersion in the justices' own once-private case files
from the early 1970s, the apparently crucial doctrinal privacy
link between Griswold and Roe appears to be the court's relatively unheralded
March 1972 decision in Eisenstadt v. Baird (405 U.S. 438 (1972)). Eisenstadt,
which voided the arrest, conviction, and imprisonment of freelance birth
control crusader Bill Baird for distributing contraceptive vaginal foam to a
half-dozen women following a lecture at Boston University (Garrow, 1994a:
320-22), had been viewed as a relatively insignificant case while it was under
review inside the Supreme Court during late 1971 and early 1972. Eisenstadt had
been argued just a few weeks before the initial oral arguments in Roe and Doe
themselves, and the initial draft of Justice William J. Brennan, Jr.'s four-man
majority opinion for what was then a seven-member bench (incoming Justices
Lewis F. Powell, Jr., and William H. Rehnquist had not yet taken their seats)
was distributed on the very day that Roe and Doe were first argued (Garrow,
1994a: 517-20, 541-42).
The Massachusetts criminal statute under which Baird
had been convicted had been amended, in the wake of Griswold, so as to allow
the distribution of contraceptives to only married people. Brennan's opinion
found that the law violated "the rights of single persons under the Equal
Protection Clause" of the Fourteenth Amendment since there was no
"rational basis" for the statute's distinction between married and
unmarried individuals (Eisenstadt v. Baird, 405 U.S. 438, 443 (1972)).
The core of Brennan's opinion declared that
"whatever the right of the individual to access to contraceptives may be,
the rights must be the same for the unmarried and the married alike."
Brennan acknowledged how in Griswold "the right of privacy
in question inhered in the marital relationship," but he superseded any
status limitation by immediately proclaiming that
the marital couple is not an independent entity with a mind
and heart of its own, but an association of two individuals each with a
separate intellectual and emotional makeup. If the right of privacy
means anything, it is the right of the individual, married or single, to be
free from unwarranted governmental intrusion into matters so fundamentally
affecting a person as the decision whether to bear or beget a child (Eisenstadt
v. Baird, 405 U.S. 438, 453 (1972)).
In retrospect, of course, that oft-quoted and
seemingly crucial sentence from Eisenstadt about "bear or beget" can
appear to the uninitiated as a doctrinally necessary bridge between Griswold in
1965 and Roe in January 1973, but Brennan's opinion in Eisenstadt was under
review within the court during the very same months when Harry Blackman was
already at work on Roe and Doe. The Brennan clerk who worked on drafting
Eisenstadt understood the echo perfectly well. "Was that recognized at the
time? Was it clear to me that that sentence would have some impact on the
abortion question?" he later asked in rephrasing an obvious question.
"Yes, I certainly knew that and I believe Justice Brennan did too"
(Garrow, 1994a: 542, quoting from a July 20, 1992 conversation with former Brennan
clerk Gerald Goldstein).
But no other justices offered any written comments or
questions about that sentence, even though it of course escaped no one's
attention. "We all saw that sentence, and we all smiled about it" for
it appeared to have a "transparent purpose," remembered another
1971-1972 clerk. "Everyone understood what that sentence in Eisenstadt was
doing, but no one believed it would tie anyone's hands in the abortion context
or bind anyone in the future" (Garrow, 1994a: 542).(FN12)
Subsequent academic commentary on Brennan's Eisenstadt
opinion has been less than complementary. Future federal appellate judge
Richard A. Posner wrote that Eisenstadt "unmasks Griswold as based on the
idea of sexual liberty rather than privacy"
(Posner, 1979: 198), yet Duke law professor William Van Alstyne concluded that
Brennan actually had "begged the crucial question" of whether there
was or was not a constitutionally protected right to fornicate (Van Alstyne,
1989: 167). Another future federal circuit judge, John T. Noonan, Jr.,
erroneously insisted that Eisenstadt's "revolutionary rationale was
probably invented" with Roe and Doe in mind (Noonan, 1979: 21), and
Harvard law professor Mary Ann Glendon complained that Brennan had "abruptly
severed the privacy right from its attachment to
marriage and the family" (Glendon, 1991: 57).(FN13)
But the significance of either the Eisenstadt opinion
or the academic criticism of Justice Brennan's constitutional creativity pales
in comparison with Roe v. Wade, which followed just 10 months later. The
greatest substantive irony of Roe, still not widely understood or appreciated
even more than a quarter-century later, lies in how Harry Blackmun himself
drafted and circulated an opinion that would have extended constitutional
protection for a woman's right to choose abortion only up to the end of the
first trimester of pregnancy; it was the lobbying of several of Blackmun's
colleagues, primarily Lewis F. Powell, Jr., and input from a number of their
clerks, rather than any initiative on Blackmun's part, that eventually resulted
in Roe's holding that constitutional protection extended all the way to the
point of fetal viability at approximately the end of the second trimester of
pregnancy (see Garrow, 1994a: 580-86, and especially Garrow, 2000: 80-83).
In comparison with William O. Douglas's breezily brief
opinion for the court in Griswold, Harry Blackmun's opinion in Roe was more
than seven times longer, totaling some 51 printed pages. But as most students
of the modern Supreme Court well know, Blackmun's discussion of the
constitutional basis for Roe's holding was both notably brief and far from
resolute in tone. "The Constitution," Blackmun willingly
acknowledged, "does not explicitly mention any right of privacy,"
but in decisions reaching back even to before Brandeis,(FN14) "the Court
has recognized that a right of personal privacy, or a
guarantee of certain areas or zones of privacy, does
exist under the Constitution. In varying contexts the court or individual
justices have indeed found at least the roots of that right in the First
Amendment," as in Stanley v. Georgia (394 U.S. 557, 564) (a 1969 case
concerning the possession of obscene materials within the home), in the Fourth
and Fifth Amendments in a number of search and seizure cases, "in the
penumbras of the Bill of Rights," as Douglas had written in Griswold, in
the Ninth Amendment, as Justice Arthur Goldberg in concurrence in Griswold had
seemed to argue, "or in the concept of liberty" as articulated in the
Fourteenth Amendment's due process clause. "These decisions,"
Blackmun added, "make it clear that only personal rights that can be
deemed 'fundamental' or 'implicit in the concept of ordered liberty,' ... are
included in this guarantee of personal privacy"
(Roe v. Wade, 410 U.S. 113, 152 (1973)).
"This right of privacy,"
Blackmun went on, "whether it be founded in the Fourteenth Amendment's
concept of personal liberty and restrictions upon state action, as we feel it
is, or as the District Court determined, in the Ninth Amendment's reservation
of rights to the people, is broad enough to encompass a woman's decision
whether or not to terminate a pregnancy" (410 U.S. 113, 153 (1973). See
also Roe v. Wade, 314 F.Supp. 1217 (N.D.Tex. 1970)). Blackmun's "or"
construction seemed unnecessarily equivocal, and he added, while emphasizing
that the abortion right was far from absolute, that "it is not clear to us
that the claim asserted by some amici that one has an unlimited right to do
with one's body as one pleases bears a close relationship to the right of privacy previously articulated in the Court's decisions"
(410 U.S. 113, 154 (1973)).
In summation, Blackmun reiterated how "the right
of personal privacy includes the abortion
decision," subject to state regulation, and sought support by noting how
in the extensive list of abortion-rights cases decided by lower courts between
1970 and 1973, "most of these courts have agreed that the right of privacy, however based, is broad enough to cover the abortion
decision" (410 U.S. 113, 154, 155 (1973)). Later in the opinion, while
weighing the state's regulatory interests, Blackmun acknowledged how in light
of the embryo or fetus, a "pregnant woman cannot be isolated in her privacy," and that ergo the abortion question "is
inherently different from marital intimacy, or bedroom possession of obscene
material, or marriage, or procreation, or education, with which Eisenstadt,
Griswold, Stanley, Loving, Skinner, Pierce, and Meyer were respectively
concerned" (410 U.S. 113, 159 (1973)).(FN15)
Blackmun's parallel opinion in Roe's companion case,
Doe v. Bolton, added nothing with regard to the right to privacy,
but Blackmun's vague and at times seemingly ambivalent efforts to detail the constitutional
status of the privacy concept were not among the Roe
opinion's strongest or most decisive sections. Of the two dissents, one by
Byron R. White and the other by William H. Rehnquist, only the latter took
explicit issue with Blackmun's invocation of privacy.
"I have difficulty in concluding," Rehnquist wrote, "that the
right of 'privacy' is involved in this case," since
abortion "is not 'private' in the ordinary usage of that word" (Roe
v. Wade, 410 U.S. 113, 172 (1973)). Like Justice Potter Stewart, a Griswold
dissenter who nonetheless joined Blackmun's Roe and Doe opinions while also
contributing a concurrence of his own (Roe v. Wade, 410 U.S. 113, 167 (1973)),
Rehnquist volunteered that the Fourteenth Amendment's due process clause
reference to "liberty" supplied a stronger constitutional peg than
the privacy concept (Roe v. Wade, 410 U.S. 113, 172
(1973)).
Critical reaction to Roe and Doe was understandably far
more extensive than that which had greeted Griswold, but little of the popular
commentary focused on Blackmun's usage of the right to privacy.(FN16)
Far and away the most significant early critique of Roe and Doe was authored by
Yale law professor John Hart Ely, who eight years earlier, as a clerk to Chief
Justice Earl Warren, had assiduously opposed Warren's endorsement of Justice
Douglas's Griswold opinion (Garrow, 1994a: 229, 236-37, 240-41, 248-52). One
subsequent observer would call Ely's April 1973 Yale Law Journal essay perhaps
"the most famous and influential legal analysis of the past decade"
(Flaherty, 1981: 588).
Ely's most basic objection to Roe concerned Blackmun's
"inability" to decide whether the right stemmed from the Ninth or the
Fourteenth Amendment. That uncertainty, Ely argued, should have raised the
question of "whether the Constitution speaks to the matter at all."
Ely was willing to concede that "it seems to me entirely proper to infer a
general right of privacy, so long as some care is taken
in defining the sort of right the inference will support," but in his
judgment the Roe opinion had failed even to attempt that necessary task (Ely,
1973: 928 n. 58, 929).
In subsequent years, other high-status and
high-visibility constitutional commentators seconded and amplified Ely's
criticisms. Stanford law professor Gerald Gunther accused Roe and Doe of
"infusing a value of questionable constitutional legitimacy into the basic
document" (1979: 820), and other notable legal critics included William
Van Alstyne, Ruth Bader Ginsburg, Guido Calabresi, and Richard A. Posner.(FN17)
Even America's best-known liberal constitutional commentator of the 1980s and
1990s, Harvard law professor Laurence H. Tribe, who initially reacted to the
Roe opinion by expressing regret at how "the substantive judgment on which
it rests is nowhere to be found" (Tribe, 1973: 7), was still voicing
significant disquiet with the opinion in both his popular and his professional
writings in the late 1980s and early 1990s (Tribe, 1990: 110; and 1988: 1349).
But the most decisive critic of both Griswold and Roe,
and of the underlying concept of constitutional protection for a fundamental
right to privacy, was another prominent law school
academic destined to go down in history for his spectacularly unsuccessful
Supreme Court confirmation fight in 1987: Robert H. Bork. The battle over Judge
Bork's nomination exemplifies both halves of our modern-day privacy
right conundrum, for while Judge Bork was rejected in significant part because
of how American public opinion accurately came to perceive him as an opponent
of any constitutional right to privacy, at the same time
there is no gainsaying the fact that Judge Bork's withering attacks on Griswold
and Roe have been deeply and pervasively influential among legal academics and
constitutional commentators, even among those who otherwise would blanch at any
identification or association with the views of Bork. Judge Bork's 1987 defeat
appears on its face to be a triumphant victory in favor of a constitutional
right to privacy, but within the tiny elite whose views
of Griswold and Roe heavily influence the long-term evolution of American
constitutional presumptions, Bork may unknowingly have won the war even if
everyone 13 years later still remains focused on how he lost so bloody a
battle.
Few people now recall that once upon a time, back in
the late 1960s, Robert H. Bork welcomed Griswold as an example of how the
"idea of deriving new rights from old is valid and valuable. The
construction of new rights can start from existing constitutional guarantees,
particularly the first eight amendments, which may properly be taken as
specific examples of the general set of natural rights contemplated" by
the framers and particularly by the Ninth Amendment (Bork, 1968: 170).
But as almost ever student of American politics does
remember, within a very few years Professor Bork's constitutional views shifted
sharply to the right. In a 1971 article that became widely cited within
academia long before its author first became a federal circuit judge in 1982,
Bork had retracted his previous endorsement and instead denounced Griswold's
right-to-privacy holding as "utterly
specious." Griswold was "an unprincipled decision, both in the way in
which it derives a new constitutional right and in the way it defines that
right, or rather fails to define it," since Douglas's opinion provided
"no idea of the sweep of the right to privacy and
hence no notion of the cases to which it may or may not be applied in the
future" (Bork, 1971: 8, 9). Likewise, in an appearance before a Senate subcommittee
in 1981, Bork testified that Roe was both "an unconstitutional
decision" and "perhaps the worst example of constitutional reasoning
I have ever read" (U.S. Senate, 1981: 310, 426).
Even after he became a federal judge, Bork in 1985 told
an interviewer that "I don't think there is a supportable method of
constitutional reasoning underlying the Griswold decision" (McGuigan and
Weyrich, 1990: 293, reprinting in full the text of a September 5, 1985
interview).(FN18) When President Ronald Reagan in early July 1987 announced his
nomination of Bork to succeed retiring Justice Lewis F. Powell, liberal
anti-Bork interest groups such as People for the American Way and the National
Abortion Rights Action League (NARAL) lost little time in launching a media
campaign that portrayed Bork as an enemy of the right to privacy.
"According to Bork," one NARAL ad proclaimed, "a state can
declare the use of birth control illegal and invade your privacy
to enforce the law." A Planned Parenthood of New York City ad in the New
York Times highlighted Bork's characterization of Griswold as "utterly
specious," and a television ad featuring actor Gregory Peck warned viewers
that Bork "doesn't believe the Constitution protects your right to privacy" (Garrow, 1994a: 668-69).
When Bork himself went before the Senate Judiciary
Committee for the first day of his confirmation hearing on September 15, he
emphasized to the senators that he "agreed with [Griswold]
politically," since "no civilized person wants to live in a society
without a lot of privacy in it." However, he
nonetheless stuck to his constitutional guns. "[T]he right of privacy, as defined or undefined by Justice Douglas, was a
free-floating right not derived in a principled fashion from constitutional
materials." It "does not have any rooting in the Constitution"
and instead "comes out of nowhere." Bork sought to explain that he of
course was not opposed to "privacy" per se,
but "I certainly would not accept emanations and penumbra analysis,"
and he willingly acknowledged that had he been on the Supreme Court in 1965, he
would have dissented from the decision voiding the Connecticut
anti-contraception statute (U.S. Senate, 1987a: 250, 241, 116, 118, 290, 712).
Bork also refused to back off from or qualify his
previous denunciations of Roe v. Wade. "If Griswold v. Connecticut
established or adopted a privacy right on reasoning
which was utterly inadequate, and failed to define that right so we know what
it applies to," he told the committee, then "Roe v. Wade contains
almost no legal reasoning. We are not told why it is a private act, and if it
is--there are lots of private acts that are not [constitutionally]
protected--why this one is [constitutionally] protected. We are simply not told
that. We get a review of the history of abortion and we get a review of the
opinions of various groups like the American Medical Association, and then we
get rules. That's what I object to about the case. It does not have legal
reasoning in it that roots the right to abortion in constitutional
materials" (184-85).(FN19)
By the time Bork's own five days of testimony were
complete, it was utterly clear that his public image as an unyielding foe of
constitutional privacy had become perhaps the single
greatest negative in spoiling his chances for Senate confirmation. On September
21, with the committee hearings far from over, brash Wyoming Republican Senator
Alan Simpson spoke of both Griswold and Bork's nomination in the past tense in
declaring that "you cannot believe how much time we have spent on that
nutty case and how much mileage the opponents of Bork got out of it. This was
the key" (1176).
Several weeks later, as the Senate moved toward an
October 23 floor vote in which Bork's nomination was rejected by a vote of 58
to 42, moderate New York Democratic Senator Daniel Patrick Moynihan explained
his decision to vote against Bork by saying that "it is his restricted
vision of privacy which troubles me most. I cannot vote
for a jurist who simply cannot find in the Constitution a general right of privacy.... Its importance is such that I cannot support
anyone for a Supreme Court appointment who would not recognize it"
(Congressional Record, 1987: 14011-12).
In the wake of Bork's defeat, his victorious opponents
acknowledged how important the privacy argument had been
to their campaign (see Garrow, 1994a: 669, quoting Ann Lewis and Nikki
Heidepriem), and independent observers heartily agreed. As University of Texas
law professor Sanford Levinson put it, "Bork was deprived of a seat of the
Supreme Court largely because of his refusal to acknowledge the 'unenumerated'
right to privacy as being part of the set of
constitutional rights legitimately enjoyed by Americans" (1988: 135. See
also Michelman, 1988: 1533-34, who writes that the Bork hearings "made
clear that 'privacy' ... enjoys broad popular support as
a constitutional value").
That lesson was further underscored two months later
when Bork's eventual successor as President Reagan's nominee for the Powell
vacancy, Ninth Circuit Court of Appeals judge Anthony M. Kennedy, took his
place before the Senate Judiciary Committee and carefully told the senators
that he believed "that the concept of liberty in the due process clause is
quite expansive, quite sufficient, to protect the values of privacy
that Americans legitimately think are part of their constitutional
heritage." When committee chairman Senator Joseph Biden asked Kennedy
"Do you think Griswold was reasoned properly?" Kennedy ducked a
direct answer but volunteered that "if you were going to propose a statute
or a hypothetical that infringed upon the core values of privacy
that the Constitution protects, you would be hard put to find a stronger case
than Griswold." In response to another question from Biden, Kennedy stated
that "the value of privacy is a very important
part" of the "substantive component" of the due process clause
and reiterated the interpretive distinction he had articulated earlier.
"It is not clear to me that substituting the word 'privacy'
is much of an advance over interpreting the word 'liberty,' which is already in
the Constitution" (U.S. Senate, 1987b: 164, 165, 233).
Without a doubt, the single most crucial legacy of
Robert Bork's senatorial rejection and Anthony Kennedy's unanimous senatorial
confirmation was the Supreme Court's surprising five-to-four ruling in Planned
Parenthood of Southeastern Pennsylvania v. Casey in 1992 to reaffirm rather
than overturn the constitutional core of Roe v. Wade. And most notably, as I
emphasized at the beginning of this paper and as Justice Kennedy's 1987
confirmation comments explicitly foreshadowed, when Justices Kennedy, Sandra
Day O'Connor, and David H. Souter joined with Justices Harry A. Blackmun and
John Paul Stevens to reaffirm Roe, their decisive "trio" opinion did
so in precisely the manner that anyone familiar with both the Bork hearings as
well as the academic "trashing" of Griswold and Roe should have
anticipated: by retaining most of the privacy-protective
substance of those now-famous rulings while simultaneously completely
jettisoning the privacy concept and language that both
Griswold and Roe had utilized so extensively.
Declaring that "there is a realm of liberty which
the government may not enter," the Casey trio repeatedly indicated that
they were drawing their constitutional guidance from Justice John Marshall
Harlan's famous substantive due process dissent in Poe v. Ullman rather than
from anything William O. Douglas had said in Griswold or Harry A. Blackmun in
Roe and Doe. "[T]he most intimate and personal choices a person may make
in a lifetime, choices central to personal dignity and autonomy, are central to
the liberty protected by the Fourteenth Amendment," the trio held while
refraining from even a single invocation of the "p-word." Citing
Griswold and Eisenstadt, the trio declared that they were not only correctly
decided, but that "[t]hey supported the reasoning in Roe relating to the
woman's liberty"--again invoking liberty and avoiding privacy
(Planned Parenthood of Southeastern Pennsylvania v. Casey, 505 U.S. 833, 847,
851, 852-53 (1992)).
In a latter section of the opinion, the trio
characterized Roe as "an exemplar of Griswold liberty," and
underscored the social importance of "Roe's concept
of liberty in defining the capacity of women to act in society, and to make
reproductive decisions" (505 U.S. 857, 860 (1992)). Justice John Paul
Stevens, in his individual concurrence, implicitly agreed with his colleagues'
conceptual shift, stating that Roe "was a natural sequel to the protection
of individual liberty established in Griswold" and emphasizing how
"Roe is an integral part of the correct understanding of both the concept
of liberty and the basic equality of men and women" (505 U.S. 912 (1992)).
Even Roe's own author, Harry Blackmun, in a movingly elegiac concurrence of his
own, silently accepted the change when he decried the "stunted conception
of individual liberty" underlying Chief Justice Rehnquist's dissent (505
U.S. 940 (1992)).
Constitutional commentators who welcomed Casey's
outcome also unsurprisingly embraced the court's conceptual shift from privacy to liberty. Harvard's Laurence Tribe stated that the
trio opinion "makes sense and puts the right to abortion on a firmer
jurisprudential foundation than ever before," and constitutional
philosopher Ronald Dworkin concurred, saying that Casey's improvements
"considerably strengthen the case for Roe" and gave the abortion
right "an even more secure basis" (Greenhouse, 1992: A1, quoting
Tribe; Dworkin, 1992: 29-33. See also Garrow, 1992).
The court has continued to consistently and thoroughly
supplant privacy with liberty in the eight years since
Casey. In Stenberg v. Carhart in June 2000, Justice Stephen Breyer's majority
opinion, and a significant additional concurrence by Justice John Paul Stevens,
each echoed Casey in speaking of fundamental constitutional "liberty"
and omitting any mention of the concept of privacy
(Stenberg v. Carhart, 120 S.Ct. 2597, 2604 (Breyer), 2617 (Stevens) (2000)).
Again, as with Casey, this should surprise us not in the slightest, for it
clearly remains the case that the bad name that constitutional privacy
acquired within elite academic circles in the wake of Griswold and especially
Roe has quietly but nonetheless decisively influenced the constitutional
preferences of those justices who have constituted the moderate or in some ways
"liberal" wing of the court over the past decade.
The ironic present-day conundrum that confronts any
attempt to re-create or review the idea of a constitutional right to privacy is of course far more an analytic problem than a
political one. As the "up" side or "bright" side of the
Bork confirmation battle so telling showed, and as any number of subsequent
public opinion polls confirm, the American mass public has no doubt or
hesitation whatsoever that the United States Constitution should be read to
encompass a very basic, very fundamental, and very inclusive right to privacy.(FN20) Instead, the problem that any advocate or
champion of a constitutional right to privacy faces is
almost exclusively an "elite" one of widely shared negative
presuppositions about the intellectual quicksand that is believed to underlie
any and all efforts to find an inclusive right to privacy
within the ambit of the Constitution. Within the realm of reproductive rights
claims, the Supreme Court has of course easily and perhaps quite convincingly
overcome this problem by simply shifting to a discourse of liberty and simply
abandoning the concept of privacy. Indeed, it appears
virtually certain that any effort to revive privacy as a
fundamental constitutional value will have to take place without any assistance
from the court itself.
Thus our twentieth-century American history of
constitutional privacy is in the end a perhaps
surprisingly sad or disconcerting tale. Americans as a people remain eager
indeed to embrace privacy as one of their culture's most
important social and legal values, but the tradition of
constitutional commentary and criticism that plays a dispositive role in
predetermining the presumptions and beliefs of America's civic and legal elite
has left privacy a mortally wounded constitutional
contestant. Only when--or if--that elite conversation about the Constitution
and privacy takes a decided analytical or interpretive
turn that cannot now be imagined or foreseen will there be any prospect for privacy to recover the constitutional stature that it briefly
appeared to have in those now dimly remembered years from 1965 to 1973.
FOOTNOTES
1 As I noted in Liberty and Sexuality (1994a), Brandeis biographers and other
commentators have erroneously continued to repeat the completely fictional
statement that publication of the Warren and Brandeis article was a response to
unpleasant coverage of a Warren relative's wedding by a Boston newspaper. Two
very good law review articles that correct that error and are essential sources
for any serious student of the Warren and Brandeis essay are Barron (1979):
875-922, and Glancy (1979): 1-39. Other relevant articles and commentaries are
noted in Garrow (1994a: 783, n. 83).
2 See Hadley (1894: 20); Hand (1897: 759); Adams (1907: 37).
3 See, e.g., Michigan Law Review 3 (May 1905): 559-63; Case and Comment 12
(June 1905): 2-4; and Virginia Law Register 12 (June 1906): 91-99.
4 The concept of privacy, if not the word itself, had
been present in at least three pre-Brandeis Supreme Court rulings. See Boyd v.
United States (116 U.S. 616, 630 (1886)); Union Pacific Railroad Co. v.
Botsford (141 U.S. 250, 251 (1891)) ("No right is held more sacred ...
than the right of every individual to the possession and control of his own
person, free from all restraint or interference of others, unless by clear and
unquestionable authority of law"); and Interstate Commerce Commission v.
Brinson (154 U.S. 447, 479 (1894)) ("the principles that embody the
essence of constitutional liberty and security forbid all invasions on the part
of the government and its employees of the sanctity of a man's home, and the privacies of his life").
5 For less explicit invocations, see also Prudential Insurance Co. v. Cheek
(259 U.S. 530, 542-43 (1922)), Meyer v. Nebraska (262 U.S. 390, 399 (1923)),
and Pierce v. Society of Sisters (268 U.S. 510, 535 (1925)).
6 See also Kent v. Dulles (357 U.S. 116, 126 (1958)) ("outside areas of
plainly harmful conduct, every American is left to shape his own life as he
thinks best, do what he pleases, go where he pleases").
7 Only Clark directly joined Douglas; both Brennan and Warren joined a Goldberg
concurrence that in turn joined Douglas's majority opinion. See Garrow (1994a:
251-52) for a fully detailed explanation of the justices' behavior.
8 See also Van Loan III (1968: 48), criticizing how neither Douglas's majority
opinion nor Justice Arthur Goldberg's extensive concurrence "adequately
explain[s] the origin and nature of the right of privacy
or the factors the Court took into consideration in deciding that it was
constitutionally protected."
9 See also O'Brien (1979: 180), and Wolfe (1986: 290). Also note the telling
observation made by the late Ronald J. Fiscus (1983: 413-14), with reference to
Justice Douglas's judicial prestige (or the lack of it) as of 1965: "the
Penumbra theory never had a chance, whatever its virtues, of becoming an
accepted constitutional doctrine because of the reputation of its author ....
By the time Douglas came to write his Griswold opinion, nobody was listening to
him on doctrinal matters."
10 See Henly (1987: 81-100) and Greely (1989: 251-65). See also Glancy (1990:
155-77); Clark (1974: 833-84); and Stoneking (1985: 859-77).
11 See People v. Belous (458 P.2d 194 (Cal.S.Ct. 1969)); United States v.
Vuitch (305 F.Supp. 1032 (D.D.C. 1969)); see also Garrow (1994a: 354-57,
364-66, 372-73, 377-79, 382-85).
12 But see, e.g., Rubenfeld (1999: 212), which calls Brennan's sentence
"the crucial passage that is at the epicenter of modern privacy
doctrine."
13 See also Rubenfeld (1999: 213), which asserts that Brennan's opinion
"is just not much of an argument" since it "fails to provide any
coherent theory for privacy."
14 See Union Pacific Railroad Co. v. Botsford (141 U.S. 250 (1891)); n. 4
supra.
15 In addition to those precedents already noted, Blackmun's references were to
Loving v. Virginia (388 U.S. 1 (1967)), which voided state anti-"miscegenation"
statutes, and Skinner v. Oklahoma (316 U.S. 535 (1942)), an equal protection
ruling concerning the right to procreate.
16 The St. Louis Post-Dispatch was one affirmative exception. Individuals
nowadays may be greatly surprised by how largely positive the editorial
reactions to Roe and Doe were. See Garrow (1994a: 605-06).
17 See Van Alstyne (1983: 720; 1989: 1677-88); Ginsburg (1985: 375-86; 1992a:
17; 1992b: 1185-1209) (but see Garrow [1993: C3]); Calabresi (1985: 92-110
passim) (see also Garrow [1994a: 614, 878 n. 25], collecting a large number of
additional legal critiques that criticized Blackmun's reliance on the privacy concept); Posner (1992: 337).
18 See also Dronenburg v. Zech (741 F.2d 1388, 1392 (D.C. Cir. 1984)),
Dronenburg v. Zech (746 F.2d 1579, 1582 (D.C. Cir. 1984)), and Garrow (1994a:
649-50).
19 See also Bork (1989: 95-96, 112, 116, 158-59, 169, 234, 263).
20 See Garrow (1994a: 670, 905 n. 101); National Law Journal, 26 February 1990:
1, 36-37.
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IS MY BODY MY PROPERTY?
BY DAVID A. J. RICHARDS
ONE of the most important and controversial
illustrations of the legal construction of privacy has
been the development and elaboration, under American constitutional law, of the
constitutional right to privacy. My argument concerning
this development will proceed in two stages. First, I will critically discuss
the main lines of this development, focusing on the case--the application of
the right to gay/lesbian sexuality--that remains most controversial. Second, I
will develop a normative argument that connects this development to important
features of political liberalism, including the place of private spheres in
liberalism's conception of just government.
THE DEVELOPMENT OF THE CONSTITUTIONAL
RIGHT TO PRIVACY
In 1965 the Supreme Court of the United States in
Griswold v. Connecticut (381 U.S. 479) interpreted the constitutional right to privacy as the basis for a right to contraception that had
been persistently and eloquently defended and advocated by Margaret Sanger for
well over 40 years (a decision Sanger lived to see; see Chesler, 1992: 11, 230,
376, 467). The court extended the right to abortion services in 1973 in Roe v.
Wade (410 U.S. 113) and reaffirmed its central principle in 1992 (see 505 U.S.,
112 S.Ct. 2791; 120 L.Ed.2d 674, 1992). The court narrowly denied the
application of the right to consensual homosexual sex acts in Bowers v.
Hardwick (478 U.S. 186, 1986), but the legitimacy of that decision is now in
real doubt in light of a later decision that found state constitutional
provisions that forbade all laws protecting gays and lesbians from
discrimination an unconstitutional violation of the right to be free of
dehumanizing prejudice (see, for example, Romer v. Evans, 116 S.Ct. 1620,
1996). The more reasonable and persuasive view of this matter is that
forthrightly taken by the European Court of Human Rights, which has found laws
criminalizing gay sex to be unconstitutional violations of the applicable
guarantees of the right of private life.(FN1) I develop and explore here the
normative argument for the protection of such a right to intimate life, and its
reasonable application to contraception, abortion, and, most recently,
gay/lesbian sexuality.
Sanger's argument for the right to contraception was
very much rooted in rights-based feminism (see Richards, 1998: 178-81). Her
argument had two prongs, both of which were implicit in the Supreme Court's
decisions in Griswold and later cases: first, a basic human right to intimate
life and the right to contraception as an instance of that right; and second,
the assessment of whether laws abridging such a fundamental right met the heavy
burden of secular justification that was required.
The basis of the fundamental human right to intimate
life was, as important American feminists had argued in the nineteenth century
(see Richards, 1998, chap. 4.), as basic an inalienable right of moral
personality (respect for which is central to the argument for toleration) as
the right to conscience. Like the right to conscience, it protects intimately
personal moral resources (thoughts and beliefs, intellect, emotions, self-image
and self-identity) and the way of life that expresses and sustains such
convictions in facing rationally and reasonably the challenge of a life worth
living--one touched by enduring personal and ethical value. The right to
intimate life centers on protecting these moral resources.
The human right of intimate life was not only a central
right in the argument for toleration central to American constitutionalism, but
a right interpretively implicit in the historical traditions of American
rights-based constitutionalism. In both of the two great revolutionary moments
that framed the trajectory of American constitutionalism (the American
Revolution and the Civil War), the right to intimate life was one of the
central human rights the abridgment of which rendered political power
illegitimate--and gave rise to the Lockean right to revolution.(FN2) For
example, the background literature on human rights, known to and assumed by the
American revolutionaries and founding constitutionalists, included what the
influential Scottish philosopher Francis Hutcheson called "the natural
right of each one to enter into the matrimonial relation with any one who
consents" (1968 [1755]: 299). Indeed, John Witherspoon, whose lectures
Madison heard at Princeton, followed Hutcheson in listing even more abstractly
as a basic human and natural right a "right to associate, if he so incline,
with any person or persons, whom he can persuade (not force)--under this is
contained the right to marriage" (1982: 123).(FN3) And, at the time of the
Civil War, the understanding of marriage as a basic human right took on a new
depth and urgency because of the antebellum abolitionist rights-based attack on
the peculiar nature of American slavery, which failed to recognize the marriage
or family rights of slaves (Stampp, 1956: 198, 340-49; Genovese, 1974: 32,
52-53, 125, 451-8) and inflicted on black families the moral horror of selling
family members separately (Stampp, 1956: 199-207, 204-6, 333, 348-9; Gutman,
1976: 146, 318, 349). One in six slave marriages thus were ended by force or
sale (Gutman, 1976: 318). No aspect of American slavery better dramatized its
radical evil for abolitionists and Americans more generally than its brutal
deprivation of intimate personal life, including undermining the moral
authority of parents over children. Slaves, Theodore Weld argued, had "as
little control over them [children], as have domestic animals over the disposal
of their young" (1968 [1839]: 56). Slavery, understood as an attack on
intimate personal life,(FN4) stripped people of essential attributes of their
humanity.
It is against this historical background (as well as
background, rights-based political theory) that allows us to regard the right
to intimate life as one of the unenumerated rights protected both by the Ninth
Amendment and the Privileges and Immunities Clause of the Fourteenth Amendment,
as Justice John Marshall Harlan may be regarded as arguing in his concurrence
in Griswold.(FN5) The Supreme Court quite properly interpreted the Fourteenth
Amendment in particular as protecting this basic human right against
unjustified state abridgment, and, as Sanger had urged, considered the right to
use contraceptives as an instance of this right. The right to contraception
was, for Sanger, a fundamental human right for women because it would enable
women, perhaps for the first time in human history, to decide reliably whether
and when their sexual lives would be reproductive. Respect for this right was
an aspect of the more basic right of intimate life in two ways. First, it would
enable women to exercise control over their intimate relations to men, deciding
whether and when such relations would be reproductive. Second, it would secure
for women the right to decide whether and when they would form the intimate
relationship to a child. The two forms of choice threatened the traditional
gender-defined role of women's sexuality as exclusively and mandatorily
procreational and maternally self-sacrificing.
Abridgment of such a basic right (as by criminalizing
the sale and use of contraceptives) can be justified only by compelling secular
reasons in contemporary circumstances, not on the grounds of reasons that are
today sectarian (internal to a moral tradition no longer based on public
reasons available and accessible to all). In fact, the only argument that could
sustain such laws (namely, the Augustinian and Thomistic view that it is
immoral to engage in nonprocreative sex)(FN6) is not a view of sexuality that
can reasonably be enforced on individuals today. Many people regard sexual love
as an end in itself and the control of reproduction a reasonable way to
regulate when and whether they have children consistent with their own personal
and larger ethical interests, the interests of their children, and the
interests of an overpopulated society at large. Even the question of having
children is today a highly personal matter, certainly no longer governed by the
perhaps once compelling secular need to have children for necessary work in a
largely agrarian society with high rates of infant and adult mortality.(FN7)
From the perspective of women in particular, as Sanger made clear, the
enforcement of an anticontraceptive morality on society at large not only harms
women's interests (as well as those of an overpopulated society more
generally), but impersonally confers on women a purely reproductive function,
depriving them of the rational dignity of deciding as moral agents and persons,
perhaps for the first time in human history, whether, when, and on what terms
they could have children consistent with their other legitimate aims and
ambitions (including the free exercise of all their basic human rights).
Enforcement of such a morality rests on a now conspicuously sectarian
conception of gender hierarchy in which women's sexuality is defined by a
mandatory procreative role and responsibility. That conception, the basis of
the unjust construction of a gender hierarchy, cannot reasonably be the measure
of human rights today.(FN8)
Similar considerations explain the grounds for doubt
about the putative public, nonsectarian justifications for laws criminalizing
abortion and homosexual sexuality. Antiabortion laws, grounded in the alleged
protection of a neutral good like life, unreasonably equate the moral weight of
a fetus in the early stages of pregnancy with that of a person and thus equate
abortion with murder; such laws fail to take seriously the weight that should
be accorded a woman's basic right to reproductive autonomy in making highly
personal moral choices central to her most intimate bodily and personal life
against the background of the lack of reasonable public consensus that fetal
life, as such, can be equated in the early stages of pregnancy with that of a
moral person.(FN9)
Antihomosexuality laws have even less semblance of a
public justification (such as fetal life) that could be acceptably enforced on
society at large. They brutally abridge the sexual expression of the
companionate loving relationships to which homosexuals, like heterosexuals,
have an inalienable human right. Certainly, the interests expressive of sexual
orientation must reasonably be understood in contemporary circumstances as
aspects of the underlying right to intimate association, a right that persons
may pursue in the empowering terms of autonomously reflective reasonable
standards and judgments expressive of conviction. The arguments, traditionally
supposed to rationalize abridgment of this fundamental right, cannot reasonably
be defended as compelling secular interests today.
To be clear on this point, we need to examine
critically the grounds traditionally thought to rationalize the condemnation of
homosexuality. Plato in the Laws gave influential expression to the moral
condemnation of homosexuality in terms of two arguments: its nonprocreative
character, and (in its male homosexual forms) its degradation of the passive male
partner to the status of a woman.(FN10) Neither of these two traditional moral
reasons for condemning homosexuality can be legitimately and indeed
constitutionally imposed on society or any person or group of persons.
One such moral reason (the condemnation of
nonprocreational sex) can, for example, no longer constitutionally justify laws
against the sale to and use of contraceptives by married and unmarried
heterosexual couples (see 381 U.S. 479, 1965; 405 U.S. 438, 1972). The
mandatory enforcement of the procreational model of sexuality is, in
circumstances of overpopulation and declining infant and adult mortality, a
sectarian ideal lacking adequate secular basis in the general goods that can
alone reasonably justify state power; accordingly, contraceptive-using
heterosexuals have the constitutional right to decide when and whether their
sexual lives shall be pursued to procreate or as an independent expression of
mutual love, affection, and companionship.(FN11)
The other moral reason for condemning homosexual sex
(the degradation of a man to the passive status of a woman) rests on the sexist
premise of the degraded nature of women that has been properly rejected as a
reasonable basis for laws or policies on grounds of suspect classification analysis.(FN12)
If we constitutionally accept, as we increasingly do, the suspectness of gender
on par with that of race, we must, in principle, condemn, as a basis for law,
any use of stereotypes expressive of the unjust enforcement of gender roles
through law. That condemnation extends, as authoritative case law makes clear,
to gender stereotypy, whether immediately harmful to women or to men.(FN13)
Nonetheless, although each moral ground for the
condemnation of homosexuality has been independently rejected as a
justification for coercive laws enforceable on society (applicable to men and
women), these grounds unreasonably retain their force when brought into
specific relationship to the claims of homosexual men and women for equal
justice under constitutional law.(FN14) These claims are today in their basic
nature arguments of principle made by gay men and lesbians for the same respect
for their intimate love life and other basic rights, free of unreasonable
procreational and sexist requirements, now rather generously accorded men and
women who are heterosexually coupled (including, as we have seen, even the
right to abortion against the alleged weight of fetal life). Empirical issues
relating to sexuality and gender are now subjected to more impartial critical
assessment than they were previously; and the resulting light of public reason
about issues of sexuality and gender should be available to all people on fair
terms. However, both the procreational mandates and the unjust gender
stereotypy, constitutionally condemned for the benefit of heterosexual men and
women, are ferociously applied to homosexual men and women.(FN15) It bespeaks
the continuing political power of the traditional moral subjugation of
homosexuals that such a claim of fair treatment (an argument of basic
constitutional principle if any argument is) was contemptuously dismissed by a
majority of the Supreme Court of the United States (in a 5-4 vote) in 1986 in
Bowers v. Hardwick (478 U.S. 186, 1986). No skeptical scrutiny whatsoever was accorded
state purposes elsewhere acknowledged as illegitimate. Certainly, no such
purpose could be offered of the alleged weight of fetal life that has been
rejected as a legitimate ground for criminalization of all forms of abortion;
any claim of public health could be addressed, as it would be in comparable
cases of heterosexual relations involving the basic constitutional right of
intimate life, by constitutionally required alternatives less restrictive and
more effective than criminalization (including use of prophylactics by those
otherwise at threat from transmission of HIV).(FN16)
Traditional moral arguments, now clearly reasonably
rejected in their application to heterosexuals, were uncritically applied to a
group much more exigently in need of constitutional protection on grounds of
principle.(FN17) Reasonable advances in the public understanding of sexuality
and gender, now constitutionally available to all heterosexuals, were suspended
in favor of an appeal to the sexual mythology of the Middle Ages.(FN18) It is
an indication of the genre of dehumanizing stereotypes at work in Bowers v.
Hardwick--stripping a class of persons (blacks, women, Jews, homosexuals) of
moral personality by reducing them to a mythologized sexuality--that the court
focused so obsessionally on one sex act (sodomy); as Leo Bersani perceptively
observed about the public discourse (reflected in Bowers), it resonates in
images (inherited from the nineteenth century) of homosexuals as sexually
obsessed prostitutes. (Bersani 1988: 211-2, 222.) The transparently
unprincipled character of Bowers(FN19) in these terms thus suggests a larger
problem, which connects such treatment of homosexuals with the now familiar
structural injustice underlying racism and sexism. Understanding that connection
explains, I believe, the recent emergence of arguments for equal recognition of
gay/lesbian relationships on more equal terms with recognition of heterosexual
relationships, including claims to same-sex marriage.(FN20)
POLITICAL LIBERALISM AND PRIVATE SPHERES
Constitutional privacy
illustrates a larger argument of principle within the constitutional theory of
political liberalism underlying our constitutional arrangements, including the
role of the judiciary in enforcing arguments of principle that ensure the
legitimacy of democratic politics. To be clear about this argument of
principle, we need to distinguish initially two senses of privacy:
first, privacy as control over highly personal
information about oneself; and second, privacy as substantive
spheres of thought and action immune from state intrusion. Privacy,
in the first sense of control over personal information, was the subject of the
classic Warren and Brandeis law review article, "The Right to Privacy" (1890), which called for appropriate protection
by civil tort remedies by a privacy action, an argument
that successfully led not only to the recognition of such civil remedies
(between private parties) throughout the United States (Prosser, 1960), but to
a correspondingly expansive interpretation of the constitutional right (against
the state) under the Fourth Amendment to be free from unreasonable searches and
seizures, including unjustified forms of electronic bugging (see Katz v. United
States, 389 U.S. 347, 1967, overruling Olmslead v. United States, 277 U.S. 438,
1928).
It was an important feature of the arguments by analogy
that led Justice William Douglas, writing for the Supreme Court, to recognize
the constitutional right to privacy in Griswold that the
intrusion into intimate life called for by the criminalization of contraceptive
use encouraged--indeed required--forms of electronic bugging violative of both
the letter and spirit of the Fourth Amendment (382 U.S. 479, 1965). Certainly,
the value placed on privacy (as control of highly
personal information) often arises from the role such sovereignty over personal
information plays in the selective disclosure of self in the formation of
relationships of friendship and love, that is, the area of intimate life
governed by the constitutional right to privacy as we
earlier saw. But, as later defined by authoritative case law, the
constitutional right to privacy does not require the
spatial locus of home life, since the right to abortion services (required by
the constitutional right to privacy) is often reasonably
exercised in nonhome environments (for example, abortion clinics). Our right to
constitutional privacy, while sometimes overlapping with
the right to control personal information, is not limited to that normative
context; it defines, rather, a substantive sphere of autonomous thought and
action of a certain sort.
The normative ground of the constitutional right to privacy justifies more than the informational interests
narrowly in play in the earlier discussion. We can see this in the connections
between privacy interests and the higher-order interests
protected by the right to conscience itself. The objects of these latter
interests are the conditions essential to independent exercise of the moral
powers through which we assess our most basic self-conceptions of a life well
and humanely lived. Control over informational privacy
is in natural service of these interests because, as we have seen, it is one of
the resources (control over private information) essential to control over our
moral powers, namely, protection from a homogeneizing public scrutiny that
paralyzes moral independence itself. These resources include not only
informational privacy but a cognate range of capacities
of thought, emotion, and action integral to the self-image of a person
exercising moral independence in the formal of intimate relationships, the
sphere governed by what I earlier called the human right to intimate life.
An analogy may clarify the nature of such private
spheres. We regard religious belief, practice, and even action (when not
violating compelling secular state interests) as private matters, not because
we associate religion with informational privacy (many
religious activities take place in public), but because our commitment to the
right to conscience associates integrity itself with the control of each person
over the formation of the ultimate aims of our moral powers (for example, an
identity formed in personal relationship to an ethical God). Accordingly, we
think of this relationship as not properly a matter of public interest and
protect it from any public intrusion that compromises the moral independence
expressed and often perfected in such relationships.
In a generic sense, we may say that the very idea of
many classical constitutional rights against the state expresses, in principle,
an enforceable distinction between a private sphere protected by such rights
from public interest and the properly public sphere of legitimate state
interest and action. Such rights, like religious liberty, often do not protect
informational privacy interests as such. But we do
naturally think of these rights as defining spheres of privacy,
using the most abstract sense of privacy: freedom from
unjust intrusion by other people.
Generic privacy, in this sense,
arises, within the theory of political liberalism, as a consequence of persons'
having basic human rights, respect for which is a normative condition of
political legitimacy. The appropriate respect for such a basic human right
takes the form, other things being equal, of regarding the sphere governed by
the right as a private matter, not subject to state interference on
illegitimate grounds. It is this generic sense of property that John Locke had
in mind when he defined the legitimate ends of liberal government in terms of
"the mutual Preservation of their Lives, Liberties, and Estates, which I
call by the general Name, Property" (1960: 368); or, as he puts the point
later, "By Property I must be understood here, as in other places, to mean
that Property which Men have in their Persons as well as Goods" (401).
James Madison, the father of American constitutionalism, invoked this political
theory in similar terms:
Property ... in its particular application means "that
domination which one man claims and exercises over the external things of the
world, in exclusion of every other individual." In its larger and juster
meaning, it embraces everything to which a man may attach a value and have a
right; and which leaves to everyone else a like advantage. In the former sense,
a man's land, or merchandise, or money is called his property. In the latter
sense, a man has property in his opinions and the free communication of them.
He has a property of peculiar value in his religious opinions, and in the
profession and practice dictated by them. He has property very dear to him in
the safety and liberty of his person. He has an equal property in the free use
of his faculties and free choice of the objects on which to employ them. In a
word, as a man is said to have a right to his property, he may be equally said
to have a property in his rights (Madison, 1906).
For Madison as for Locke, generic privacy,
in the sense that they meant "Property," was a normative consequence
of the appropriate respect for basic human rights called for by political
liberalism. Certainly, for both thinkers these rights included the right to
private property, more narrowly understood, rooted, controversially in Locke,
in an interpretation of the appropriate conditions of respect for exercise of
the right to work.(FN21) But, such basic human rights (the subject of generic privacy or "Property") included as well the basic
rights to conscience and free speech, imposing on legitimate politics the
requirements of the argument for toleration.(FN22) The consequence of the
appropriate respect for such basic human rights was that, within their
legitimate scope, they defined private spheres of thought, belief, and action.
As I suggested earlier, the scope of this private
sphere included as well those highly personal relationships and activities
whose just moral independence requires protection from a hostile public
interest that compromises the range of thought, self-image, emotional
vulnerabilities, sensitivities, and aspirations essential to the role of such
relationships and activities in the formation of self expressive of one's moral
powers. Intimate relationships--which give play to love, devotion, and
friendship as organizing themes in self-conceptions of permanent value in
living--are among the essential resources of moral independence. Protection
from hostile interest thus nurtures these intimate personal resources, a
wholeness of emotion, intellect, and self-image guided by the self-determining
moral powers of a free person. Appropriate respect for the basic human right of
intimate life requires respect for this private sphere.
Appropriate respect for such basic human rights under
political liberalism places on the state a heavy burden of secular
justification that, as I earlier showed in my discussion of the development of
constitutional privacy law, cannot be met by purely
sectarian arguments that no longer enjoy reasonable public appeal in
contemporary circumstances. As I have suggested, two traditional arguments are,
on this ground, today suspect: first, the alleged evil of all forms of
nonprocreational sex; and second, the putative evil of any deviation from
gender stereotypes. It is because neither traditional understanding is any
longer reasonably justifiable in contemporary circumstances that we reasonably
take, as we increasingly do, the constitutional view that the right to intimate
life today includes contraception, abortion services, and gay/lesbian
sexuality. Indeed, one of them (deviation from gender stereotypes) is not only
no longer justifiable as a compelling secular purpose for state action, but is
itself constitutionally condemned for its imposition of constitutionally
condemned gender stereotypes as the measure of rights and responsibilities in
public and private life.
There is, of course, a large and growing feminist
literature that reasonably questions the role that unjust gender stereotypes
have played in our scientific and ethical methodologies of epistemic and
practical reasoning and thus in our understanding of the requirements of
justice under political liberalism.(FN23) Some of this literature reasonably
questions on such grounds the force accorded mind-body dualisms in our
religion, our science, and our philosophy.(FN24) Our contemporary understanding
of the expanded scope of the constitutionally protected sphere of private life
may be understood as reasonably reflecting the force of such internal
criticisms of the traditional understanding of liberal justice. It is surely no
accident but normatively fundamental that it has been the increasingly
significant normative voice of men and women challenging traditional gender
stereotypes that has forged the expanded development of constitutional privacy in contemporary circumstances in the domains of
contraception, abortion, and gay/lesbian sexuality. Speaking in their own
gendersubversive voices, they have reasonably questioned, as fundamentally
unjust, a traditional understanding of the right to intimate life that unjustly
excluded the experience of unwanted pregnancies of half the human race; and
they have more recently questioned as well a traditional understanding of the
right to intimate life in terms of gender inequality and difference that many men
and women, heterosexual and homosexual, now reasonably question and reject as a
just measure of the transformative force of loving relationships in human life.
Speaking in such voices, they have justly demanded their most basic rights
under political liberalism to be respected as the persons they are,
constituted, as persons are, by their bodies and their internal personal and
ethical perspectives on living their own lives (Baker, 2000).
If I am correct on these points, the development of
constitutional privacy represents a reasonable internal
criticism of traditional political liberalism along the dimensions both of its
conception of basic human rights and its understanding of the purposes adequate
to justify abridgment of these rights. Consistent with comparable developments
in extending basic rights such as conscience, speech, and work more
inclusively, the right to intimate life has been reasonably expanded to embrace
reasonable demands to contraception, abortion, and gay/lesbian sexuality as
aspects of a principled understanding of the right to intimate life in
contemporary circumstances. The constitutional recognition of such claims
dignifies the claimants as bearers of human rights speaking, as persons, from
the bodies and perspectives they are. Their claims broke the silence that the
enforcement of an unjust gender orthodoxy had imposed on public discussion of
these matters by reasonably questioning the disassociation of mind from body,
thought from action, that had unjustly been imposed on them as colonized
subjects, not citizens of political liberalism. Their claims to constitutional privacy, rooted in the most elementary rights of political
liberalism, empowered them to know who they are, to speak and live with
integrity secure in respect for their basic rights.
FOOTNOTES
1 See Dudgeon v. The United Kingdom, 4 EHRR 149 (Ct.) (1981); Norris v.
Ireland, 142 Eur. Ct. H.R. (ser. A), 186 (1988); Modinos v. Cyprus, 259 Eur.
Ct. H.R. (ser. A), 485 (1993).
2 See, on American revolutionary constitutionalism as framed by these events,
Richards (1989; 1993).
3 For further development of this point, see Richards (1986a: 232-3).
4 See Walters (1978: 95-96).
5 Justice Harlan, in fact, grounds his argument on the Due Process Clause of
the Fourteenth Amendment, but the argument is more plausibly understood, as a
matter of text, history, and political theory, as based on the Privileges and
Immunities Clause of the Fourteenth Amendment for reasons I give in Richards
(1993, chap. 6). For further elaboration of this interpretation of Griswold,
see Richards (1986a: 256-61).
6 See Augustine (1972: 577-94). Thomas Aquinas elaborates Augustine's
conception of the exclusive legitimacy of procreative sex in a striking manner.
Of the emission of semen apart from procreation in marriage, he wrote:
"[A]fter the sin of homicide whereby a human nature already in existence
is destroyed, this type of sin appears to take next place, for by it the
generation of human nature is precluded" (1956, pt. 2, chap. 122(9)).
7 On how personal this decision now is see, in general, May (1995).
8 For further discussion of the right to privacy and
contraception, see Richards (1986a: 256-61).
9 For further discussion, see Richards (1986a: 261-69); Dworkin (1993: 3-178).
10 See Plato, Laws (Book 8, 835d-842a). On the moral condemnation of the
passive role in homosexuality in both Greek and early Christian moral thought,
see Brown (1988: 30, 382-3). But for evidence of Greco-Roman toleration of
long-term homosexual relations even between adults, see Boswell (1994: 53-107).
I am grateful to Stephen Morris for conversations on this point. Whether these
relationships were regarded as marriages may be a very different matter. For
criticism of Boswell's argument along this latter line, see Shaw (1994: 33-41).
11 For further discussion, see Richards (1986a: 256-61).
12 See, for example, Frontiero v. Richardson, 411 U.S. 677 (1973); Craig v.
Boren, 429 U.S. 190 (1976). On homophobia as rooted in sexism, see Young-Bruehl
(1986: 143, 148-51).
13 For cases that protect women from such harm, see Reed v. Reed, 404 U.S. 71
(1971) (right to administer estates); Frontiero v. Richardson, 411 U.S. 677
(1973) (dependency allowances to servicewomen); Stanton v. Stanton, 421 U.S. 7
(1975) (child support for education). For cases that protect men, see Wengler
v. Druggists Mutual Ins. Co., 446 U.S. 142 (1980) (widower's right to death
benefits); Craig v. Boren, 429 U.S. 190 (1976) (age of drinking for men).
14 On the continuities among heterosexual and homosexual forms of intimacy in
the modern era, see, in general, D'Emilio and Freedman (1988: 239-360); Giddens
(1992). See also Ehrenreich, Hess, and Jacobs (1986); Snitow, Stansell, and
Thompson (1983); Vance (1984).
15 On the unjust gender stereotypy uncritically applied to homosexual men and
women, see Okin (1997: 44-59).
16 The argument applies, in any event, only to those forms of sex by gay men
likely to transmit the virus; it does not reasonably apply to lesbians, nor
does it apply to all forms of sex (including anal sex) by gay men. So, the
argument that sex acts as such can be criminalized on this basis is
constitutionally overinclusive and inconsistent with the basic right thus
abridged. The regulatory point is that even gay men at threat by virtue of
their sexual practices can take preventive measures against this threat (by
using condoms). For a recent discussion of what further reasonable preventive
measures the gay men at threat might also take, see Rotello (1997).
17 For further criticism, see Richards (1989: 209-47).
18 Justice Harry Blackmun put the point acidly: "Like Justice Holmes, I
believe that 'it is revolting to have no better reason for a rule of law than
that so it was laid down in the time of Henry IV. It is still more revolting if
the grounds upon which it was laid down have vanished long since, and the rule
simply persists from blind imitation of the past.'" Bowers, 478 U.S. 199
(quoting Holmes [1897: 457, 469]).
19 I develop this argument at greater length in Richards (1989, chap. 6); and
in Richards (1986b). See also Goldstein (1988; 1993); Hunter (1992); Halley
(1993); Thomas (1993).
20 See, for further elaboration of this argument, Richards (1999).
21 For some sense of the range of contemporary interpretive controversy over
how the Lockean theory of private property should be understood and evaluated,
see Waldron (1988); Sreenivasan (1995). For the range of more general
treatments, see Ryan (1984); Pipes (2000).
22 For general explication of this argument and its consequences for American
constitutional law, see Richards (1986a).
23 See, for example, Fricker and Hornsby (2000); Schiebinger (1993).
24 See, for example, Bordo (1987; 1993; 1999).
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PART III
KEYNOTE ADDRESS
THREATS TO PRIVACY
BY CHARLES NESSON
AGRAPHIC in Wired magazine some years ago captured the
excitement of the burgeoning Internet. Pictured was a long line of men stripped
to the waist tugging on a rope, pulling something huge that couldn't be seen
beyond the edge of the page. Turning the page confronted you with the headline
"Something's Coming After," followed by an article asserting that, in
a world of connected human talents, something new and awesome would evolve.
Although the message of the article was one of hope and optimism, there is also
a dark side to this interconnected world. Internet connectivity may lead to an
all-encompassing surveillance network that will deeply compromise our privacy.
Along with its many benefits, the march of technology
makes an encompassing surveillance network seem almost inevitable. We owe much
of the privacy we have enjoyed in the past to a
combination of immature technology and insufficient manpower to monitor us. But
these protective inefficiencies are giving way to efficient technologies of
data processing and digital surveillance that threaten to eliminate our privacy. Already we are tracked by our credit-card
transactions, our travel through automated toll booths, our cell phone calls.
Each year brings more sensitive and widespread sensing devices, including
cameras, microphones, and, potentially, biological sensors, all of which are
being connected through increasingly efficient networks to increasingly more
powerful data-processing and storage devices. Cameras are proliferating: at
toll plazas, on public streets, and in public parks. We welcome them as crime
fighters even as they eliminate our ability to move through the world
untracked. Face and voice recognition software may soon permit image data from
surveillance cameras to be cross-referenced to databased profiles of each
person observed. For a glimpse of the future, enter your street address at
globexplorer.com. You will see a satcllite picture nearly good enough to show a
car parked in your driveway, or in mine. Better resolution is coming soon. We
are moving toward a transparent society in which our actions and transactions
are followed, our lives tracked and documented, by folks we neither know nor
trust--each of us a star in our own Truman Show.
Two privacy writers, Simson
Garfinkle and David Brin, each in his own way, suggest the breadth and
immediacy of technology's threats to privacy. Simson
Garfinkel, the author of Database Nation, describes a thwarted effort in the
late sixties to establish a massive central database of citizen information to
be administered and controlled by the United States government. Political
opposition based on fears of Big Brother killed this proposal. Garfinkle, who
fears Big Brother as much as anyone, surprisingly regrets the defeat of the
proposal. Why? Because the alternative that emerged in its place seems to him
much more threatening. Instead of a single giant known database in government
hands, which might have been subject to some privacy
controls, we have instead many databases in corporate hands not subject to privacy controls, and difficult even to inventory.
David Brin, another brilliant young author, suggests in
his book The Transparent Society the dimension of threatened privacy
loss by posing a hypothetical question based on the assumption that ubiquitous
surveillance is coming. Imagine two cities of the future, he challenges. They
look much the same. Each is clean, orderly, utterly without crime, with
surveillance cameras on every building and street corner. But they are very
different underneath. In one city all the surveillance cameras connect to the
police stations, where they are monitored by government authorities. In the
other city the surveillance cameras connect to a net that allows anyone to
watch. Brin asks in which city would you rather live. He argues that we will
actually be better off if all of us can watch each other rather than entrusting
the monitoring function to an all-powerful agency.
But must we give in to the idea of ubiquitous
surveillance? It is true that extraordinarily strong forces are pushing in the
direction of ubiquitous surveillance. Business and government, the two
strongest forces shaping the technological development of the net, seem aligned
in their hunger for large databases containing detailed information about
individuals. Business wants such information to aid in marketing; government to
assist in surveillance and control. The question is, are those of us who would
resist the evaporation of our privacy capable of doing
so, or must we accept its loss as inevitable? Scott McNealy, CEO of Sun
Microsystems, asserts that we already have "zero privacy."
His advice? "Get over it."
Recent surveys would seem to indicate that Americans
are not prepared simply to "get over it." Concern for loss of privacy seems to be widespread and growing. Surveys by the Pew
Trust and Harris Polls show that Americans want a presumption of privacy in their daily lives. Eighty-six percent support
"opt-in" requirements for Internet companies. Fifty-four percent feel
that the tracking of users by websites is harmful (Fox, 2000: 2). Sixty-one
percent of online users are concerned that their e-mail will be read by someone
else, without their knowledge or consent. Seventy-eight percent of online
shoppers are concerned that when buying online, the personal information they
provide will result in the receipt of unwanted information. Eighty-nine percent
would be uncomfortable with a website using their browsing and shopping
practices to create a profile linked to their names. Ninety-two percent would
feel the same about a website selling their information to others
("Business Week").
Yet widespread and growing concern for privacy
does not easily translate to action. We could effect change through individual
action: self-help designed to counteract privacy-detracting
technologies. We could turn to the courts to protect our privacy,
insofar as existing laws and the Constitution apply. We could stimulate a
legislative response designed to balance the needs of businesses and government
against the rights of individuals. I would like to consider each of these
alternatives briefly.
One might expect that those of us concerned about our privacy would look to ourselves and take advantage of whatever
means are available to protect it. A few moments of reflection about our daily
routines yields a number of privacy-enhancing
adjustments that we could make. When using the Internet, for example, we could
employ different identities. We could disable cookies, use multiple e-mail
addresses, and fake the personal data sought by websites. We could stay off the
Internet all together. When in public, we could take steps to avoid being
"captured" by surveillance cameras--refrain from using ATMs, avoid
those businesses and public places where cameras are installed, or just stay
home. We could take advantage of direct marketing opt-out lists by sending a
letter or making a phone call. We could avoid credit cards in favor of using
cash, telephone from pay phones, and avoid automated toll booths. We could
encrypt our electronic messages and our files, and route our Internet communications
through anonymizers. With enough planning and effort, we might avoid the
surveillance net.
Yet despite widespread and growing concern for privacy, we seem unable or unwilling to take advantage of the privacy-enhancing strategies open to us. Like most visitors to
our national parks who idealize the beauty and isolation of the great outdoors
without ever straying from the well-trod trails and asphalt roads, most of us
express concern for our loss of privacy but do little to
protect it. Indeed, 54 percent, the same percentage that feels website tracking
is dangerous, give personal information to sites. Only 24 percent have used a
fake name or other false information in responding to information requests. A
mere 10 percent set their browsers to reject cookies (Fox, 2000: 2-3). Less
than 10 percent use encryption to protect their e-mail, and less than 5 percent
employ anonymizing software.
Individuals may not know what they can do; or if they
do know, they may feel that the costs of doing it are too high. Sixty percent
of computer users, for example, do not know what a cookie is ("Business
Week"). For those who disable them, the web gets smaller and slower.
Refusing to disclose requested information to a website often impedes access.
Using encryption software costs money and requires time and effort. While privacy-protecting strategies are available, almost all have a
price.
That there are costs for protecting privacy
does not, of course, preclude the use of privacy-enhancing
techniques. We do, after all, incur costs all the time for things we desire. We
even do so to protect our privacy. We buy and install
blinds for our bedroom windows. We build fences in our yards. The problem is
that when it comes to privacy from electronic intrusion,
the costs of protection are often higher than the perceived benefits. Professor
Michael Froomkin explains this in terms of what he calls "privacy
myopia" (2000: 1501). Individuals tend to undervalue the bits of
information about themselves that allow aggregators to build databases and
profiles. The problem, Froomkin says, is that any one bit of information about
ourselves doesn't seem that valuable to us. This being so, it doesn't seem
worth it to go to the trouble of protecting it. Yet, to the aggregator--to the person
who is on the other end putting together the profile that will be sold and used
as an asset in marketing--that bit of information has value. From the
individual's point of view, it is hard to see what the aggregator sees, and
difficult to know the uses to which the information will be put. This leaves
the individual willing to give the information away or sell it cheap (1501-02).
The effect of this privacy myopia is that in a given
transaction, too often the costs of withholding, in the interest of privacy, will appear higher than both the values of the
information withheld and of the privacy gained from
withholding it. Such seemingly rational cost avoidance is even more apparent
when deciding whether or not to purchase privacy-enhancing
products. As one understandably disillusioned cryptographer put it: "Privacy never seems to sell. Those who are interested in privacy don't want to pay for it" (Markoff, 1999).
The upshot appears to be that despite the protective
and evasive options open to us as individuals, and despite our widely shared
desire for privacy, it is unlikely that the mass of us
will take advantage of self-help strategies to protect our privacy.
Nor is our salvation likely to come from the courts.
Courts have traditionally protected privacy primarily as
an adjunct to real property, enforcing the law of trespass to give us privacy behind fences and closed doors, protecting privacy of place but not privacy of
presence. The Supreme Court made a great theoretical advance in privacy law when it announced, in Katz v. United States (389
U.S. 347, 1967), that the Constitution protects people, not places. The law
will protect our reasonable expectations of privacy, in
addition to protecting the physical bounds of our real property.
Grounding privacy in reasonable
expectation might seem to offer great promise for privacy
protection in the face of advancing technology, but such is not the case. The
idea of expectation turns out to be an insecure footing for privacy,
like sand slipping out from underfoot as one climbs a dune. Where new
technology allows the capture of information that was previously not subject to
capture, expectations of privacy are likely to be
considered naive and uninformed, grounded in immature technology rather than in
law. Claims of privacy intrusion resulting from aerial
surveillance of one's house, or thermal imaging of heat emanating from one's
walls, or radio pickup of cordless telephone conversations have all failed
because the expectation of privacy was not deemed to be
objectively reasonable. Effectively, the courts seem to say that, as far as the
Constitution is concerned, people's expectations of privacy
must change to adjust to the capabilities of new technologies. Like a victim of
sexual assault who can prevent being raped by her timely consent, an individual
can guard against violation of privacy expectation by
learning not to expect it.
Unsatisfactory as this seems, it is clear that the
courts are not suited to protect us against the intrusions on our privacy made by advancing technology. The information the net
picks up about us is information we put out there to be picked up. Much of the
information fed to the net is transactional data, assumed to be subject to
disclosure by any of the transactional parties, giving courts no basis to
interpose, offering no bright lines with which to build legal barriers. Any
impediments the courts might impose in the name of privacy
to information flow confront countervailing interests of commerce and free
expression. In this environment, courts have limited capability and an unclear
mandate to shape the development of technology. Relying on courts to protect
our privacy from the threats of advancing technology is
expecting more than they are capable of delivering.
While neither self-help nor judicial response seems
likely to protect our privacy, legislative response is
more promising. If we can't look to ourselves individually, we can look to
ourselves in a collective sense. We can see privacy as a
political issue, and make politics work for us.
The goals for legislation are clear. The ultimate end
is to have privacy seen as a human right, as something
of overarching importance and not merely as an impediment to profit. This human
rights view of privacy needs to be ensconced in law. The
basics of privacy protection would include requirements
of notice, informed consent, access to profiles, availability of process to
correct errors, and limitation of the secondary uses to which gathered
information can be put. A well-funded agency is needed to provide an
institutional entity charged with promoting the values of privacy
and enforcing the laws that protect it, something approaching an Environmental
Protection Agency for privacy.
So far industry has successfully resisted legislative
movement toward a human rights approach to privacy. Privacy regulation is portrayed as antagonistic to the First
Amendment, almost un-American. Industry touts self-regulation as the
alternative. But the problems with self-regulation are fundamental. Industry's
objective in self-regulation is not primarily to protect privacy,
but to allay customer fears sufficiently to do business and hold government
regulation at bay. In the long run, industry self-regulation is a shifting
ground for privacy protection, just as is the
expectation of privacy to which courts respond.
Legislative action offers our best hope for preserving privacy. Congress has successfully passed widespread privacy-protecting acts in the past. For example, the Freedom
of Information Act, which Congress passed in 1974, enabled citizens to see the
dossiers that government agencies had compiled on them. The Employee Polygraph
Protection Act of 1988 virtually climinated the use of lie detectors for
employment purposes and thus successfully protected employee privacy
rights. The Telemarketing Protections Act of 1991 limited the use of automated
tape recordings and dialing machines in telephone sales and required a firm to
abide by a customer's request not to call again. There were effective, though
not comprehensive, legislative actions to protect privacy.
If Congress becomes sufficiently aware of public concern about privacy,
new legislation to protect privacy can be passed.
Several bills are pending in Congress that at least
point in the right direction. The Online Privacy
Protection Act, for example, sponsored by Senators Conrad Burns, Herb Kohl, and
Ron Wyden, would make it unlawful for an operator of a website or online service
to collect personal information that violates FTC regulations of
confidentiality and security. The Consumer Privacy
Protection Act of 2000, sponsored by Senator Fritz Hollings and others, would
protect the privacy of consumers of books, music, and video.
The Consumer Internet Privacy Enhancement Act, sponsored
by Senator John McCain, would prohibit online operators from collecting
personal information without providing consumers notice of how their
information will be used. These bills cautiously address concerns of privacy protection. Whether they will become law depends on
the public support that can be mustered behind them.
In closing, I call on readers to support those who are
working hard to achieve privacy protection. Support
advocacy organizations such as the Electronic Privacy
Information Center (EPIC) and the Center for Democracy and Technology (CDT),
both based in Washington D.C., and both remarkably effective at working on the
front lines, organizing, analyzing, testifying at congressional hearings,
documenting, and assembling archives, all in service of our privacy.
Support our privacy writers:
Simson Garfinkle, David Brin, Caroline Kennedy, Robert Ellis Smith, Jeff Rosen,
Larry Lessig. These authors clarify issues and bring them to public attention.
And finally, support the organizers of conferences such
as this. This conference was a superb opportunity for people to get together
and express and share and learn about privacy--how
important it is to us, and how much we'll miss it if it goes.
REFERENCES
Brin, David. The Transparent Society: Will Technology
Force Us to Choose Between Privacy and Fredom? Reading,
Mass.: Perseus Books, 1998.
"Business Week/Harris Poll: A Growing
Threat." Business Week 20 March 2000. March 2000 <www.businessweek.com/2000/00_12/b3673010.htm>.
Fox, Susannah. "Trust and Privacy
Online: Why Americans Want to Rewrite the Rules." Washington, D.C.: The
Pew Internet and American Life Project, 2000.
Froomkin, Michael. "The Death of Privacy?"
52 Stanford Law Review (May 2000).
Garfinkel, Simson and Deborah Russell. Database Nation:
The Death of Privacy in the Twenty-first Century.
Cambridge, Mass.: O'Reilly, 2001.
Markoff, John. "A Growing Compatibility Issue in
the Digital Age: Computers and Their Users' Privacy."
New York Times 3 March 1999.
PART IV
PRIVACY AND THE SELF: THE RISE AND FALL OF PRIVACY
INTRODUCTION: PRIVACY
AND THE SELF
BY LOUIS MENAND
THE papers is this section address the subject of the
rise and fall of privacy in its relation to the self. It
is not surprising that the authors of these papers are all scholars of
literature, for not only do we expect literary (and cinematic) works to provide
a kind of chronicle of changes in the status of privacy
over time, but those works have played a role in those changes themselves. They
are not only a record; they have been agents.
One of the words almost reflexively associated with the
word "privacy" today is
"technology." The compromise of individual privacy
by instruments like television and the online computer is not an accidental
by-product of technological innovation. Those instruments were invented and
perfected in part so that advertisers could get into your home. Their design
reflects this intention very plainly. Did you ever notice how hard it is to
turn your computer off? It keeps asking you, Do you really want to shut your
computer down?, and threatening you with the loss of valuable information.
But writing and movies are technologies, too, and in
their own way designed to get into people's interior spaces, to expose that
which is usually hidden. Writers and directors may lament the decline of privacy and individual control over the material of their own
lives, but they have done their part in the business.
The papers that follow take up very different topics:
Ruth Yeazell discusses the complexities of the private in the eighteenth-and
nineteenth-century British novel; Nancy K. Miller tells the story of Mary
McCarthy's famous literary reference to contraception; and David Bromwich looks
closely at Martin Scorsese's remorseless satire of the culture of publicity,
The King of Comedy.
SEXUALITY, SHAME, AND PRIVACY
IN THE ENGLISH NOVEL
BY RUTH BERNARD YEAZELL
WHETHER or not there ever was a time when humans went
naked and unashamed--as they have persistently wanted to believe--their impulse
to cover themselves is clearly no modern development. According to Genesis,
death and shame entered the world together; and no sooner had Adam and Eve
eaten the forbidden fruit than their eyes were "opened" and they
hastened to weave their aprons of fig leaves. Nor is it only the
Judeo-Christian tradition that prohibits the viewing of the naked body. Virtually
the first tale told by Herodotus concerns the violation of such a rule and the
shame that follows. "With the laying aside of her clothes, a woman lays
aside the respect that is hers!" the trusted bodyguard of King Candaules
vainly protests when the Lydian king seeks to confirm his boasts about the
peerless beauty of his wife by arranging for the bodyguard to spy upon her as
she is undressing for bed (Herodotus, 1988: 36). The act of voyeurism takes
place nonetheless; but the naked queen catches sight of the intruder and,
deeply shamed, spells out the alternatives: either he or her husband must die.
Understandably choosing his own survival, the former bodyguard replaces the
king both in the bedroom and on the throne.
These two early narratives should already caution us
that the privacy of the private parts does not always
signify the same thing. While the Genesis account implies that there is
something intrinsically shameful about the body, so that the only couple in the
world must still conceal themselves from one another, the story of King
Candaules and his wife depends on the presence of a third person, whose
violation of an exclusive right apparently brings on the catastrophe. Compared
to the novelistic hereoines to whom I am about to turn, the queen is barely
individualized; yet even as she transfers her person from one partner to the
next, her refusal to be exposed to more than one pair of eyes makes its own
claim to privacy.
Sex and privacy have obviously
been entangled with one another from the start, and neither, it seems clear,
was an invention of the eighteenth century--some recent claims to that effect
notwithstanding.(FN1) But it does seem reasonable to suggest that the present
conference had its origins 300 years ago, when both subjects first became
matters of heightened consciousness and reflection. From the growth of the
suburbs and the provision of locks on inside doors to the widespread practice
of silent reading, historians have identified this period both with a newly
sharpened division between the public and the private and with a newly deepened
sense of the individual's interiority.(FN2) Although the division between the
sexes was never as absolute as the rhetoric of separate spheres may have
pretended, this was also a time in which privacy was
especially gendered female; and when an intensified feeling of sexual modesty
was being cultivated in the middle- and upper-class women of Western Europe.
The English novel is yet another creation of the period, and the fictions on
which I propose to concentrate not only reflect these developments but had a
significant role in shaping them. I am going to take samples from works by four
novelists over the last two and a half centuries--Samuel Richardson, Jane
Austen, Elizabeth Gaskell, and David Lodge--to suggest what happens to the
representation of shame and intimacy under changing economic and social conditions. For much of this period the English novel
is notoriously reticent about sexuality, yet that very fact makes it an
especially sensitive register of the shifting relations between erotic desire
and the need for privacy.
Richardson's famously scribbling heroines are
deservedly famous for their obsession with modesty. In both Pamela (1985a
[1740]) and Clarissa (1985b [1747-48]), the sexual virtue of the heroine is
under constant siege. Although Pamela Andrews finally succeeds in converting
her would-be seducer into a husband, while Clarissa Harlowe suffers rape and
death, both heroines struggle long and valiantly to preserve themselves
inviolate. Unlike Herodotus's nameless queen, whose honor is violated merely by
the sight of her nakedness, Richardson's heroines are continually threatened by
actual assault, as well as by voyeurism. Yet it is only a superficial paradox
that the eighteenth-century novels are at once more obsessed with the idea of
penetrating the woman's body and with the need to keep that body modestly
concealed. Richardson's men also hide themselves in women's rooms to spy on
them unawares; but whereas Herodotus's brief tale turns on a straightforward
distinction between the body covered and uncovered, these novels notoriously
engage in an claborate striptease. Pamela first records a blush, in fact, not
when her master attempts to remove any clothing but when he tries to add to her
wardrobe. In the aftermath of his mother's death, Mr. B presents the servant
with a selection of her late mistress's garments; and between the items in
question (which include several pairs of stockings and two pairs of stays), his
pointed allusions to their former wearer's fine shape, and the absence of any
witness to the transaction, Pamela reports herself feeling distinctly
uncomfortable. The first recorded use of the word "indelicate" comes
from this novel (Utter and Needham, 1936: 44), and it is one measure of the
heightened sense of shame and delicacy in Richardson's fiction that when
Pamela's parents take alarm at Mr. B's "free expression," what they
have in mind is simply his question, "dost think I don't know pretty maids
wear shoes and stockings?" (Richardson, 1985a: 51) Although the
nineteenth-century novel would become still less "free" in this sense
than Richardson's, his fictions mark a critical stage in what Norbert Elias
terms the "advance of the threshold of embarrassment and shame"
(1978: 101). In the bodily decorum of Pamela, and still more in that of the
upper-class Clarissa--whose "niceness," in the words of the
inveterate Lovelace himself, "has no example either in ancient or modern
story" (1985b: 886)--Richardson self-consciously set out to produce a new
image of the sex.
Ian Watt long ago noted how central to the novelist's
imagination was the room known to the English of the time as the closet--not
just a space for storing possessions, in our modern sense of the term, but a
small chamber typically adjoining the bedroom and furnished with some books and
a desk (Watt, 1967 [1957]: 188-89). This "small room of privacy
and retirement," as Johnson's Dictionary defined it, is of course the
place where the Richardsonian heroine writes and reads the voluminous letters
that constitute her narrative. And even as these letters characteristically
record her spirited resistance to seducation, they themselves serve as the
principal evidence that more than her physical integrity is at stake in the
outcome. For Richardson, in other words, the heroine's letters become the
central exhibit in a concerted demonstration that she has a mind and soul as
well as a body--that she is not a mere representative of "the sex,"
as the contemporary idiom had it, but a figure recognizable in our terms as a
modern individual.
Why such a demonstration should have been thought
necessary in the first place is beyond the scope of the present argument, but
it is worth recalling how the arrival of shame, according to Genesis, coincides
with the mortality of the body, and how a long and deep-seated tradition
associates that mortality especially with the body of the woman. If we are
ashamed above all of anything that reminds us of our animal nature--as one modern
theorist of shame has contended (Scheler, 1952)(FN3)--then the fact that both
sexes are born of woman may help to account for the persistence of her
identification with the shamefulness of sex and death (see de Beauvoir, 1974:
esp. 157-223). Although these associations may seem rather far removed from
Richardson's scribbling heroines, the history of Clarissa in particular was
expressly designed to counter them. That Clarissa can triumphantly vindicate
her sex only by departing her body altogether is one sign that the old idea of
that body's shamefulness persists even as the heroine herself is converted into
an angel.
Despite Richardson's own emphasis on the solitariness
of the woman writer, her letters themselves, of course, are not strictly
private, since they are intended for the eyes of at least one other person. But
it is important to register how narrowly Richardson would prefer to draw the
circle of correspondents, and how closely he identifies their intimate
exchanges with the writer's relation to herself. Not even by letter is any
commerce between the sexes to be trusted. Corresponding with a man is
"dangerous," the novelist warns a young female friend, because his
own sex "is hardly ever void of design"--by which he means, needless
to say, a design to seduce or otherwise attack the sexual virtue of the woman.
Although he understandably wishes to make an exception for a
"paternal" correspondent like himself, the ideal version of the
scenario, he makes clear, is one modest woman writing to another.(FN4) In the
novels themselves, Pamela begins by writing to her parents and then, when her
letters are intercepted, "write[s] on," as she says, nonetheless; and
she does so not just in the hope that she may somehow smuggle her letters out
but also, significantly, in anticipation of rereading them herself should she
escape with her "innocence" (150-51). Clarissa's case is rather more
complicated, but her principal correspondent is her dear friend Anna Howe, and
a friendship like theirs, by the latter's account, "admits of no
reserves" (67). Despite their difference in temperament, the two women
have, according to Anna, "but one mind between us" (131).
Very little separates the correspondence of a
Richardsonian heroine, in other words, from the keeping of a private journal.
That both heroines approach the act of writing as a means of forming the self
as well as reflecting it only drives home the resemblance. Thus Pamela, for
example, imagines rereading her own letters after she has returned to her father's
house so that the reminder of all God has done for her may "further
strengthen [her] good resolutions" (75), while the more sophisticated
Clarissa emphasizes how the recording of her own good resolutions enforces a
sort of contract with herself: "When I set down what I will do, or what I
have done on this or that occasion; the resolution or action is before me,
either to be adhered to, withdrawn or amended; and I have entered into compact
with myself, as I may say; having given it under my own hand" (483). More
immediately to the point, by making his heroines such assiduous letter writers,
Richardson grants them an interior life whose privacy
becomes as much a focus of conflict as the privacy of
their bodies. In both works it is "the inmost recesses" of a woman's
heart, as the novelist characteristically phrases it (1985b: 174), that the
would-be seducer most hopes to penetrate.
Pamela especially is famous for turning a struggle over
the heroine's person into a struggle over her papers. Although in retrospect we
learn that Mr. B has been intercepting and reading her letters from the first,
Pamela's habit of hiding them in her bosom or sewing them into her underclothes
encourages him to assault both forms of privacy at once.
From an early scene in which she slips a letter into her bosom when Mr. B
interrupts her and he unceremoniously removes it, to a climactic encounter in
which he threatens to strip her garment by garment in order to find the latest
installments of her "saucy journal" (270), the novel repeatedly
exploits this association of private parts and private papers (cf. Davis, 1983:
185) even as it strives to convert the hero's interest in one into his
admiration of the other.(FN5) Before he rapes Clarissa, Lovelace, too, attempts
to "ravish" one of her letters (572). Later, the anatomical
suggestiveness with which he drives home the analogy confirms her fear that a
man who cannot be trusted with the seals of letters will prove "capable of
any evil" (529). Had he gotten his hand on certain letters, Lovelace
writes, "the seal would have yielded to the touch of my warm finger ...
and the folds, as other plications have done, opened of themselves to oblige my
curiosity" (1085). Clarissa's greater wariness assures that, unlike Mr. B,
Lovelace rarely sees any of the heroine's messages, but he does manage to
intercept--and rewrite--a crucial letter from Anna that warns of his treachery;
and so thoroughly has Richardson succeeded in identifying us with the intimacy
of this correspondence that Lovelace's violation of the document, graphically
displayed for the reader, not only prefigures the rape but in some sense
exceeds it, since Clarissa will later conclude that despite the rape, her will
remains "unviolated" (1162).
In Pamela, Richardson self-consciously set out to
rewrite an old story: rather than the familiar tale of a serving girl seduced
and abandoned, he would tell of one whose triumphant demonstration of her
spiritual worth proved her deserving of marriage. As Mr. B himself says,
"Her fine person made me a lover; but it was her mind, that made me an
husband" (493). Viewed in this context, his reading of Pamela's letters is
an unmitigated good, since the mind recorded in the letters serves as the
principal agent of his conversion. Yet it is one measure of the deep
ambivalence toward women that the novelist still shared with his hero that the
same action appears to condone the male's violation of the female's privacy as a means of determining if she can be trusted.
"But who can describe the tricks and artifices, that lie lurking in her
little, plotting, guileful heart!" Mr. B rhetorically exclaims at one
point (225); and the fear that Pamela is in fact deceiving him, that she
resembles others of her sex in merely feigning modest resistance, can only be
assuaged, the novel suggests, by evidence not meant for his eyes. When Mr. B
confiscates her journal, Pamela laments that he "will see all my private
thoughts of him, and all the secrets of my heart" (263), but it is
precisely the fact that they are private thoughts--and not just what she says
face-to-face--that enables him to credit them. Richardson officially
disapproves of his hero's actions, but his plot inadvertently confirms that the
more we distrust the fronts others present to us, the more we identify the
truth with secrets we must pry from them.
In Clarissa the sexes are yet more radically estranged
from one another, and the modesty of the heroine still more deeply
internalized. Even more than Mr. B, Lovelace is moved by curiosity rather than lust:
what he wants to know is the secret of female nature. The question, as he
frames it, is whether any woman is "impenetrable" (145); and though
he sometimes speaks as if this were literally a question of female anatomy,
what he really means is whether any woman can hold out indefinitely against all
attempts to arouse her.(FN6) Believing that every woman is a bodily creature
and therefore vulnerable, he simultaneously hopes--and doesn't hope--to find
one altogether "superior to temptation" (429). If he could be sure
that Clarissa were such an "angel" (1037), he repeatedly claims, he
would marry her, since she would then have conclusively shown that she could be
trusted to preserve her future chastity. If he succeeds in seducing her, on the
other hand, she will have proved just a woman after all: and a woman who
succumbs to one man is always in danger of succumbing to another. As the novel
devastatingly shows, however, there is potentially no end to this trial--no
end, that is, other than the death of Clarissa. Since as long as she lives the
possibility of her fall remains open, the only way she can prove herself
conclusively above the flesh is to discard it altogether.(FN7)
This is not quite the moral Richardson intends, but it
is the end toward which his brilliant unfolding of the misogynist's logic
inexorably leads. At the same time, the novel makes clear that the rape of
Clarissa is really a confession of failure on the part of the rapist: the very
fact that Lovelace resorts to drugs to subdue her confirms that she has proved
impenetrable to all his powers of seduction. Despite his crude theory that one
form of penetration will somehow effect the other--that she will no longer
refuse him, in his words, "when her pride of being corporally inviolate is
brought down" (879)--the act that would appear most dramatically to invade
Clarissa's privacy is also the act that most clearly
calls forth a private self distinct from her body. While there is a sense in
which Clarissa dies of her shame, her insistence on making that shame
altogether her own paradoxically affirms her dignity as an individual.
Well before the rape, Clarissa has proudly responded to
Anna Howe's suggestion that she has "modestied away" (the verb is
Richardson's coinage) several potential marriage proposals from Lovelace,
explaining that neither "maidenly niceness" nor concern for what
Lovelace thinks of her can account for her motives. "But they arise
principally," she says, "from what offers to my own heart, respecting,
as I may say, its own rectitude, its own judgement of the fit and the unfit; as
I would without study answer for myself to myself, in the first place; to him
and to the world, in the second only" (596). Although one could argue that
this amounts to nothing but a mystification of social standards,
Richardson takes great care to distinguish his heroine's internalized judgment
from the values of those around her. While most of her friends still hope to
repair her honor, in the conventional sense, by marrying her off to Lovelace,
Clarissa defiantly rejects any compromise with her rapist. What matters, she
makes clear, is that she be able to "acquit" herself to herself:
"the world's opinion" again comes "second" (1139).(FN8) Nor
will she take the opposite tack of prosecuting her rapist in court, despite the
urging of several advisers.(FN9) Rather than a public trial, she expressly
leaves her justification to the private reading of her correspondence after her
death--thereby identifying the text of the novel itself with an inner truth
accessible in no other form.
To the degree that the typical English novel ends with
the marriage of the heroine rather than her death, it has more in common with
the compromises of Pamela than with the absolutes of Clarissa. Rather than the
ultimate privacy of the grave, the courtship plot aims
at that partial surrender of privacy that is the
intimacy of the couple. While Clarissa repeatedly alludes to "this
encroaching sex" (345) as if men were in fact a different
species--"What had I to do with any of them," she laments at one
point, "or they with me!" (298)--courtship fiction is perforce
engaged in imagining how barriers between persons of the opposite sex might be
gradually broken down, or at least eroded. Shame figures here too; indeed, it
is striking how consistently novelists tell the story of courtship by
concentrating on scenes of shame and embarrassment. But these are stories in
which the exposure of the self is ambivalently desired as well as feared; and
the very experience of shame from which the respectable heroine shrinks is
also, under the right conditions, a sign that she and her lover both welcome.
If Pamela begins by blushing at Mr. B's free talk of stockings, she ends by
repeatedly hiding her blushing face in his bosom--a gesture that signals both
her continued vulnerability to the other and the sheltering of that
vulnerability in the exclusive relation of the couple. Having united her lovers
with an almost identical gesture in the final paragraphs of North and South
more than a century later (1854-55), Elizabeth Gaskell would write of the
"beautiful shame" with which her heroine slowly turns her glowing
face toward the hero (Gaskell, 1995: 425).
Jane Austen is celebrated as a novelist of courtship,
but perhaps no writer is also a sharper analyst of shame and
embarrassment.(FN10) Although Austen was deeply indebted to the novels of
Richardson, her acknowledged favorite was not the tragic Clarissa but the now
little-read comedy Sir Charles Grandison (1753-54). More important in this
context, she apparently felt no need to rehearse again his imaginary assaults
on women's sexual privacy. This was partly a difference
of artistic temperament and partly of gender, but also a consequence of the
half-century that separated her from her predecessor. The sexual restraint that
Richardson had anxiously sought to establish in his heroines could now more or
less be taken for granted, at least in imaginative literature aimed at
respectable audiences--though Austen, it should be said, had little patience
with contemporary cant on the instinctive modesty of her sex, preferring to
attribute her heroines' virtue to their reasoned control of their feelings.
Almost all her heroines are at some point attracted by a charming but
untrustworthy man, but they themselves are never at serious risk of falling.
The story of illicit sexuality in an Austen novel is typically displaced onto
minor figures, as it is in Sense and Sensibility (1811), for example, where the
monitory tale of a mother and daughter, each seduced and abandoned in turn,
serves to point up the danger that Marianne Dashwood escapes. To the mild
confusion of many readers, both mother and daughter apparently bear the same
name: so little individuated are these victims of seduction that Austen
scarcely troubles to distinguish between them.(FN11)
The depth of her heroes and heroines, in contrast,
might almost be measured by the time they take to reveal themselves to others.
"We neither of us perform to strangers," Darcy says approvingly to
Elizabeth Bennet in Pride and Prejudice (1996 [1813]); and although the
immediate context is Elizabeth's piano playing--as well as his own resistance
to small talk--the remark clearly has wider resonance, especially in a novel
whose villain first recommends himself by a specious openness (146). Rapid
intimacy is always suspect in Austen's novels, whether it is the intimacy of
friends, like Catherine Morland and Isabella Tilney in Northanger Abbey (1818),
or of lovers, like Lydia Bennet and George Wickham in the climactic elopement
of Pride and Prejudice. Indeed, the word "intimacy" itself, so far as
I can tell, often carries a negative charge in her work, perhaps because the
cult of sensibility in the late eighteenth century had already begun to wear
out its usefulness. Even as an adolescent, Austen was quick to mock professions
of instant disclosure: in Love and Freindship [sic] (1998 [1922])--a
high-spirited parody of sentimental fiction composed when she was not yet
20--intimate relations of both kinds are gleefully reduced to absurdity by the
dizzying speed at which they purport to establish themselves. "We flew
into each others arms," one of its heroines characteristically reports of
her first meeting with the other, "and after having exchanged vows of
mutual Friendship for the rest of our Lives, instantly unfolded to each other
the most inward Secrets of our Hearts" (1998: 83-84). This is not yet the
culture of talk shows, but it is not so distant from such a world as might at
first appear.
Yet Austen is not so unambiguously on the side of
personal reserve as her burlesque might suggest. Indeed, she can hardly afford
to be, lest the principals in her courtship plots never arrive at any
understanding after all. In Pride and Prejudice, Elizabeth's friend, Charlotte
Lucas, cynically suggests that the ladylike Jane Bennet is too
"guarded" and that she risks losing the diffident Bingley altogether
if she does not show her feelings more openly (21); and though Richardson would
have been horrified at the idea, the plot of the novel partly bears out her
claim. At the same time, of course, it endorses Elizabeth's
counterargument--that having known Bingley "only a fortnight," Jane
is hardly in a position to be certain either of her feeling or its
"reasonableness" (22). But it is in the love story of Elizabeth
herself that the novel most subtly balances the imperatives of reserve and
exposure, as the barriers that separate heroine and hero are gradually eroded
by the embarrassments that unite them. "I could easily forgive his pride,"
Elizabeth famously remarks after Darcy snubs her at the Netherfield ball,
"if he had not mortified mine" (19). What brings them together,
ironically, is in large part the effect of shame.
A narrative of class rise that replicates on a more
refined scale Pamela's ascent from lady's maid to lady, Pride and Prejudice
cheerfully exploits the vulgarity of Elizabeth's relations both to impede her
union with Darcy and to achieve it. Although Darcy first looks at Elizabeth
"only to criticise," he soon finds himself "caught" by the
uncommon intelligence of her expression and the "easy playfunless" of
her manners--not to mention her "pleasing" figure and a fine pair of
dark eyes (23).(FN12) But as he offensively confesses when he first proposes
midway in the narrative, what has repeatedly fortified his resistance to her
charms is the "inferiority" of her "connections" (159).
While he is the nephew of an aristocrat with an income of ý10,000 a year,
Elizabeth's father is merely an impoverished gentleman whose small estate is
entailed out of the family; and her maternal relatives, still more dismayingly,
are in "trade." Austen has taken pains to assure that the Bennet
inferiority is not merely a matter of status, however; and though Elizabeth's
first response to Darcy's confession is to dismiss it as "abominable
pride" (160), she knows all too well what he means in the letter that
follows when he refers to "that total want of propriety so frequently ...
betrayed" by every member of the family except herself and Jane (163). As
the narrator reports, "When she came to that part of the letter, in which
her family were mentioned, in terms of such mortifying, yet merited reproach,
her sense of shame was severe" (171).
Elizabeth has in fact been blushing for one or more of
the Bennets almost from the beginning of the narrative. Although their breaches
of decorum take many forms--from her mother's boasting of Jane's beauty to her
younger sisters' noisy pursuit of men in uniform--it is striking how often they
entail some mixture of class ambition and female sexual aggressiveness. Even
the pedantic Mary Bennet's excruciating musical performance is a variant on the
theme, and so, more obviously, is Mrs. Bennet's loud talk at the Netherfield
dinner table about Jane's prospects of marrying Bingley. Listening to the
latter, Elizabeth "blushed and blushed again with shame and vexation"
(84). By the close of the same visit--which has included not only her sister's
musical exhibition but her cousin Collins's fawning introduction of himself to
Darcy--she is forced to conclude that "had her family made an agreement to
expose themselves as much as they could during the evening, it would have been
impossible for them to play their parts with more spirit, or finer
success" (85-86).
After she rejects Darcy's proposal, Elizabeth's
sensitivity to these embarrassing displays only increases, as she imperceptibly
begins to look at them through his eyes as well as her own. That she thus
identifies with his judgment is of course evidence that she is falling in love
with him, even as her very capacity for shame distinguishes her from her
shameless relatives and helps to attract Darcy in spite of himself. But what I
chiefly want to emphasize is how the climactic episode in this
sequence--Elizabeth's shame at Lydia's elopement with Wickham--serves to unite
hero and heroine rather than divide them, and how it does so because the most
brazen of the Bennets partly stands in for the heroine herself. "Lydia
will never be easy till she has exposed herself in some public place or
other," the cynical Mr. Bennet observes, when he wearily declines to exert
his paternal authority and forbid her to follow the troops to Brighton (189).
And while there is no question that Austen repudiates this impulse toward immodest
exposure, she also knows that something like it must take place if lovers are
ever to let down the barriers between them.
Lydia, you will recall, is the youngest of the Bennets
and a favorite with their mother, "whose affection," Austen pointedly
observes, "had brought her into public at an early age." Although no
one would confuse this stout and boisterous fifteen-year-old with her elegant
and witty sister, Lydia's "high animal spirits" noisily caricature
Elizabeth's own spiritedness, while her "easy manners" sound
suspiciously close to the "easy playfulness" of the manners that
first capture Darcy (40, 23). Even her loud laugh blatantly echoes Elizabeth's
own delighted laughter at the foibles of others. When Lydia makes a nasty
remark about an heiress whom Wickham once courted, "Elizabeth was shocked
to think that, however incapable of such coarseness of expression herself, the
coarseness of the sentiment was little other than her own breast had formerly
harboured and fancied liberal!" (181). The indiscriminateness with which
Lydia and Kitty pursue the officers who have been temporarily quartered in the
neighborhood is a comic version of the unlicensed appetite that Richardson and
others sought to restrain in the female sex. When Lydia determines to follow
the regiment to Brighton, the narrator mischievously reports how she imagines
the "streets of that gay bathing place covered with officers" and
"herself the object of attention, to tens and to scores of them at present
unknown" (190). Though Lydia ends by running away with Wickham, one of the
novel's points about her attachment to him is that it is an arbitrary impulse
rather than a considered choice: until the last minute, her family has no idea
that his red coat signifies more to her than any other's. But we are meant to
recail that Elizabeth herself was once very attracted to Lydia's seducer; and
that his apparent lack of reserve, especially as compared with Darcy's
reticence, was not the least of his charms. When Elizabeth blushes for Lydia,
in other words, she simultaneously demonstrates her superiority to her
unblushing sister and testifies to their kinship in more senses than one.
Remarking that "ego boundaries seem especially
weak" in situations of embarrassment, Erving Goffman has called attention
to the way in which embarrassment tends to spread itself around among persons,
even--or especially--among those not directly responsible for what inspires it
(Goffman, 1967: 99).(FN13) Exercising a novelist's license with this
phenomenon, Austen uses Lydia's shame for the salutary mortification of Darcy
as well as Elizabeth. Elizabeth imagines that the scandal of her sister's
elopement will drive him away forever--that "every thing must sink under
... such an assurance of the deepest disgrace" (225)--but the result is
quite the opposite: the shame of the Bennet family turns out to be Darcy's as
well, and not only because he assumes its burden when he chivalrously comes to
the rescue of Lydia by arranging for Wickham to marry her. Darcy, too, has his
Lydia: his own sister, Georgiana, a similarly buxom girl of 16, had narrowly
escaped from an elopement with the very same Wickham the previous year.
Although Austen adheres to convention by sparing Georgiana the disgrace of the
more vulgar Lydia, she also condemns the pride that moved Darcy to keep the
affair secret; as Darcy himself comes to realize, he has preserved his sister's
reputation at the expense of Lydia's, since he has failed to publicize
Wickham's history.
This is another point, in fact, at which Pride and
Prejudice registers the limits of privacy: much as we
are encouraged to distrust the gossip that continually circulates in the
narrative, a little more gossip about Wickham and Miss Darcy would apparently
have been a good thing. Unlike people in real life, however, novelists are free
to have it both ways; and without the shame of Lydia Bennet, Austen would have
had to arrange some other means of bringing her protagonists together. The same
secret that she condemns has helped to create her lovers' intimacy, since Darcy
had already confided Georgiana's story to Elizabeth in the letter by which he
defended himself after her initial rejection. That Elizabeth has kept Darcy's
secret not only further implicates her in Lydia's fall (since she too has failed
to issue a timely warning), but it does so by identifying her with her future
husband at the expense of her family of origin. And that Darcy has shared his
secret with Elizabeth but not, apparently, with his own embarrassing
relative--his "impertinent" aunt, Lady Catherine (147)--only drives
home this new alignment. Long before Austen's protagonists set out to
"teach the admiring multitude what connubial felicity really was"
(252), they thus begin to demonstrate how such felicity depends on limiting the
very exposure to which they surrender. Intimacy always defines itself by
excluding others from its embraces.
Even in fiction, most women do not have such useful
sisters as Lydia Bennet. But novelists are adept at devising strategies for
representing what they otherwise cannot represent; and the sexual restraint of
nineteenth-century heroines did not prevent many writers from staging
variations on the necessary shaming of the virtuous woman. I can look briefly
only at one: a mid-Victorian novel whose ostensible subject appears to place it
at a far remove from the world of Jane Austen. Published in 1854-55, Elizabeth
Gaskell's North and South is a novel about the clash between labor and capital
in a northern English city modeled on Manchester, where its author came to
settle. As its title suggests, it also concerns a division within England
itself.
The novel's heroine, an impoverished gentlewoman, is
abruptly compelled to leave her rural home in the south for the industrial
north, where her sympathy with the suffering workers brings her into conflict
with a local mill owner. Like most nineteenth-century novelists, however,
Gaskell approaches social problems through the histories
of individuals; and insofar as North and South imaginatively resolves these
conflicts, it does so by means of a courtship plot that is strikingly indebted
to Pride and Prejudice.(FN14) As in Austen's novel, the pride in question is
reciprocal, and the heroine's prejudice against the hero is so pronounced that
even her own father cannot believe in her subsequent change of heart.(FN15)
Here, too, her initial hostility only gives way to love after she angrily
rejects the hero's first proposal midway in the narrative. Although North and
South significantly transforms the class antagonisms of its predecessor--it is
now the heroine who is prejudiced against "shoppy" people (20) while
the hero has exchanged his landed estate for a cotton mill--in both novels she
accompanies her rejection by accusing him of not behaving like a gentleman.(FN16)
But North and South is a more openly political novel
than its predecessor, and in the shaming of Margaret Hale it characteristically
fuses--or confuses--sexual motives with political ones. In a critical scene
that immediately precedes Thornoton's first proposal of marriage, Margaret
accidentally arrives at Thornton's house in the midst of a riot by the striking
workers and goads him to confront the mob and address them "man to
man" (175)--only to rush down herself when she realizes that they are about
to attack with whatever missiles are to hand. In the dreamlike sequence that
follows, she instinctively throws her arms around Thornton's body to shield
him, is herself struck by a stone, and briefly collapses, unconscious and
bleeding, before the eyes of the crowd. Margaret will insist that she acted
from a simple impulse of humanity, but Gaskell knows very well that the scene
looks like a public display of sexual feeling. Thornton's servants report that
they have seen "Miss Hale ... hugging him before all the people"
(181); and though his mother has long opposed any connection with Margaret,
even she reluctantly concedes that he is "bound in honour" to offer
marriage, since the woman in question has "allow[ed] her feelings so to overcome
her" (186). Margaret herself fiercely denies that her act had anything to
do with love, but her cheeks become "one flame of fire" when she
thinks of it: "I in love--and with him too! ... Oh how low I am fallen
that they should say that of me!" (188).
The publicity of the scene makes it especially daring
for a mid-Victorian novel: the exposure of the heroine's sexual vulnerability
is all the more humiliating because it is staged before a crowd of lower-class
witnesses. When Margaret recalls the event, she suffers "a sense of shame
so acute that it seemed as if she would fain have burrowed into the earth to
hide herself, and yet she could not escape out of that unwinking glare of many
eyes" (189). Indeed, Gaskell quickly covers over the shame of the riot
scene with a shame that both the narrator and Margaret can dwell on more
openly. In an elaborate bit of plotting that can only be briefly summarized
here, Margaret ends up lying to a police inspector to protect her brother, who
has secretly returned to England while under sentence of death for his role in
a naval mutiny; and Thornton ends up covering for her, under the mistaken
belief that the man he happened to see with her was her lover. When Margaret
learns of Thornton's chivalrous gesture, "she suddenly found herself at
his feet, and was strangely distressed at her fall" (278). From this
moment on, she both fears and anticipates "the shame, the shrinking
shame" of meeting him again--an end finally realized only in the
"beautiful shame" of their closing embrace (295-96, 425). As in Pride
and Prejudice, in other words, the heroine spends much of her time between the
hero's first proposal and his second worrying about how she has been disgraced
in his eyes; and as in Pride and Prejudice, both his chivalrous effort to conceal
that disgrace and her increasing concern for his opinion serve to register
their growing intimacy. But there is no Lydia Bennet to bear the stigma of
sexual license in North and South, and, as if Gaskell sought to counter the
daring of her own representation in the riot scene, she arranges for her
heroine's second shame to whitewash the first: until Thornton's belated
discovery that Margaret has a brother, he continues to suspect her of sexual
impropriety, but in this case, of course, she is wholly innocent. That North
and South still needs to guard its heroine so closely even as it exposes her is
one sign of how persistent is the distrust of women that Richardson and others
hoped to assuage.
But what happens to the imagination of intimacy when
the social conventions have radically changed, and
sexual relations no longer wait on the protracted ritual of courtship? Short of
the counterrevolution rather implausibly proposed by Wendy Shalit's recent
polemic, A Return to Modesty (1999), does anything remain of the tension
between privacy and exposure so central to the
narratives I have examined? One answer may be suggested, however tentatively,
by looking at a novel that deliberately sets out to revise these narratives for
contemporary audiences: David Lodge's 1988 satire, Nice Work. Lodge is a former
professor of the novel as well as a novelist; and like most of his fictions,
Nice Work cheerfully echoes and parodies a number of prior texts, Dickens's
Hard Times and Forster's Howards End among them. But the primary model for his
ironic romance about a businessman and an academic in Thatcher's England is
unquestionably Gaskell's North and South.
Although Lodge's novel remains a slighter affair, its
updating of the earlier work is nonetheless instructive. Nice Work is set in a
thinly fictionalized version of Lodge's Birmingham rather than Gaskell's
Manchester. Its late-capitalist hero, Victor Wilcox, is no longer a mill owner
but the managing director of an engineering firm. The transformation of
Gaskell's heroine is more radical: Robyn Penrose has retained Margaret's
cultural superiority and her associations with the south, but she has evidently
taken advantage of significant changes in the position of women since the
nineteenth century: she is now a Cambridge-trained professor of literature and
a feminist. A sophisticated decoder of erotic subtexts, she amuses her students
by locating dubious sexual puns in North and South itself, as she lectures
knowingly on "the displaced manifestation[s]" of Margaret's "unacknowledged
erotic feelings for Thornton" (Lodge, 1988: 50), while her cool analysis
of the sexual messages in contemporary advertisements rather shocks the more
puritanical Wilcox. Lodge's modern heroine is also, needless to say, no longer
a virgin; and when the couple finally go to bed, it is she who takes the lead.
Their initial hostility has predictably yielded to something like love, but
Robyn refuses to believe in the concept, and she firmly dismisses Wilcox's
infatuated talk of divorcing his wife and marrying her. Like North and South,
Nice Work arranges for the last-minute rescue of the hero by unexpectedly
awarding the heroine a legacy with which to invest in his future; but though it
happily imitates this bit of romance plotting, it declines to follow the
awakening of desire with a wedding. The affair between these representatives of
a divided England remains a one-night stand, not a marriage.
Yet sexual shame has hardly disappeared from Lodge's
narrative, and it is no accident, I think, that among the impulses that unite
his odd couple is their shared feeling about the privacy
of the female body. From early scenes in which Wilcox cringes at his
secretary's eager display of her daughter's pin-up photos and Robyn laments the
discovery that one of her students is supporting herself as an underwear model,
the novel repeatedly returns to this theme. In a crucial episode, Wilcox
listens with amused satisfaction as Robyn chews out a member of his staff who
is planning to use the secretary's daughter in an advertising calendar; in
another, she rescues him from public embarrassment by sternly dismissing her
half-naked student, who has been sent to disrupt his speech to his workers with
the delivery of a singing telegram. "It degrades the women who pose for
them, it degrades the men who look at them, it degrades sex," Robyn says
of the pinup calendar (95); and in this view, as Lodge clearly knows, the
old-fashioned puritanism of his hero and the modern feminism of his heroine
converge.
Still more to the point, the novel suggests that it is
this very refusal to be viewed as just another female body--not a lack of
sexual experience as such--that constitutes a woman's chastity. Despite his
assumption that she is not a virgin, Wilcox finds himself thinking of Robyn as
"the most independent woman he had ever met ... and--it was a funny word
to float into his mind, but, well, chaste." He repeatedly associates her
with a painting he has seen in the local museum, in which a naked goddess
vanquishes a peeping Tom by the sheer force of her look--"a look that
seemed to come right out of the picture and subdue even the schoolboys who
stared at it, usually all too ready to snigger and nudge each other at the
sight of the female nude" (158-59). This is the Robyn with whom Wilcox
falls in love; and though Robyn herself dismisses the idea of love as a
"literary con-trick" (213), Lodge delights in at once confirming and
disproving her claim by convincingly representing that love in his novel. A
dutiful poststructuralist, Robyn also believes that "there is no such
thing as the 'self'" (21), but Lodge mischievously chooses to imagine her
as one nonetheless and to identify that self with her dignified insistence on
being treated as an individual.
It is now a new century, and the question of privacy is taking new forms. Or apparently new forms. Most of
us no longer share the eighteenth century's obsessive concern with female
chastity, but the war between the sexes as Richardson conceived it is far from
over, as Jeffrey Rosen's recent study of privacy and the
American law of sexual harassment only confirms (2000, esp. 1-25, 91-158). I
doubt if we are about to witness a revival of the epistolary novel--especially
at the heroic lengths undertaken by Richardson--but email has clearly brought
back the personal letter, while the very distance and impersonality of
communication by computer offer both sexes an electronic version of the modest
lady's retreat. Like one of Richardson's own female correspondents, who carried
out an extended exchange with him under a pseudonym, or like the novelist
himself, who seems to have felt more at ease writing to his women friends than
encountering them in person, the anonymous participants in chat rooms, for
example, are free to reveal--or, for that matter, to invent--aspects of the
self that they might otherwise fear to articulate. Cyberspace has dramatically
multiplied the risks of interception, but if the very media that help to make
the private individual also make her more vulnerable, we can at least place
this challenge in historical perspective. Many of us felt that Linda Tripp's
recording of Monica Lewinsky's telephone calls was a more serious violation
than the latter's taking hold of the presidential private parts; but so in
Richardson the interception of a letter may portend a more troubling violation
of privacy than the penetration of a drugged Clarissa.
We may not always value the privacy of the mind over
that of the body; but literature, I would argue, is especially good at making
us sensitive to how and why we often do.
FOOTNOTES
1 For the claim that "privacy was an
eighteenth-century innovation," see, e.g., Braudel (1973: 224). For
sexuality, see, e.g., Armstrong (1987: 6-7).
2 See, e.g., Stone (1977: 253-57); Gay (1984: 445-60); and especially Chartier
(1989) and Perot (1990). For related discussions that concentrate on the
literary evidence, see Watt (1967 [1957]: 174-207); and Brooks (1993: 28-53).
3 The German original, ýber Scham und Schamgefýhl, was written in 1913 but only
appeared posthumously in 1957. To the best of my knowledge, no English
translation has ever been published.
4 To Sophia Westcomb [1746?] in Carroll (1964: 66). In several extraordinary
letters to this young female friend, Richardson sought to persuade her that only
by retiring to her closet and taking up the pen could a modest woman dare to
"shew herself," as he put it, "and that she has a Mind."
His letters do not so much offer a coherent argument as a set of rhetorical
flourishes, and their case is somewhat compromised by the fact that he was
trying to persuade the young lady in question to continue writing to him. But
he appears to suggest that letters are superior to ordinary conversation not
just because writing allows for more deliberation than talk, but because the
very absence of the other person that requires a letter in the first place
helps to guarantee the bodiless purity of the exchange. From the common
observation that "the pen ... makes distance, presence," he proceeds
to a more extravagant claim--that such a pen "makes even presence but
body" (mere body, that is to say), "while absence becomes the
soul." Amid the "Goose-like Gabble-Gabble-Gabble" of the
"Tea-Table," as he contemptuously phrases it, the "modest
Lady" can only be silent, but having retired to her closet--that
"Closet her Paradise, her company, herself, and ideally the beloved
Absent," in his words--"there she can distinguish Her Self: By this
means she can assert and vindicate her Claim to Sense and Meaning." To Sophia
Westcomb, 15 September 1746; To Sophia Westcomb [1746?]; To Sophia Westcomb, 15
September 1746 (68, 65, 68).
5 After the publication of Pamela in 1740, Richardson had responded to his
critics by revising some of the "warmer" bits: since the Penguin text
cited here follows the posthumous edition of 1801 that incorporated these
revisions, it omits the gesture with which Mr. B reaches into Pamela's bosom in
the first scene alluded to earlier.
6 For a discussion of some of the wider implications of this question, see
Braudy (1974: 177-206).
7 "Oh! my dear," Clarissa writes to Anna, "were but a woman who
is thought to be in love with a man ... to reflect one moment on the exaltation
she gives him, and the disgrace she brings upon herself, the low pity, the
silent contempt, the insolent sneers and whispers, to which she makes herself
obnoxious from a censuring world of both sexes, how would she despise herself!
And how much more eligible would she think death itself to such a discovered
debasement!" (546). Although the context is her relation with Lovelace,
Clarissa makes clear that marriage to any man degrades any woman.
8 In an ironic reversal of their previous relations, it is now Lovelace who
protests that Clarissa "needlessly expose[s]" them both by
"publish[ing]" her disgrace to the world (1107, 1035), as she proudly
announces to everyone concerned that she is not married and never intends to
be, Like Mr. B, who begins by complaining that Pamela is "writing out of
my family all the secrets in it" when she sends home her reports of his
advances (105), Lovelace has counted on one kind of privacy
to screen his assaults on another. Although Richardson would obviously not
agree with Catharine MacKinnon that "for women there is no private, either
normatively or empirically," his fictional scenarios do help to
demonstrate what MacKinnon means when she contends that feminism needs "to
explode the private" to reveal women's oppression (1989: 191). For the
recent argument that in cases like that of Senator Robert Packwood or the
Clinton-Lewinsky scandal, sexual harassment law in the United States has now
taken the invasion of masculine privacy too far, see
Rosen (2000: esp. 12-25). Rosen himself would prefer to reclassify many acts
now labeled sexual harassment as invasions of privacy
and punish them accordingly.
9 Wisely recognizing what the contemporary case law would have confirmed, she
knows the difference between the information that would count in that public
forum (like the fact that she originally agreed to a clandestine meeting with
her seducer) and the sort of knowledge that would carry "greatest
weight," as she says, with "a private and serious audience"
(1253). On contemporary rape trials, see Flynn (1982: 109-115).
10 For a fine study of the subject, see Southward (1996: 763-84).
11 Elsewhere, Austen cheerfully mocks the Richardsonian novel--adducing as
evidence that "no one ... would have supposed" Catherine Morland in
Northanger Abbey "born to be an heroine," for example, and that her
father "was not in the least addicted to locking up his daughters."
See Austen (1995: 13). Austen reported Northanger Abbey "finished" in
1803, but it was only published posthumously in 1818.
12 The narrator pointedly characterizes his discovery of these charms as
"mortifying" (23). Like Elizabeth, who will later feel deeply
"ashamed" when she is compelled to revise her judgment of him (171),
Darcy experiences a kind of humiliation especially reserved for those who pride
themselves on their critical powers.
13 When Lydia and Wickham return after the affair has been patched up with a
marriage, Elizabeth is "disgusted" by their "easy
assurance": "She blushed, and Jane blushed; but the cheeks of the two
who caused their confusion, suffered no variation in color" (254).
14 To the best of my knowledge, no one has worked out these analogies in
detail, though several critics have noted the resemblance in passing. See, e.
g., Hopkins (1952: 139); and Bodenheimer (1988: 53).
15 Compare the scene in which an incredulous Mr. Bennet confronts Elizabeth
after he has learned of her engagement to Darcy--"Are you out of your
senses, to be accepting the man? Have you not always hated him?"--with the
scene in which Mr. Hale tells his daughter that his friend Mr. Bell suspected
that she might care for Thornton: "I knew that could never be ... I knew
too well what your real feelings were to suppose that you could ever like Mr.
Thornton in that way" (Pride and Prejudice, 303; North and South, 332).
Unlike Mr. Bennet, Mr. Hale is never disabused of his conviction, since he dies
before Thornton's second proposal. But both novelists exploit the father's
incredulity to highlight the heroine's embarrassment at how her present
feelings belie her past pronouncements.
16 Like Austen's heroine, Gaskell's has previously refused an offer of marriage
from a distant relative, and the difference between the equanimity of that
refusal and the intensity of this already betrays her passionate involvement
with the hero. That both novels thus postulate the alternative of marrying more
or less within the family only points up the comparative exogamy of the unions
that conclude them.
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Political History of the Novel. New York: Oxford University Press, 1987.
Austen, Jane. Northanger Abbey. Ed. Marilyn Butler.
Harmondsworth: Penguin, 1995.
Austen, Jane. Pride and Prejudice. Ed. Vivien Jones.
Harmondsworth: Penguin, 1996.
Austen, Jane. Love and Freindship. Catharine and Other
Writings. Ed. Margaret Anne Doody. Oxford: Oxford University Press, 1998.
Bodenheimer, Rosemarie. The Politics of Story in
Victorian Social Fiction. Ithaca: Cornell University
Press, 1988.
Braudel, Fernand. Capitalism and Material Life,
1400-1800. Trans. Miriam Kochan. New York: Harper and Row, 1973.
Braudy, Leo. "Penetration and Impenetrability in
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Brooks, Peter. Body Work: Objects of Desire in Modern
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Chartier, Roger, ed. Passions of the Renaissance. Vol.
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de Beauvoir, Simone. The Second Sex. Trans. H. M.
Parshley. New York: Vintage, 1974.
Elias, Norbert. The Civilizing Process. Vol. 1: The
Development of Manners. Trans. Edmund Jephcott. New York: Urizen Books, 1978.
First published in German in 1939.
Flynn, Carol Houlihan. Samuel Richardson: A Man of
Letters. Princeton: Princeton University Press, 1982.
Gaskell, Elizabeth. North and South. Ed. Patricia
Ingham. Harmondsworth: Penguin, 1995.
Gay, Peter. The Bourgeois Experience: Victoria to
Freud. Vol. 1: The Experience of the Senses. New York: Oxford University Press,
1984.
Goffman, Erving. Interaction Ritual: Essays on
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Herodotus. The History. Trans. Donald Grene. Chicago:
University of Chicago Press, 1988.
Hopkins, A. B. Elizabeth Gaskell: Her Life and Work.
London: John Lehmann, 1952.
Lodge, David. Nice Work: A Novel. London: Secker and
Warburg, 1988.
MacKinnon, Catharine. Toward a Feminist Theory of the
State. Cambridge: Harvard University Press, 1989.
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Duby, eds. Trans. Arthur Goldhammer. Cambridge: Harvard University Press, 1990.
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Richardson. Ed. John Carroll. Oxford: Clarendon Press, 1964.
Richardson, Samuel. Pamela; or, Virtue Rewarded. Ed.
Peter Sabor. Harmondsworth: Penguin, 1985a.
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Aubier, 1952.
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Lost Virtue. New York: The Free Press, 1999.
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Embarrassment." Studies in English Literature 36 (1996): 763-84.
Stone, Lawrence. The Family, Sex and Marriage in
England 1500-1800. New York: Harper and Row, 1977.
Utter, Robert Palfrey and Gwendolyn Bridges Needham.
Pamela's Daughters. New York: Macmillan, 1936.
Watt, Ian. The Rise of the Novel: Studies in Defoe,
Richardson and Fielding. Berkeley: University of California Press, 1967 [1957].
HOW PUBLICITY MAKES PEOPLE REAL
BY DAVID BROMWICH
WHAT follows is a reminder of the value of certain
experiences, or rather a way of regarding experience. The value sometimes went
by the name of privacy, and the destruction of privacy is the great collective project of our time. All the
dominant tendencies of mind and society abet this project: the general and
unquenchable optimism of American life; the promise that technologies of the
self can render us transparent to each other (with the unspoken assumption that
this is to be desired); the intuition that the one thing more precious than
human thoughts and feelings is the acquired ability to engineer small
differences in ourselves and in those whom we love or buy. Penetrating all
these tendencies, and invisibly assisting them, is the belief that choice is
the metaphor that should govern free action. Consumer is the word, in turn,
that naturally goes with choice; and for the emancipated consumer the locus of
choice is the market--if not the stock market, then a market of some other
kind; and further back, to prepare for the decisions of the market, an
institution that contour-builds the best minds for the best choices: what would
that be if not the marketplace of ideas? An expected child of an aspiring
consumer couple, whose plan of life has gone through a rigorous first draft
long before birth, the shape of whose probable character; temperament, and
prospects can be read out from the arc of elective traits on the human genome
map--this creature will be knowable from age zero by medical, state, and market
authorities with a clarity, distinctness, and intimacy of oversight that could
not have accrued to a member of an earlier generation before middle age.
However, that is to look ahead slightly.
My paper aims to describe a mood, a mood all Americans
have lived with: the mood of broadcast intimacy. I heard a noncelebrity guest
on Oprah Winfrey once confide to Oprah that she had never told her best friends
what she was about to say, but--the real truth was that her marriage broke up
almost totally because of the mayhem her daughter created at home. A typical
revelation of broadcast intimacy. The guest from ordinary life did not want to
say it to her closest friends or even her family; but to say it to millions of
viewers was a comfort. Anyone who has ever watched a talk show is familiar with
the syndrome. The woman never told her neighbors because that would have been
gross. Why then was she telling the camera now? At this point the usual
instruments of moral psychology are at a loss. The mass media represent life,
through an intervening layer, or so we have supposed. We have yet to reckon
with the novel fact that the media have been so naturalized in the lives of
many that they are now widely understood to intercede for us. They confer on
experience a reality it would otherwise lack.
All this occurs in a haze of euphoria that is the very
element of the media and that only an artist informed by irony can hope to
convey. In the remarks that follow, I will rely heavily on the testimony of
artists who have been close observers of American mass culture. But it should
be plain from the first that publicity, as I use the term, does not refer
narrowly to the mass media of exposure--advertisements, scandal sheets, the
radio call-in and television talk shows. I have in mind a more generalized
process, a rite of passage now conducted by American society in a great many
venues, by which we are solicited to recognize ourselves and to know ourselves
most alive as an image. It is essential to the procedure that the new
self-image be identical with a broadcast image identifiable to people who never
heard of us until it came into public view. The achievement of publicity--not
the going public but the making public of oneself-- is to merge the private
with the general conception of who one is. Its success depends on the puzzling
fact that the irrevocable passage from depth to surface can be experienced as a
relief.
Another anecdote. I was at a friend's house watching
him cook dinner, leafing through a newspaper, half attentive the way one can be
in such settings, when the phone rang and across the kitchen I heard my
friend's voice rise. "Who? You what? Wait a minute. Are you trying to sell
me something?" A pause. "Yes, that is my name, that's the right
spelling. Now listen. I want you to underline this number and never call it
again." At which he resumed the conversation where we had left off. My
friend is in his mid-fifties. an aesthete, a religious believer, and an
anarchist. I mention these facts because nobody younger, and nobody rendered
docile by profession and prejudice, would have handled the moment quite as he
did. He was breaching a decorum of the commercial culture of democracy; to do
so did not particularly strain his resources. The same decorum has been adopted
in national politics. At the Democratic Party convention last summer, Al Gore's
daughter introduced him with these closing words: "He's a really cool
person, and I know you'd like him." It helps, if you want to avoid
encounters like this, to shun politics as well as market surveys. My friend has
boycotted the last six presidential elections.
Politics and market research today share with the media
the assumption that anyone's life may have to be coaxed into publicity.
Naturally, it is done for the target's own good. This was the thought of the
legislative assistants working under Senator Howard Metzenbaum when they
dragged Anita Hill in front of the footlights to rehearse some pent-up
grievances against her friend and mentor Clarence Thomas. Under publicity, they
had reason to believe, the extracurricular and lurid details would be
alchemically transformed and would yield a conversion of the past and present
understandings of both personalities. As things fell out, however, Thomas was
not hip to the publicity cure. This, as much as the offense of harassing
monologues recollected in the distress of Anita Hill's afterthoughts a decade
later--this culpable immunity to the logic of public confession was the real
scandal of the Thomas confirmation hearings. The usual nameless dramaturge had
lined up the action, all the levers of penitence were in place, but the
protagonist-scapegoat failed to carry through. Hill had herself been reluctant
to appear before the Senate until the suasive energy of the publicity culture,
and the moralized gloss it was able to promise, showed their ascendancy at last
and brought her over. Some way under the dream of the publicity cure--as one
can tell by the rage it exhibits when disappointed--lies a belief that all
withdrawal from publicity is suspect. It is as if such a withdrawal were really
a breach of a new kind of public trust.
To be content with anonymity, with a recessive position
and its noncelebrity, when the opposite is once offered, is, in modern American
society, anomalous and almost perverse. Better, under the benign gaze of camera
and cassette, to admit to any transgression than to imply a contentment with
the habits and manners of invisibility. A person who resists the gaze of the
mass culture, to the extent that he or she is the desired object of its gaze,
will, for that sufficient reason, be classified as opaque, unreliable, even in
some hard-to-capture sense potentially hurtful to the normal people. Someone
who acts like that has opted out of a common faith. It follows that he or she
is to be treated as one would treat a member of a very small cult. The younger
you are, and the more democratic your milieu, the more unmistakable the
prejudice becomes. The generality of these attitudes may help to explain some
recent attempts to coax into publicity an American artist conspicuously
associated with an idea of privacy.
The history of J. D. Salinger's reputation in the past
decade has been one of coercive exposure to the point of torment (if one could
imagine a private person feeling anything). The appetite for information seems
to have grown with every satisfaction it was denied. The first well-known
effort to open up Salinger's privacy came from the
British literary journalist Ian Hamilton. Having written an authorized
biography of Robert Lowell, Hamilton soon after conceived the ambition to write
a biography of Salinger. Eventually he found his way blocked by a refusal of
permission to quote from letters. Not wanting to be done out of a project, he
chose to publish a first-person narrative, In Search of J. D. Salinger, about
the obstacles placed by modern life in the way of an earnest biographer and an
inquisitive public. Then a net of a finer mesh was spread and dropped. Another
journalist, once known for her ruminations on family life and the importance of
the genuinely personal, broke back into full publicity, after a muffled decade
of waning renown, with a memoir of her youthful love affair with Salinger. The
author was Salinger's admirer, protýgý, and, as she now divulged, his former
lover, Joyce Maynard.
Maynard had enrolled at Yale in the 1970s, and in her
freshman year wrote a cover story about herself for the New York Times Magazine
under the title "An Eighteen year Old Looks Back." It was the first
piece of confessional journalism by someone who claimed to represent a
post-sixties generation. Because the posture was new--that of the novice to
experience, already disenchanted, yet innocent and uncertain how to enter the
world--the essay was talked about and brought its young author hundreds of
letters. One of these came from Salinger. He expressed admiration for the poise
of the writing, and offered some words of advice against too much early
exposure. Maynard wrote a winsome reply, asking, in effect, if he could somehow
teach her the meaning of his advice. This brought an invitation to pay him a
visit; the meeting went well; and Maynard dropped out of college to spend
several months with the celebrated author and private man. Salinger threw her
out when he discovered that, thanks to Maynard's pressing need for promotion to
sell her book-length memoir, Looking Back, his phone number was now in the
hands of her literary agent and Time magazine. For the next 25 years Maynard
said nothing. Then, in her forties, with children to send to school and no
bigger game in prospect than an Internet fanzine dedicated to herself, she
decided it was time to be made real again. Salinger was now 78: it was perhaps
better to have the reality conferred while he was alive. Around the time that
her book, At Home in the World, appeared, Maynard announced a plan to sell at
auction her correspondence with Salinger. The pair of moves was sufficient to
provoke a number of journalistic profiles, and though a good deal of the
attention was unfavorable to her, it also led to a new wave of speculation
about Salinger and his seclusion. It is as if the public mind--of which
Maynard's writings and choices in life have been at various times so sensitive
a barometer--it is as if the mind of publicity itself had discovered, in the
second character in this story, an irritant beyond words and beyond
explanation. Salinger stands for the person who might be made real by publicity
but who, given chance after chance, unaccountably does not elect to be remade.
There is a postscript--there is always a postscript in
the American life of publicity. Last year J. D. Salinger's daughter Margaret
published a memoir of growing up in her family. The contents of the book are
unremarkable. It is the story of a girl who adores her father and who is adored
by him. In retrospect, she finds him exorbitant in many ways, and, as she comes
of age and begins to see her family from the outside, she gradually realizes
that he is one of those people the world agrees to call eccentric. Her book,
though to a lesser degree than Maynard's, professes to have been written partly
to heal or expunge a long-buried trauma. Yet it soon becomes clear to the
readers of both books that the confessing women, in ways they are not fully
aware of, have been throughout their lives disturbed persons; and disturbed in
ways that, if obliquely traceable to, cannot be easily or confidently blamed on
their experience of J. D. Salinger. It likewise becomes clear that one thing
inhibiting that plain perception for both women has been a heavy exposure to
advice informed by trauma theory. Margaret Salinger has come to think, as most
of us finally do, that her parents made mistakes she herself would rather not
make with her children. This resolution would not appear to require for its
confirmation the publishing of an intimate memoir. But on the premise that we
are made real by publicity, it does of course require that, since a resolution
in private life is insubstantial until its grounds are worked up in public.
"Ms. Salinger," reported Dinitia Smith in the New York Times on
August 31, 2000, "said she wrote Dream Catcher because 'I was absolutely
determined not to repeat with my son what had been done with me.'" That is
to say, the examined life has not been fully examined if no record is
disseminated to prove it. "Does [her father] know about her book? 'He does
now,' said Ms. Salinger." Margaret Salinger refused to give the
interviewer her husband's name, or that of her son, or her son's age. She did
say that she hopes to write more books.
If Joyce Maynard's confessional trespass is a peculiar
and in some ways an aberrant case, Margaret Salinger's suggests the normal
American state of mind about publicity. That state of mind is often
self-contradictory, it is capable of self-doubt, and it tends toward the
resolving of doubt through self-exposure.
The assaults on Salinger are an inverted homage to an
actual quality of the book that has kept his name alive. The Catcher in the Rye
is an exuberant and delicate monologue by a quiet character whom we overhear
talking to himself. He stands in a predicament that many readers, and
especially adolescent readers, have taken to heart with a fondness of
self-recognition. The book showed us a frank unburdening of a self. By the ease
of its frankness it also seemed a kind of invitation. This was a message that
was meant to pass from the character to the reader, not from the person of the
author to the person of the reader, and yet Salinger's achievement is not quite
unconnected with the possibility of that confusion. Holden Caulfield, the hero
and narrator, has an idiosyncratic code of conscience that serves him as
rigorously as a code of honor--a word he does not use any more than he would
use other words of the same family. "Grand. If there's one word I hate,
it's grand. It's so phony." Holden despises the phonies who have
internalized an accepted public manner from the first of any encounter you have
with them. These include potentially most people, but grownups more than
children. The one unquestionable nonphony, a party of the elect in herself, is
Holden's younger sister Phoebe. His favorite partners in dialogue are mostly in
his mind; some of them in fact are writers of books. "What really knocks
me out is a book that, when you're all done reading it, you wish the author
that wrote it was a terrific friend of yours and you could call him up on the
phone whenever you felt like it." Which author would you call up on the
phone? It is a characteristic private game of Holden's. He likes Out of Africa
by Isak Dinesen more then he thought he would. Maybe she is one. Probably
Fitzgerald is another, for The Great Gatsby. "Old Gatsby. Old Sport. That
killed me." Anyway, the authors you would play the game about are either
dead or safely remote by virtue of their distance or their worldliness. The
game of "call up the author" was meant to suggest an inward
freedom--an example of Holden's candor with himself, of an entirely impractical
curiosity, like his anxiety about what happens in winter to the ducks in Central
Park. What shall we conclude? Fifty years ago an American wrote a wonderful
book about the endlessness of privacy. He had the fate
to publish his book in America. It was inevitable that numbers of readers would
take the gesture literally as an invitation to call up the author.
While I was writing the last few paragraphs on a train,
two voices rose distinctly above the murmur of conversations. Were they talking
to me? Actually, they were talking into their cell phones, with a nattering
authority proper to a phone call in one's home or office. Let these voices
stand for the mature and uncoerced publication of privacy.
There was an audible shifting in some seats, but the veteran passengers felt no
stir of irritation, having come symbiotically prepared with CD or radio
Walkman. The situation would have been immediately comprehensible to Rupert
Pupkin, the hero of Martin Scorsese's film The King of Comedy. Rupert calls the
receptionist's desk at a talk show he wants to book himself on from another receptionist's
desk to which he has just delivered a package, and asking after the star of the
show and being told that the star is at a meeting, says without an air of
absurdity, "I'm at a meeting myself." The many people who contrive to
be heard using cell phones in public places, by that very fact can feel
themselves to rise in importance. They are audibly present at two meetings.
It is hard to speak in the older manner of
nineteenth-century fiction, or of twentieth-century psychology, about the
motives that drive people to consent to be made real by publicity. Certainly
they know that careers can get a jump this way; and that there is cash value in
the revelations. But one has to take into account a curious shade of moral
approval or fellow feeling that is elicited now by self-exposure of any but the
most rancid and debasing kind. Besides, the euphoria of the mass culture itself
is a keener incentive than any countable reward. This mood is its own reward.
How many people have come to realize, with a queasy cheerfulness, that by
vandalizing their own lives and emptying out the contents of their usable
relationships, they were entering into the company of the absolved. But the
bridge of excuses runs both ways. The public person through an exposure of privacy steps into the accessible lower reaches of a knowing
and sharing audience. The private person through a painful and maybe accidental
ascent to publicity is enabled to shed the infinitesimal but crushing burden of
anonymity. Both, equally, gain access to the universal drama of mass culture by
which one becomes a fixed quantity for other people. How to measure the
incidental sacrifice--the surrender of the freedom to live a life that people
do not have a name for? Andy Warhol said that in the future everybody would be
famous for 15 minutes. He did not say these were bound to be pleasant minutes.
The compulsion that drives the assault on privacy, like
the compulsion that, on Freud's view, underlies the pleasure principle, is
beyond any rational calculus of pleasure and pain.
The portrayal of conversions from private to public and
back has a long history in the American arts, and some of the most enigmatic of
our fictions revolve around the paradox of a reality brought into being by
publicity. Once having been made real by publicity, the transposed man or woman
may want to be rescued from public reality after all, and privacy
may become the name of that paradoxical hope. The heroine of Henry James's
novel The Bostonians has spent her youth preparing to exert her mature powers
as a charismatic speaker for the philanthropic religious, moral, and political
forces of Boston society. Verena Tarrant is expected, for her destined years of
fame on stage, to breathe fresh life into the transcendental embers of the last
of the Peabodies and Alcotts. Yet a suggestion has always hung about her of the
counterfeit or bogus: her father, Selah, before all her speeches, winds her up
to get her started with a hocus-pocus vaguely reminiscent of mesmerism. Her
admirers know this, they take it in, but do not care. She is their private
public star. The crisis of the plot occurs at the intervention in her life of a
Southern gentleman, Basil Ransom, who falls in love with Verena and decides to
rob her patrons of their prodigy, to remove her forever from the glare of
recognition. His passion and the excitement of the theft are, for Ransom, a
single compound emotion, while from her point of view he has a mysterious power
as the deliverer of a gift her patrons could not promise: a life of private
devotions and feelings.
The Bostonians ends somewhere between irony and
tragedy. An intimation is there, for us to make of what we will, that Verena
Tarrant's life in the shadow of Basil Ransom will not be happy. By his
resolution and her consent, we are assured only that their life will be private
to the core. James understood that in America, the very thought of such a
reversal is charged with melodrama; and he pronounces the last words of the
novel with a full sense of their strangeness as well as their ambiguity:
"Ah, now I am glad!" said Verena, when they
reached the street. But though she was glad, he presently discovered that,
beneath her hood, she was in tears. It is to be feared that with the union, so
far from brilliant, into which she was about to enter, these were not the last
she was destined to shed.
The reserve in the closing phrase has to do not only
with the dimness of the match Verena has made, but also with the muffled
pleasure of privacy itself, in contrast with the brilliant
rewards of a public renown. There is a mingling of self-pity in her tears of
sorrow and joy. The author of the words, who at the time was dreaming of public
success for himself as a dramatist, would have entered fully into the complex
feelings of his heroine.
James's novel came out in 1886. Let us look now, almost
50 years ahead, to the American book that compels us to think the most
disagreeable thoughts about the way publicity makes people real. It must be
admitted that a separate problem confronts us in Nathanael West's Miss
Lonelyhearts--an odd complicity between the satirical treatment and the
misanthropy of the author. Where James writes as a generous ironist regarding
the capacity of a public role to carve up human agents to its ends, West is decisive
and hard-hearted and impartially bitter about the crowd's appetite for a
suitable martyr. The hero of the novel, the columnist Miss Lonelyhearts, is
denied even an individual name, and he comes to know by violence what his
creator already knows--that for the tear-soaked and the traumatized who write
to ask his advice, the public working through of their misery from a low to a
lower depth is its own reward. It is more real to them than the life to which
they would return if their letters ever had to stop. So they bring the hero
closer to themselves than mere confidence implies. They include him in their
lives, and, though he is by temperament a cynic and an immoralist, with a
remnant only of a baffled idealism that appears in his very fascination with
the letters, they nevertheless treat him according to his title as their own
personal Jesus Christ. (A parody letter in the novel addresses the Jesus of the
Bible as "Dear Miss Lonelyhearts of Miss Lonelyhearts.")
West's novel deals by counterpoint with the feeble
efforts of the hero to care for a woman he thinks he loves, and his automatic
attempts to seduce the wife of the features editor at his newspaper. The
editor, Shrike, is a satanic figure actually much farther gone in unbelief than
the hero--one for whom the publicity world denotes the whole of that created
life whose end is to crush the human will. Shrike has given up and he has the
courage of utter bankruptcy. By contrast, Miss Lonelyhearts needs others to
give him up by proxy. The moral disintegration the story traces is expertly
summarized by the hero when he telis his lover why he has felt himself going
dead to personal experience:
Let's start from the beginning. A man is hired to give
advice to the readers of a newspaper. The job is a circulation stunt and the
whole staff considers it a joke. He welcomes the job, for it might lead to a
gossip column, and anyway he's tired of being a leg man. He too considers the
job a joke, but after several months at it, the joke begins to escape him. He
sees that the majority of the letters are profoundly humble pleas for moral and
spiritual advice, that they are inarticulate expressions of genuine suffering.
He also discovers that his correspondents take him seriously. For the first
time in his life, he is forced to examine the values by which he lives. This
examination shows him that he is the victim of the joke and not its
perpetrator.
Miss Lonelyhearts is killed on the last page by the
impotent husband of a fervid reader who has come to cherish adulterous feelings
for "Miss Lonelyhearts." To this man in his trance of grief, the part
of the wronged husband is the best he will ever do. So the hero is crucified in
the same action that consummates his mission as an evangelist of the publicity
cure. Earlier, Shrike, on discovering a desperate letter from the killer, has
delivered the only possible moral. The letter writer, he says, is a physical
cripple and Miss Lonelyhearts a spiritual cripple: "Let each hindrance be
thy ladder." The gap is impassable in this novel between those who know
the publicity world to be unreal and those who are sure it contains all the
life they can possibly care for.
I have already alluded to The King of Comedy. This
movie belongs to the early 1980s--a period when the image culture of the
present first showed the full reach of its appetite, its glibness, its
compulsive mobility, and its assurance that alongside a well-wrought
simulacrum, the real thing is lucky to break even. The peculiar vehemence of
the film owes much to the genius of its director Martin Scorsese. It owes just
as much to a screenplay by Paul Zimmerman alert to the chatter of bars,
restaurants, streets, and waiting rooms; and to a daring performance by Robert
De Niro, a nervous dance of public faces that renders credibly human a person
whose life is all on the surface. One might describe The King of Comedy as a
comic version of a better-known film by Scorsese, Taxi Driver, where the notion
of publicity as intoxicant was a notable secondary theme. The earlier and more
conventional film was about an urban cowboy who, by perfecting his psychosis,
and emulating every clichý of revenge in the mass culture, finally succeeds in
becoming a mass killer and a tabloid hero. Like the protagonist of Taxi Driver,
Rupert Pupkin in The King of Comedy trenches on the lives of people who do not
belong to him. He tries to solve his life by solving theirs. But though not a
shot is fired, The King of Comedy is emotionally the more violent of the two
films. It presses to a terrible limit the irony that James and West were
already exploring in their meditations on American privacy
and publicity. No genuine life is here to be glimpsed as an index of morale
beyond the image. Not only Rupert's aims and aspirations but his very demeanor suggests
an erasure of the difference between the celebrity and the private self.
Three scenes from the film bring out with uncanny
vividness the merging of inner with outer and private with public. In the
first, Rupert is practicing for a visit to the late-night talk show hosted by
his idol, Jerry Langford. He stages his fantasy on an upholstered armchair in
the basement of his mother's home--his version of the talk-show armchair where
the guest relaxes and unwinds. He greets with a kiss a life-sized cardboard
Liza Minnelli and tells her that she looks wonderful. He kisses Jerry and tells
the audience "I love this guy." Jerry's imagined questions go
unheard, but Rupert, conducting his side of the interview at nicely spaced
intervals, can be heard bragging sheepishly in the talk-show manner. "Oh
boy, I'll tell you. Every time you come back from a tour, I don't know what it
is, but there must be something in the air or the tour, it really becomes you,
it's like you become rejuvenated, I don't know what it is. Isn't that so,
everybody?" The scene ends on a shout from his mother upstairs. The bus
has come early. This full-scale homemade simulacrum of redemption-by-publicity
tells a truth about the character that could not be conveyed otherwise. Rupert has
arrived at a sublime readiness for celebrity. The smugness, the strut of the
show-biz elect, the patina of suavity, and most of all the first-naming--which
oils every conversation with an ever-adjustable intimacy--all of the trait of
the character that Rupert puts on, cribbed from top to bottom out of Jerry
Langford's television manner, come to seem part of a predicament larger than
the character itself.
A later scene shows him cooling his heels at the office
of The Jerry Langford Show. He has turned in audition tapes to showcase his
talent and is waiting for Jerry to listen to them. A sleek-haired personal
assistant who handles the bookings for the show has told him plainly that he
needs to be seen in nightclubs first and come back when his material has sharpened.
Rupert does not get the hint, and sits down for a long wait, and as he sits he
thinks of the moment when the crooked will be straight. Another fantasy: he has
now advanced to full celebrity guest on Jerry's show, and, on the pattern of
"This Is Your Life," Jerry says they have brought in someone to
surprise him. Enter an ineffectual-looking older man with glasses and a
mustache--a face like many others. Do you know who this is? Jerry asks. Rupert,
by now too important to be embarrassed, grins and says no. It is the principal
of Rupert's high school and he has come to perform Rupert's wedding ceremony on
TV. The talk-show partitions swing back to reveal a television chapel and the
piano on which the principal is next heard playing the wedding march. Before he
performs the service, much moved, he delivers a public testimonial to Rupert.
When Rupert here was a student at Clifton High School, none
of us, myself, his teachers, his classmates, dreamt that he would amount to a
hill of beans. But we were wrong. And you, Rupert, you were right. And that's
why tonight, before the entire nation, we'd like to apologize to you
personally, and to beg your forgiveness for all the things we did to you. And
we'd like to thank you personally, all of us, for--for the meaning you've given
to our lives.
We are present at a miracle akin to
transubstantiation. Rupert, in the glow of these abject words, passes from
defeat to triumph forever, and as that happens the talk-show audience is made
to feel that by applauding his success, it can legitimately admire and absolve
itself. Privacy, such as may belong uniquely to one's
own victories and defeats, has here been transformed into a medium of unlimited
sharing.
If one had to describe in a word the character of
Rupert Pupkin, one might say that he is constituted by empathy. It is an
abstract gift that runs as it were in an unimpeded current, from his
expressiveness about having a well-digested life, to the other person's similar
expressiveness. No intervention is allowed from the specific density of events
and feelings. He meets by chance a young woman, Rita--a beauty he has admired
since high school who works now at a bar and is resigned to being a nobody--and
when after a dinner date she asks what he wants, his reply is pure empathy.
"I love you," he says. "I want to help change your life."
But this is the same thing as pure publicity: "What if I set something up
between me, you, and Jerry." He has met Jerry once in a taxi. Rupert gave
Jerry his personal card and Jerry told Rupert that if he wanted a career in
standup comedy the bottom was the place to start. On the strength of this
meeting Rupert tells Rita he will take her to Jerry's summer house. The inner
life has been evacuated: it would be a nuisance anyway, and nobody ever told
him about it.
The frightening premise of the film is that such
empathy or adaptability is consistent with the character of a good-natured
conformist, or a young man on the make, or a violent psychopath. The story has
its climax in Rupert's kidnapping of Jerry Langford--a hostage whose ransom
becomes the ceding to Rupert of that night's monologue. The plan to be made
real by publicity succeeds. The monologue is delivered to a solid ration of
applause before he is picked up by the police. A coda invites us to believe,
and we are surprised to find how far we can believe, that after serving his
time in prison Rupert will come back all the better for the exposure. His fame
will turn out to be renewable, and his choices have scarcely left him any cause
for regret. He would do it again.
The most disturbing moment in The King of Comedy is not
the kidnapping: it is the interlude in which Rupert actually does bring Rita to
visit Jerry at his summer house. All things in his mind have passed into the
currency of television. Evidently a running joke on the show about the house
guests Jerry finds himself perpetually having to put up has been taken by
Rupert to mean that anyone who encounters the famous host will be vaguely
included in the invitation. In their one meeting and in his reveries, Rupert
must have called him Jerry hundreds of times. Obviously, the deftness of the
host will take care of any detail Rupert missed, and everything at the house
will go well. By the rules of television reality, it should. But when they
arrive in their slick party outfits, Jerry is on the golf course, and the
butler in the empty house, confused by the unfamiliar guests, telephones him in
a panic. Jerry comes back in his shorts and sweater, with golf club in hand,
and is livid with anger. Rupert offers him a drink from his own stock:
"What's your pleasure?" The late-night Jerry--played to the last ooze
of expertise by Jerry Lewis--has always been the most accessible of public
persons. In this light Rupert's inability to take the hint is a kind of homage.
And yet, on his private estate, Jerry's sense of himself becomes identical with
a retentive pride in what he owns. The point is emphasized by a visual joke.
Rita, who is not likely to see such a place again, slips into her handbag an
exotic paperweight. On her way out, she then profusely apologizes for Rupert,
who at first disowns her ("She's a girl who works in a bar. She wants to
spoil everything.") and only at last understands that he is being ejected.
"I have a life, OK?" says Jerry. "Well," says Rupert,
"I have a life, too." "That's not my responsibility!"
Jerry's last words are an indignant shout. One may have noticed in this scene
that the face of Jerry Langford at home is lined and puffy and cruelly
definite. It has a trace of a snarl. A face that bears the dimmest likeness to
the image Rupert has spun out from the public glaze of hospitality.
Irving Feldman is an American poet who has written
deeply about the way publicity makes people real. I have in mind particularly a
satire that resists summary, "In Theme Park America," and a shorter
poem, "Interrupted Prayers," which I will quote in part from
Feldman's book The Life and Letters. In structure, "Interrupted
Prayers" is a monologue with commentary. There are three characters: a
listener to a radio call-in show, Don; the host of the show, Larry; and a
hidden listener, Irving--all first names of course. The opening lines establish
a night-long stage set of broadcast intimacy, an apocalyptic communion of the
lost where self-hatred is anointed by self-love:
The sun goes, So long, so long, see you around. And
zone by zone by zone across America the all-night coast-to-coast ghost cafý
lights up. Millions of dots of darkness--the loners, the losers, the
half-alive--twitch awake under the cold electronic coverlet, and tune in their
radios' cracked insomnia. A static craziness scratches and buzzes inside the
glowing tombstones of talk--some crossed wires' hodgepodge dialogue, of Morse
and remorse of garbled maydays of prayers shot down by Heaven's deaf ear.
Heaven itself is crashing tonight.
The host Larry is a successful stew of affability and
punitive scorn--an accurate detail since the worldly success of the call-in
host is often a motive of the call-in conversations. Beyond the equality of the
listeners in communion, there stands one hierarchy untouchable: the ultimate
divide between the man or woman at the microphone and the petitioners who
meekly approach to solicit advice or encouragement. Their hopes are at once
raised and humbled by the knowledge that in an instant their prayers could be
interrupted and the line go dead at the whim of success.
It seems a fertile breeding ground for resentment, but
the anger never quite breaks through. Here is Don from Cleveland,
"longtime listener, first-time caller," who has "a comment and a
question" and is told to come to the point. "What is your
question?"
"My comment, Larry, is just this: Larry, if
anyone's out there, I mean, anyone at all, who's contemplating suicide--don't
do it, please! I tried it once. It's not worth it--believe me. So please, I beg
you, please get help, get help fast! See a counselor, a minister, a
therapist!" The marvelous T-word sizzles on his tongue. "I can't
emphasize this enough. But Larry," he segues smooth as a pro, right on
beat, "I'm really phoning in to ask you this. Historically, twenty-two
major leaguers have played in four different decades in the Bigs. Larry, can
you tell me how many of them are active now? And can you tell their names,
Larry--please?"
Now, which was the ulterior motive of Don's call, the
comment or the question? The nature of broadcast intimacy makes it impossible
to decide.
The words uttered by Larry the host are minimal. They
convey the punctual aggression suitable to so compressed a format, though it
comes in various disguises. Transparent hype: "Touch all the bases, baby!/
Go, go, go! Go for it, guy!" Admonishment: "I haven't got all night,
sir. / I have other callers on the line." A rebuff: "What are you,
some kind of wacko, sir?" And a conciliatory farewell: "'Hey, Larry,
am I right? or am I right?' / 'When you're right, you're right, baby ...
'"Larry's remarks in italics, like the comment and question by Don, fit
into an all-purpose tenor of salutation. What can it mean? The poet draws back
once near the end to observe:
Larry's voice holds Don off at lash's length--not to be
contaminated by loser taint. And certainly success owes this to itself, to go
on being successful, and always be wanting more--not like ghosts, who have to
hunger for Larry's hunger, who call and call in, hoping to please him, because
losers can't please themselves. From admiration, we break our bones, we hold
the shattered stemware up to him, we say, For you, this toast. I am nothing.
But drink my marrow--and be everything!
The poem closes after a last exchange, but not before
the poet has awakened in the small hours to hear Don's call replayed on tape.
That hell may be nothing but an infinite repetition of life's humiliations, is
a profound conception shared by pagan and Christian theologies, and the
nightmare of talk radio is that everything is said endlessly. "The
phonographs of hades in the brain," wrote Hart Crane in lines that eerily
anticipate Feldman's extraordinary poem, "Are tunnels that rewind
themselves, and love / A burnt match skating in a urinal."
"Interrupted Prayers" brings into startling
focus a strain of masochism that now pervades American popular culture and that
one sometimes feels may be its central unspeakable motive. Though scholars like
Carol Clover and Mark Edmundson have had interesting things to say on this
subject as observers, we will lack a clue to the origin and aim of masochistic
programming until sociology becomes again a major discipline. For the American
culture of publicity did not acquire its present texture by accident.
Well-designed patterns of financing and a corporate personality type of
specifiable habits and background have presided over the emergent authority of
high-fashion photography, video games, slasher movies, and both white and black
rap music, genres that are far more closely interlinked than their precursors
in the media of 30 years ago. The methods in force and people in charge need to
be carefully tracked before they can be named and the truth told of their works
without fear of slander.
The masochism of our current recreations and
entertainments cannot be separated from the broader therapeutic culture with
its garish, glamorous, and finally abject dogma that in every life there are
wounds that need healing; that the unhappiness of life comes down to an
avoidable event or series of events to investigate and anatomize; and that
experience may be reduced to experiences--on the understanding that bad
experiences often happen early and always occur as side effects rather than as
signs of an inveterate character. These beliefs, in their gathered force,
exhibit the corruption of a truth about personal freedom. They aim to divide
the sanctity of the person from the pathos of responsibility. Indeed, among the
leading purposes of the therapeutic culture is the giving of assurance to the
morally helpless. Does the responsibility weigh too much? Then it was a mistake
for anyone to ask them to bear it. At this point one is brought back inevitably
to the question of class. Publicity may have become for us what political
economy was said to be for an earlier age, "a gospel preached to the
poor." Or rather it is now a gospel preached to the people Nathanael West
called the "profoundly humble" with their "inarticulate cries of
genuine suffering."
Readers of Herbert Marcuse's One-Dimensional Man will
recall that book's unsettling picture of two rival versions of utopian
liberation. The first possibility is a regime of "non-repressive sublimation,"
where the free play of aesthetic imagining is emancipatory for society in
action as well as imagination. Individuals would approach their projects in
life with the kind of interest that artists bestow on works of art. The other
possibility is a regime of "repressive desublimation": unlimited
pleasure, but in the total absence of political or personal autonomy. The
current Fox TV miniseries Temptation Island calls for real-life couples to be
sequestered on an island under the camera's eye while they resist or succumb to
a corps of unattached tempters who have been assigned real-life supporting
roles. The couples know what they are getting into. They have placed themselves
in the line of the betrayals or self-betrayals that are a hazard of every life--only
they have done it in conditions of formalized, almost dreamlike,
predictability. Nothing is new in the problems of will and the field of action
that are presented here. The puzzle is why even the most pandering and besotted
of the media, and the most naive of the young bodies yearning to be made real,
should have bargained for an exposure quite so exacting. The president of Fox
Entertainment, Gail Berman, described the show as "a terrific, unscripted
soap opera," and the choice of metaphor is revealing. Conventional fiction
itself has become too fake, too scripted. The solution is to turn reality
itself into an organized fake. In this way the new sort of fake, though soaked
in the clichýs and stereotypes of garden-variety soap opera, takes on a peculiar
pungency because it is also infallibly the real. The interest now lies not in
the plot but in the consequences--in the lives of the actors that stay changed
long after the show is over.
The great modern allegorists of a self traduced by
exposure, Kafka in The Trial, for example, never traveled this far in imagining
self-desertion. By the rules of the game to which the contracting couples have
submitted, every public act in the real-life story will count a second time as
a private act in someone's life. The temptations and responses that pass
on-screen cannot be effacted from the lives offscreen, since, ultimately, these
people have no part to play except themselves. By the same token, every private
act counts a second time as public, and to that extent can no longer be
reckoned a personal act in the familiar way. The idea of such a calculus is as
bizarre and psychically taxing as the notion that the experience you dream is
true because you dreamed it. This last, in fact, is a common dread of the sane:
the relief of waking up is to recognize that it was unfounded. But once
people's lives have been framed by the options of on-screen reality, there is
nothing left to wake up to, just as there is nothing left to the imagination.
To ask whether we can live without privacy is to ask
whether we can live without imagination.
Privacy is an aristocratic idea.
The most private of novels and one of the greatest is The Princess of Cleves.
The action there turns on a feeling whose proof is a deed not done and a
communication in open sight that is hidden from all but the person who sends
and the one who receives. Feelings today still pass between people, with the
same subtlety and depth of implication, but the fact that they do has become a
secret. The obvious explanation is a craving for stimulus--anything, however
brutal or degraded, to rouse the mind from inertia. But could it be that a kind
of resentment also underlies the extremity of the change? Privacy
should not have been incompatible, it was not initially or visibly so, with the
coming of democratic manners in the nineteenth century. It was an idea whose
arrival could seem in keeping with the spirit of the age, as it was for the
great practitioners of the realist novel: Turgenev, Tolstoy, George Eliot, Henry
James. What seems to have cut off the reserve of manners and judgment the
novelists took for granted is the permanent ascendancy of plebiscite and market
surveillance. How do we know who you are unless we know the things you like,
and why you prefer those things to certain other things? And you can help us to
learn by answering just a few questions. The morale of advertising in American
democracy says: "Let us make you more comfortable by giving you more and
better choices, since we know that all people want comfort and indeed want it
in ways they have scarcely imagined." What my friend was saying when the
phone rang was an affront to the indecencies of the market. He declined to
share the premise itself about the good of sharing. "I did not," he
was really saying, "invite you into this room and into my life, not even
for one moment. My saying nothing to you until you called was not permission to
call. My not knowing you was not an indication that I probably want to know
you. It was quiet here before; your question left us where we were, before any
kind of beginning; and that is where we should stay for now--strangers, unless
somehow we agree to do something together."
What have we lost? A certain spirit of unpresumingness.
A generosity of personal distance that had its roots in chivalry, but which
there were reasons to expect democracy could discover its own version of. (When
Walt Whitman said, "What I assume you shall assume," he implied an
acknowledgment between two people before the rest of the conversation began. It
was an acknowledgment of equality, but that did not mean it went without
saying.) The culture of mediation has been clamoring for a long time to effect
once and for all the good it wants: faster beginnings, more efficient paths all
the way into our lives. After all, it says--and doubtless this is true--your
comfort depends on your acceptance. This culture has not yet won exclusive
control of American manners, but, in the past two decades, it has gained ground
spectacularly. Whether a regime of publicity could ever be congenial to the
interests of political democracy properly understood, is a separate question,
and one that we may prefer not to put to an ultimate test. It does seem to me
that privacy may be one of those checks or balances of
democratic life necessary to its public success--as necessary as the existence
of courts in which each member of every jury holds a dialogue of conscience for
the length of a trial and longer, without so much as a tremor of a wish to
speak out to a reporter. "Were we even there," the voices might well
complain, "if we never saw our names in the paper?" Do our private
opinions count as opinions at all unless we see them associated with our image
in full view? It is hard to say for sure; it always has been hard. But one kind
of moral life depends on the possibility that, even in what we do not say, in
what we do not come to be known for, we remain interesting to ourselves.
Rupert Pupkin at home with cardboard Liza Minnelli.
Jerry Langford announces Rupert's surprise wedding on TV.
Reality guests at Jerry's summer house. Courtesy Twentieth-Century Fox
REFERENCES
Feldman, Irving. The Life and Letters. Chicago:
University of Chicago Press, 1994.
Hamilton, Ian. In Search of J. D. Salinger. New York:
Random House, 1988.
James, Henry. The Bostonians. New York: Modern Library,
1956.
The King of Comedy. Director Martin Scorsese.
Screenplay by Paul Zimmerman. Perf. Robert De Niro, Jerry Lewis, Diahnne
Abbott, Sandra Bernhard. Twentieth-Century Fox, 1983.
LaFeyette, Madame de. The Princess of Cleves. Trans.
Nancy Mitford. New York: New Directions, 1951.
Marcuse, Herbert. One-Dimensional Man. Boston: Beacon
Press, 1964.
Maynard, Joyce. Looking Back. Garden City, N.Y.:
Doubleday, 1973.
Maynard, Joyce. At Home in the World. New York: Picador
USA, 1998.
Salinger, J. D. The Catcher in the Rye. Boston: Little,
Brown, 1951.
Salinger, Margaret. Dream Catcher. New York: Washington
Square Press, 2000.
Taxi Driver. Director Martin Scorsese. Screenplay by
Paul Schrader. Perf. Robert De Niro, Cybill Shepherd, Harvey Keitel. Columbia
Pictures, 1976.
West, Nathanael. Miss Lonelyhearts. New York: Avon
Books, 1955.
WOMEN'S SECRETS AND THE NOVEL: REMEMBERING
MARY MCCARTHY'S THE GROUP
BY NANCY K. MILLER
I have never put a toothbrush in a poem.
--Sylvia Plath, "A Comparison"
GET yourself a pessary" was how it began.
In 1954, Mary McCarthy published a story about a girl
and a diaphragm in Partisan Review. The attention-grabbing story about a young
woman's visit to a birth-control clinic, "Dottie Makes an Honest Woman of
Herself," ultimately became a chapter in McCarthy's 1963 best-selling
novel, The Group.(FN1) Other chapters later ran in The New Yorker but this one
captured the popular imagination and launched the novel's reputation well in
advance of publication. The Dottie story, the Newsweek reviewer of the novel
recalls, "was saluted by one ironical commentator as an ambitious attempt
to do for the female contraceptive what Herman Melville did for the whale"
("Review," 1963a).(FN2) If this was the first time that a diaphragm
appeared in a literary work, it was not to be the last. While not on Melvillian
scale, Philip Roth's prize-winning 1959 novella, Goodbye, Columbus, turned
explicitly on McCarthy's use of the device. When Neil Klugman urges Brenda
Patimkin to visit a Margaret Sanger clinic in New York in order to be fitted
for a diaphragm, his girlfriend resists, thinking that she must be just one in
a series of women--some "whore"--he sent there. No, Roth's hero
protests, it was from reading Mary McCarthy that he acquired his knowledge;
from books, not sordid experience. Still Brenda resists. Going to the clinic
would make her "feel like someone out of her'" (1993 [1959]: 82). It
would mean "something affairish," a slightly seamy adventure that
ended badly, rather than her very own private drama whose plot she planned to
have a say in; not a summer romance but something more like marriage. By 1959,
McCarthy had sufficiently blurred the lines between private life and public
scandal, autobiography and fiction, to give a nice fifties Jewish suburban girl
like Roth's heroine pause--as well as an education in birth-control
alternatives.
There was nothing new about getting a diaphragm in
1954; Margaret Sanger had been dispensing them in her clinics since the
1930s.(FN3) What was new was reading about it in fiction, where to many
women--single women, that is, often eager to lose their burdensome
virginity--the information seemed an important, even vital revelation.
Reminiscing about her college years (Radcliffe, 1955), Nora Sayre reconstructs
the ambient ignorance that coexisted with a desire to pierce the mysteries of
sexual technology: "But we still had far too little information about
birth control: some believed that a Pepsi-Cola douche was sufficient. Philip
Roth was correct in Goodbye, Columbus: I did read the excerpt from Mary
McCarthy's The Group in Partisan Review in order to learn more about
diaphragms, and women students told each other where to find the magazine in
Widener Library. But literature and myth did not suffice, nor did the foam of
the Fifties; among my private word association tests, when someone says
'Radcliffe,' I think 'pregnant'" (1995: 174-175).
Certainly, it took more daring to get fitted for a
diaphragm in the reality of 1954--the year the story was published--than in the
fiction of 1933, the year in which McCarthy's cautionary tale is set. On the
other hand, it happened. In Minor Characters, her memoir about coming of age in
the 1950s, Joyce Johnson recalls the tension that surrounded the acquisition of
this item: "'I've got it!' a girl screams down from a third-floor window
in Hewitt Hall my senior year at Barnard. 'Come on up! I've got it!'" (1990
[1983]: 84-85). In 1954 at Barnard College (ahead of Radcliffe in this domain),
"this illicit thing" is "contraband." Getting a diaphragm
in the 1950s, if you were not married, was an enterprise that entailed a mix of
daring and embarrassment. It was as though public and sexual were two concepts
that could not be combined in single women (hence the shock embedded in the
very title of Helen Gurley Brown's 1962 bestseller, Sex and the Single Girl).
Single girls bought a fake wedding ring at Woolworth's and gave a false married
name at the Margaret Sanger clinic.(FN4) Joyce, who could never quite make
herself take the trip to the clinic, ends up predictably pregnant instead, and
has a classic fifties backstreet abortion. "It's odd," she notes, looking
back, "what you have the courage for and what you don't" (97).
This was not, of course, the first time McCarthy had
gone public with her brand of female realism--or maybe naturalism would be the
better literary term. In her notorious 1941 story, "The Man in the Brooks
Brothers Shirt," which also appeared in Partisan, McCarthy's Margaret
Sargent has sex with a stranger on a train. Like Roth's heroine, women readers
tended to take McCarthy's revelations to heart. It is indeed the impact of this
story on one such reader that gave Elizabeth Hardwick the lead for an
enthusiastic essay in Harper's: "'Mary McCarthy! 'The Man in the Brooks
Brothers Shirt!' That's my Bible!' I once heard a young woman exclaim"
(1962: 33). Talking with Doris Lessing in her autobiography, Flying, about the
effect The Golden Notebook had on women readers because it committed to fiction
what had not been there before, Kate Millett invokes "The Man in the
Brooks Brothers Shirt" to make her point about Lessing's famous tampon
scene: "There's a passage in Mary McCarthy where the heroine so-called
does the sublimely stupid thing of getting drunk on a train and spends the
night in a berth fucking some character she's picked up. It's the sort of
harebrained thing we've all done and hated ourselves for afterwards. But she
had the guts to admit it. Was honest enough" (1990: 357). Hardwick had
expressed similar sentiments in a 1962 Esquire profile of Mary McCarthy, set up
to publicize The Group. Commenting on her friend's "intense scrupulosity,"
Hardwick prefigures Millett in more ladylike prose: "Lots of women had
taken up with a man on a train before--or at least they'd thought about doing
it--but this was the first time anybody ever wrote about it.... I was
absolutely bowled over" (63). In a recent meditation on reading novels
about women writers to find oneself, as well as instruction about being in
love, Vivian Gornick recalls in much the same vein the impact of reading
McCarthy's early stories. "Oh god! we moaned over 'The Man in the Brooks Brothers
Shirt,' that is just the way it is" (2000: 136).
When Lessing responds to Millett's admiration for
recording women's experiences with the kind of unexpected detail that compels
both recognition and admiration, she laughs in complicity about the bathroom
scene, another first. "'Of course that is just the sort of thing one
blushes to write'" (1974 [1962]: 357). And yet the embarrassment has its
rewards: "'But the most curious thing is that the very passages that once
caused me the most anxiety, the moments when I thought, no, I cannot put this
on paper--are now the passages I'm proud of. That comforts me most out of all
I've written. Because through letters and readers I discovered that these were
the moments when I spoke for other people. So paradoxical,'" she concludes
her thought, "'because at the time they seemed so hopelessly
private'" (357; emphasis added). Lessing here identifies one of modern privacy's greatest contradictions: the more you cross the
accepted boundaries cordoning off the private from the public, the more you
erode the difference between them; the more you reveal what seems impossible to
share the more you ... connect.
Or not. Some readers are repelled by the revelation of
these bodily moments; still others made nervous. To simplify, we might say that
for every Millett there is a Mailer--though to be sure, if gender is key to the
nature of the material, gender does not always tell the whole story about its
effect in print. Nonetheless, the intimate experiences that writers and readers
historically have seemed most concerned with protecting and exposing bear the
mark of gender, for they are located, concrete, enfleshed. As Peter Brooks
observes succinctly in Body Work, "Intimacy is of the body, and the body
is private" (1993: 51). In the 1950s--the era to which, despite the
early-1960s date, The Group and The Golden Notebook belong--the category of
intimate, female experience was perceived to be a zone of propriety, a domain
meant to be protected from the public eye. McCarthy's and Lessing's novels
challenged what literary types interested in critical reception like to call
the "horizon of expectations." They surprised and even shocked
readers by their experimental form and by the unexpected appearance on the page
of objects from that domain: private information dispensed by women
writers.(FN5)
I want to look briefly now at some of the responses to
The Group triggered by exposure of--and to--this new material.(FN6)
What did McCarthy feel about leaking secrets, making
these private women's things public? When asked by an interviewer for Vogue
just before The Group came out whether "being a woman" inhibited her
from writing about sex, and whether there was "any other aspect of
emotional life" she might find "tricky to write about" as a
woman, McCarthy answered airily: "I'm afraid I'm not sufficiently
inhibited about the things that other women are inhibited about for me. They
feel that you've sort of let the side down, you know, that you've given away
trade secrets, if you write very candidly about certain things" (1963:
143). Louise Bogan, the poetry reviewer for The New Yorker, describes in a
letter to a friend her largely favorable impressions of The Group in terms of
betrayal and exposure of those "certain things"; "Women's secrets
again," she sighs excitedly, "told in clinical detail" (1973
[1963]: 353). What is coded by women as "women's secrets" invariably
references the bodily, the sexual, and rings another familiar change on the
paradoxes of privacy: women's "secrets" are both
a revelation and completely commonplace. As Millett says about the Lessing
bathroom event: it "happens every month of adult life to half the
population of the globe"; but it is a shock to that same population when
it happens in print: "In a book!" (1990: 357).(FN7)
And that was exactly McCarthy's aim: to make it happen
in a book--a novel. In that gesture McCarthy was participating in a long
history of secret telling that Michel Foucault famously described in the first
volume of his History of Sexuality (1980), whose French title literally
translated is: "The Will to Knowledge." When Foucault looks for a
fable to ground the project of his essay, the historian--being French--turns
naturally to the French eighteenth-century novel, to a tale by a philosophe
called The Indiscreet Jewels. The fable of the fable, we might recall, is tied
to a magic ring that an inquisitive sultan is given to test the loyalty of his
harem; when the ring is aimed at a woman's genitals, they start to talk, to
give up their secrets--unwittingly-- against their will. The novel as a genre
never quite abandons that project of trying to find out what women do in
private, looking to discover--and uncover--their secrets. To be sure, Foucault
never worried about the role gender played in the power vectors of bodily
knowledge, but McCarthy did (although I freely admit to hijacking her novel
into a feminist version of the enterprise).
When in 1959 McCarthy applied--successfully--for a
Guggenheim Foundation Fellowship to finish the novel she had started in the
early fifties, she staked out just this territory in her application: "No
male consciousness is present in the book; through these eight points of view,
all feminine, all consciously enlightened, are refracted, as if from a series of
pretty prisms, all the novel ideas of the period concerning sex, politics,
economics, architecture, city-planning, house-keeping, child-bearing, interior
decoration, and art. It is a crazy quilt of clichýs, platitudes, and idýes
recues. Yet the book is not meant to be a joke or even a satire, exactly, but a
'true history' of the times despite the angle or angles of distortion"
(Gelderman, 1988: 253). It is interesting, even instructive, to revisit
McCarthy's project through the prism of seventies feminism and nineties
postfeminism for another look at the alignment made between "true
history" and a "feminine" point of view. What would a pessary
say about its intimate experiences if it could talk? Or a nursing breast?
What in turn did the critics have to say about history
rendered through the perspective of those "pretty prisms" rather than
the clear lens of male consciousness, to stay within McCarthy's authorial
metaphors?(FN8) Crudely but not atypically, a reviewer for the Times Literary
Supplement complained that "at the end we know much more about Dottie's
vagina than ever we do about Dottie" ("Review," 1963b: 901).
(This argument by metonymy echoes the famous remark by novelist Francois
Mauriac that, after reading The Second Sex, "Beauvoir's vagina no longer
held any secrets for him" [Moi, 1994: 180]).
By 1963, McCarthy was a well-established--not to say
feared--literary figure, and the power of her persona to damage others shapes
all the rather nervous reviews of the novel.(FN9) Even Norman Mailer hesitates
briefly before going for the kill in the New York Review of Books. What is one
to make of this novel by "our First Lady of Letters" that has
garnered such a mass of accolades, he wonders aloud. A new novel by Mary
McCarthy will not be ignored--but it will also be trivialized by being demoted
to the "lady-book" (1963: 1).(FN10)
The Group takes as its central subject the entangled
question of ambition and sexuality in the lives of eight young women who, like
McCarthy, graduated from Vassar in 1933. The Group is about what Mailer
disdainfully but also with an ambivalent recognition of her "method"
called the "profound materiality of women" (1963: 3). Mailer was not
the only reviewer to be impressed by the sheer mass of detailed information
McCarthy provides--both about the thirties and women's domestic lives--but in
the end for him the book failed as a novel. "It will continue to exist as
a classic in sociology long after it is dim and dull as a novel, it will
survive in Soc Sci I at every university and junior college: the specific
details are to be mined by the next twenty-five classes of PhD" (3). Had
women's studies courses existed in 1963, Mailer would have no doubt predicted
the novel becoming their Bible. Our bodies, ourselves, avant la lettre. The
American way of life after the speculum.
"GET YOURSELF A PESSARY."
Like Nora Sayre, readers in the 1950s automatically
replaced the word pessary with the more familiar diaphragm, as Roth did in his
story. Pessary is indeed an odd word, and sounds archaic, as though it belongs
to another era. But it is there for a reason, beyond the fun of local color,
even if McCarthy milks it thoroughly for the punning opportunities it offers.
McCarthy's story, I want to suggest, is also an important document in the
record of women's struggles for control over reproduction, and by that token,
the domain--discursive and physical--of their private lives.
The first sentence startled McCarthy's audience in the
1950s but it was more than a one-liner. McCarthy spins a tale from her lead.
"Dick's muttered envoi, as he propelled her firmly to the door the next
morning, fell on Dottie's ears with the effect of a stunning blow" (1989
[1963]: 58). On the moment, the poor girl is linguistically challenged.(FN11)
"Get yourself a peccary?" Perplexed, Dottie conjures up a piglike
animal studied in zoology class. Was this a joke? Had she, like Ophelia, been
sent off to a nunnery? Finally, confronted with her tearful face, Dick explains
harshly: "A female contraceptive, a plug" (59). And he waves her off
to consult her friend Kay, a married woman, about finding a lady doctor. And
not just any doctor. McCarthy sends her heroine to the source, to the most
famous distributor of pessaries in the 1930s, the Margaret Sanger Bureau.
In Woman of Valor, her biography of Margaret Sanger,
Ellen Chesler claims that McCarthy's novel offers an accurate portrait of
Doctor Harriet Stone, the legendary woman doctor who presided over the Margaret
Sanger Bureau. "Stone is perhaps best captured," Chesler writes,
"in a transparently autobiographical scene from The Group, Mary McCarthy's
comic and yet poignant novel about the rites of passage of American college
women in the 1930s" (1992: 88-89). Whether or not Dottie's pessary is
really Mary McCarthy's matters less, I think, to the history of contraception,
and hence to the history of privacy, than the fact of
its existence in print. Though I doubt very much that this is how McCarthy
would wish to be remembered, as speaking, in Lessing's terms, "for other
people," the scene remains, we might say, one for the books.(FN12)
Educating us through Dottie, McCarthy furnishes a description of the "new
device" recommended by the birth-control bureau; discovered by Margaret
Sanger, it combined "the maximum of protection with the minimum of
inconvenience ... a rubber cap mounted on a coiled spring, came in a range of
sizes and would be tried out ... for fit, wearing comfort, and so on, in the
same way that various lenses were tried out for the eyes" (1989: 64). The
description is straightforward and didactic, including the use of Latin
terminology (labia majora) for high seriousness, that seems intended, the
Newsweek reviewer complains, "for burial in a time capsule against the day
when sex is a forgotten activity" ("Review," 1963a: 80). When we
open the time capsule almost half a century later, there is an unexpected pay
off.
In her quest to obtain reproductive freedom for
American citizens, Margaret Sanger arranged for a shipment of contraceptive
supplies to be sent from Japan to Harriet Stone "so as to stage a clear
case on medical exemption"; this was done in conjunction with "recent
judicial reconstruction of the Comstock provisions on obscene literature and
interstate transport of contraception" (Chesler, 1992: 372). A case on the
part of Dr. Stone was "filed in the United States District Court for the
Southern District in Manhattan" in 1933 and it was called, wonderfully,
United States v. One Package Containing 120 more or less, Rubber Pessaries to
Prevent Conception. It would have been hard to miss the publicity the case
generated. In 1936, while McCarthy was first living in New York, Augustus Hand
ruled that "contraception had become a safe and essential element of
modern medical practice" (373). Sanger was saluted in the pages of Time
magazine and Life featured her in a "four-page photo spread" (374).
"But now mothers can be told!" she triumphed in the pages of The New
Republic (1938: 324).
Critics often admired the accuracy of The Group's
depictions of thirties culture. One Package provides an interesting example of
its documentation. The landmark case is not named but it is referred to clearly
in the novel. Kay, the married woman who is supposed to be helping Dottie,
worries about the risk her single friend is running by using her real name in
making an appointment, "not even 'Mrs.'" (72). By contrast, the
fifties with the fake wedding band seem a significant step backward in the
progress narrative. Sleeping with a man is one thing, Kay thought; getting the
equipment is another. "The things you did in private were your own
business, but this was practically public!" (72). The danger in Kay's mind
has to do with the risk of exposure. Someone might see you "from a passing
bus or a taxi" (73). But worse than that, "Why, the office might be
raided and the doctor's records impounded and published in the papers
...." (73). Having your real name in the paper would "kill Dottie's
family" (73). Dottie took a calmer view, having "insisted that birth
control was perfectly legal and above board, thanks to a court decision that
allowed doctors to prescribe contraceptives for the prevention or cure of
disease" (73). That is an accurate description of One Package. The memory
of raids had attached themselves to the popular imagination, and McCarthy's
invocation of them gives the measure of the anxiety entailed in the very
question of publicly acknowledged sexuality for women, and especially, in the
case of contraception, single women, as well as the feminist struggle that
Sanger's crusade had joined: "you could almost see Mrs. Panhkurst in
[Dottie's] resolute eye" (73). In telling this story in 1954 about
contraception in fiction, McCarthy makes public, literally broadcasts, however
mockingly, the same news about so-called women's secrets that the women
confessional poets like Sexton and Plath would soon be putting into poetry.
One Package or no, Mailer, ever the self-appointed
arbiter of ethics and aesthetics, is predictably dissatisfied with McCarthy's
female realism. McCarthy has not written the novel of social
vision Mailer deems she should and could have written. The great detester of
contraception, as he was to make clear in An American Dream, Mailer probably
did not appreciate the detail involved in the high point of the scene when the
pessary, slippery with contraceptive jelly, jumps out of her heroine's grasp
and springs across the room. It is apropos of this comical moment that
Elizabeth Hardwick comments with a certain glee: "This story, memorable to
put it mildly, could not have been written by anyone except Mary McCarthy"
(1962: 37). But Mailer, deploring the invasion of language by the feminine, is
revolted by the leakage of female excess into punctuation itself: "the
Eggs Benedict and the dress with the white fichu, the pessary and the whatnot,
sit on the line of the narrative like commas and periods, semicolons, italics,
and accents."(FN13) The pessary was hard to take. Reminiscing in 1975,
Bellow complained that Mary McCarthy's The Group had "too many pessaries"
(Atlas, 2000: 438)--though he himself had a diaphragm doing double duty, as it
were, in Herzog, which he published in 1964, the year following The Group and
which Roth recalled recently in an admiring essay in The New Yorker.(FN14)
In a Newsweek feature when the book came out, McCarthy
argued glamorously over Campari and soda that the book was really about
"technology and the mirage of political and social
progress which misled the young in the 1930s." The idea of the book is to
show the failure of those notions, "'to see the tails of these ideas
disappearing down these little ratholes'" ("Review," 1963a: 81).
But the magazine also reports the "shock of intellectual leaders at the
book's heavy cargo of womanish inconsequence" and predicts disapproval
from the "highbrows" (81). McCarthy was being condemned for having
written the novel for which she had received a prestigious grant.
"THE PESSARY AND THE WHATNOT"
For Mailer, McCarthy had turned out the "best
novel the editors of women's magazines ever conceived in their secret
ambitions" (1963: 3).(FN15) More secrets, perhaps more dangerous because a
writing ambition that made money and conferred celebrity. Yes, the readers of
The Group read women's magazines; they also bought books and made the novel a
bestseller. But the association with the category of women's magazines was the
official kiss of death on the level of high culture pronunciamento. Another
woman writer, one who was fatally and famously to lock horns with McCarthy in a
fractious lawsuit, Lillian Hellman, adopted the Mailer position: "I think
Miss McCarthy is often brilliant and sometimes even sound. But, in fiction, she
is a lady writer, a lady magazine writer" (Kiernan, 2000: 540). In other
words, when the details of the private female world are revealed in literary
texts, their authors are suddenly marked as belonging to an inferior realm of
literary production. Nevertheless, whatever highbrows might have felt about
McCarthy's representation of 1930s political culture, in 1963 there was a vast
audience of women readers with a different set of experiences and expectations
ready for their point of view to be brought into public.(FN16)
At the end of the 1950s, Philip Roth contributed to the
literary posterity of the McCarthy scandal by making it the key to the shape of
his novella. When his heroine goes off to school she leaves her diaphragm
behind, and when her mother finds it in one of her drawers, the secret of
virginity lost is out and Brenda, not wanting to displease her parents, ends
the relationship. But Roth had problems of his own with responses to the
circulation in fiction of this contraceptive technology. Although the story
finally appeared in Partisan Review, it had been rejected by The New Yorker
because of the prominent role played by the offending object, even though the
magazine was eager to have Roth's work in its pages. A magazine that could not
deal with the words "balding," "pimples," and
"dandruff," was not going to be able to handle diaphragm (Yagoda,
2000: 296). Was it the word or the thing? Both.(FN17)
Let us return to Doris Lessing's conversation with Kate
Millett in the 1970s, at the height of second-wave feminism, on the place of
these discomfiting matters in fiction and their effect on readers. Lessing, we
saw, generalized as a writer about what is private and public when she observed
that, by revealing what is most private, silent embarrassment is transformed
into information; the ineffable of the personal becomes public document;
autobiography, fiction; and readers find their private experience figured in
your revelation.(FN18) But Millett specifically drew her examples from women's
lives and not from universal experience--even if using a tampon when you have
your period and picking up a man on the train are common occurrences. They are
common to women, and women's points of view on them have not been part of the
record of intimate experience as rendered in literature. That is exactly how
McCarthy justified the originality of her project in writing The Group: giving
voice to history lived in the feminine.
As One Package clearly shows, contraception and sexual
autonomy are highly regulated rights in the organization of private life in
America. As a result, and largely because of the historical linkage of
contraception and obscenity, One Package did not go unchallenged. This is
because beyond the power of that association, the resistance to sexual and
reproductive autonomy is particularly freighted for women in this
country--especially unmarried women; the resistance to "decisional
autonomy" for women in matters of contraception and then abortion is
relentless, not to say unending.(FN19) Even after Griswold v. Connecticut
(1965) granted married couples the constitutional right to use birth control in
their own home, it took Eisenstadt v. Baird in 1972 for the "right of
contraceptive practice" to be extended "to the unmarried"
(Chesler, 1992: 376). The latest installment to this saga turns up in the
radical transformation of these experiences posed by a drug that recently made
headlines; a drug that can--through new technology--in fact redefine the
meaning both of contraception and abortion and has been described by its
creator as "the moral property of women" (Pollitt, 2000: 9). With
this drug, RU-486, abortion "would," Katha Pollitt writes,
"finally become what Roe v. Wade said it should be: a private medical
matter between a woman and her doctor" (9; emphasis added). Unfortunately,
if the FDA has its way, access to the drug will be limited to doctors trained
in performing abortions(FN20)--in other words, this so-called private matter
will remain subject to government control, and private moral property, a
publicly legislated one.(FN21) Eventually, one television commentator observed,
women could have abortions "in the privacy of their
home" (Borger, 2000). A headline in The New York Times used the same
language: "Woman Will Be Able To End Early Pregnancy in Her Own Home"
(Kolata, 2000: 1)--the home, perhaps, in which women had the privacy
to conceive. Given all the restrictions on taking the drug, however, the
likelihood of women gaining complete control of their privacy
and their bodies any time soon is slim--and far from legislative reality.
Still, the word privacy is the word that women cling to
when they want to express their freedom to choose.(FN22)
And so we arrive at yet another paradox in the privacy dramas that attend, even structure women's lives:
women's privacy often needs to be both protected and
exposed. The issue is: by whom and when--and whose interests are served? It is,
perhaps, the founding dilemma of privacy in women's
lives that women sometimes need to have the details of their intimacy revealed
to protect themselves against a much wider injustice: the ignorance and vulnerability
produced by silence. As we have also seen, however, when intimate objects enter
the precincts of literary discourse, we are quickly reminded that privacy historically has depended on old hierarchies of sexual
difference; and that exposure, pace Foucault, incites calls for repression. The
Group--a novel with no internal "male consciousness" to authorize its
representations--was seen by many commentators to have gone too far in its
archaeologies of the feminine.
Since privacy is often represented
as a space or zone protected by the law, written or unwritten, its infringement
is also often coded as a boundary violation, a boundary that is cast as a
personal preference about what or how much you would like to know about certain
subjects. As Katharine White, her former editor at The New Yorker remarked, for
her there were "several places" in The Group where McCarthy crossed
that "thin line of taste 'between candor and shame'"; and like
Mailer, she could have done with less information--finding the novel "too
much a social document"--and wanting more about the
character of the girls.(FN23) The stakes of this information are very high,
however, and more than a matter of taste or aesthetic choice or novelistic
technique: they have everything to do with politics.
With her representation of the diaphragm, McCarthy, we
might say, did for women in the 1950s what Bob Dole did for men in the 1990s
when he promoted Viagra on television. Although Viagra is not, strictly
speaking, a part of contraceptive technology, its fate has been linked with
contraception through the labyrinthine logic of health care plans. A recent
article in the The New York Times reported a suit brought in Seattle under
Title VII of the Civil Rights Act for "sex discrimination in health
coverage." "'The defendants may say that they're not excluding
contraception for women only,' New York University law professor Sylvia Law
argued; 'they're excluding contraception for everyone, and it just happens that
the only prescription contraceptives available in this country are for
women'" (Levin, 2000: A27). But--and here is the connection--"many
employers who do not pay for contraception moved quickly to provide coverage
for Viagra" at nearly $10 a pill.(FN24)
Because McCarthy persisted in seeing feminism as a
question of "envy and self-pity" on the part of women, the movement
generated by these questions of inequity bored her; she admitted in 1985 that
she rather enjoyed belonging to a very small group of "exceptional women"
in her generation who had benefited from the "fact that women in general
were rather looked down on."(FN25) But it is a nice irony that if an
argument against the injustices of what we today call gender asymmetry would
have irritated her by its very language, the suit brought in her hometown
borrows in spirit from her very own fictions of female entitlement--the
"outrageous thing," as she told an interviewer "about the
Dottie-going-to-the-doctor chapter," that she had "betrayed feminine
secrets."(FN26)
Even in post-Pill female culture, the memory of this
intimate betrayal lingers like the recycled melody of another era. McCarthy's
"outrageous thing" has inspired more than one woman writer in
subsequent generations. In her review of Writing Dangerously, Carol Brightman's
biography of McCarthy, novelist Marianne Wiggins describes her precursors this
way: "Two she-condors dominated my pass into literary adulthood in the
mid-1960s--one of them was Lillian Hellman, the other Mary McCarthy. McCarthy's
The Group hit the bestseller lists soon after it was published in August 1963
and remained on them for nearly two years; by the time I was composing my
college application essay to Vassar in the fall of 1964, I had read the bits
about the famous pessary several times and was lubricating my prose style (I
thought) with plenty of killing derivatives from McCarthy's tube (if not her
pen)" (1992: 569). Is a pen a metaphorical pessary?(FN27)
Roth's citation of McCarthy's pessary outing gets
recirculated in Gish Jen's novel Mona in the Promised Land, the story of a
Chinese girl from an immigrant family who comes of age in Scarsdale, post-'68.
When Callie, the heroine's older sister, comes home for a visit during her
freshman year at Harvard, the two girls and their mother sit up at night and
talk about sex. Callie explains that "she learned to spell diaphragm from
reading Goodbye, Columbus. A serious book, she maintains, although under
questioning she admits that she originally only read it because the movie
version was being filmed over at the high school. And because it had a
diaphragm in it" (Jen, 1997 [1996]: 39). Later in the novel, when Mona is
fooling around with her boyfriend, she tells him that she "read a book
about it, sort of. Not about how to spell diaphragm. A book with a diaphragm in
it" (111). But when Mona and Seth finally proceed to the next stage, it is
after a joint visit to the birth-control clinic and a cycle of pills. In the
late 1990s, a novel about the social life of girls can
revisit the fraught history of contraception and virginity lightly and as a
vocabulary problem for the SATs--with a knowing smile.
McCarthy, New Yorker critic Brendan Gill remarked in a
1983 interview with biographer Carol Gelderman, "was a firebrand ... a
pioneer taking big chances, and by so doing, increasing the range of
permissible subject matter" (Gelderman: 1988: 252). This also means
redefining what constitutes the proper separation of private acts and public
chronicle. True, the shock value of certain words and things fluctuates with
the times. An object that once required a court case just to get into the mails
becomes part of the museum of sexual history for women. What was threatening to
decorum in the past becomes a joke in the present, and the violation of taste
an intertext of obsolescence good for spelling challenges. Nonetheless, to
bring certain kinds of information into print, even as fiction, is ultimately
to rework the public/private divide and to redefine national propriety with its
attendant unself-consciously universalist claims.(FN28) It is also to suggest
that history written from the "feminine sphere"--the so-called
private sphere--remains to be told in public scenes.
What is important, finally, about the destiny of
McCarthy's dare is the persistence of the word and its referent for the world
of readers--indeed, voters. We want to attend to the things of women's private
domains, the overwhelming importance these little objects tend to have, and
their always rather sticky implications--literal and metaphorical--because they
give us a way to measure women's dominion (or lack of it) over the protection
and exposure of our intimate lives.
FOOTNOTES
1 A footnote to the story's title announces the novel--"A chapter from a
novel, The Group, which takes place in the '30s"--that McCarthy
subsequently set aside for several years (1954: 34).
2 The comparison in question--"the story does for contraception what Moby
Dick did for whaling" appears in an earlier magazine interview by Brock
Brower (McCarthy, 1962: 64). But perhaps credit should go to Elizabeth
Hardwick, who in her essay "Mary McCarthy," was slightly less
facetious. "There is an air of imparting information--like whaling in
Melville or, more accurately, the examination of dope addiction in Gelber's play,
The Connection" (1962: 37).
3 "Under the leadership of Margaret Sanger, birth control had gained a
significant amount of liberal support during the twenties and thirties, with
roots in feminism and socialism" (May, 1988: 149). But as May shows,
birth-control devices were promoted to strengthen family life--family
planning--not to support female sexual autonomy or the pleasure and freedom of
single women (150).
4 The issue of virginity or premarital sex per se never comes up as an issue in
Roth's novella; for Brenda the stumbling block is "lying to some
doctor" about being married (82). The role played by McCarthy's fiction as
a primer for illicit sex recurs later in the story when Brenda registers for
the two of them at a Boston hotel as "Mr. and Mrs. Neil Klugman." This
time the joke is reversed. Neil asks Brenda whether she's done this before; she
answers: "'I read Mary McCarthy'" (125). Reading novels from the
1950s unsettles the post-sixties view of the period as sexually contained and
wedded, so to speak, to female chastity.
5 On the "horizon of expectations," see Hans Robert Jauss, Toward an
Aesthetic of Reception. As Peter Brooks puts it in Body Work, revisiting Roe
and Griswold in the context of the rise of the novel: "In the examples I
have cited from Rousseau and other eighteenth-century novelists, 'privacies' were becoming 'sacred,' although they could be
known as sacred, come to consciousness as inviolable rights, only by
publication of images of their violation, including writing constituted as an
invasion of privacy" (51). It is in this sense that
we can understand privacy as performative: we know privacy by the acts that unveil or reveal its sheltered zones.
6 In emphasizing the responses to the perceived infringement of privacies, I am underscoring the performative and relational
aspects of privacy--what happens when a line is crossed,
especially by women writers. The response at this point in history is all the
more surprising, given the obscenity trials provoked and threatened by the
publication of books like Lolita, Naked Lunch, and most famously, Lady
Chatterley's Lover. Perhaps we need to focus not only on the gendered aspect of
bodies and objects, but also the sex of the writers who put these
representations before the public--who has permission to expose what. Deborah
Nelson argues, following Jennifer Nedelsky's "Reconceiving Autonomy:
Sources, Thoughts, and Possibilities," that "privacy
is always a relational right, ... although permission maybe granted in ways so
invisible or so deeply accustomed that we fail to see them" (Nelson, 1999:
306, n. 31).
In "Privacy, Privation,
Perversity: Toward New Representations of the Personal," Debra Morris
emphasizes the importance of the relational as a fundamental condition for
justice and what she calls "rational political judgment" (328).
7 Here Millett is slightly wrong in her memory of The Golden Notebook:
"And the blood is running down her legs while she struggles with toilet
paper. Kleenex. That sort of thing. In a book! Happens every month of adult
life to half the population of the globe and no one had ever mentioned it in a
book" (357). Menstruation, of course, was notoriously described in Molly
Bloom's monologue (thanks perhaps to Nora Joyce); what is new literarily in
Lessing's novel is the combination of the tampon--the technology--and the
problem of dealing with it in a public place, with men are in the area. Lessing
writes: "I examine myself and change the tampon and pour jug after jug of
warm water between my thighs to defeat the sour musty smell. Then I scent my
thighs and forearms, and remind myself to come down in an hour or two...."
A moment later a male colleague remarks: "'You smell lovely, Anna,' and at
once I feel at ease and able to manage everything" (1994 [1962]: 322). What
is remarkable is yes, the object, but also, as generations of women readers
have attested, the entire psychological surround, the anxiety about smell. What
is even more interesting is a meditation that comes slightly carlier in this
section where Anna worries about how to write about having her period. The fact
is "of no particular importance," but when she writes "the word
'blood,' it will be giving a wrong emphasis." She then goes on to comment
on the "shock" of Joyce's describing "a man in the act of
defecating, it was a shock, shocking. Though it was his intention to rob words
of their power to shock" (318). Anna recalls a review in which "a man
said he would be revolted by the description of a woman defecating" and
concludes that the issue is "not basically a literary problem at
all." The man would be revolted because it ruins his "romantic
image" (319). Part of Lessing's accomplishment in this novel is the
recording of her resistance to the power of that image to distort accounts of
women's experience--which is a literary problem!
8 In her biography of McCarthy, Grumbach refers to this voicing as
"ventriloquism": "a narrative device ... apparently so ingenious
that it was missed by many critics" (1967: 197).
9 Randall Jarrell's characterization perhaps captures the McCarthy effect best:
"torn animals were removed at sunset from that smile" (1986: 65).
Granville Hicks put it more blandly in the Saturday Review: "No one argues
that she is either a great novelist or a great critic, but she is somehow surrounded
by an aura of eminence. She is the highbrows' highbrow, and she gets to be the
lowbrows' highbrow, too.... She has built her reputation in part on the ruins
of the reputations she has destroyed" (1963: 19). No one, in a word, wants
to mess with Mary. So it is not surprising that despite what Hicks himself
calls an "ungracious introduction," the review that follows morphs
into an enthusiastic account of The Group, which he likens to "social history."
10 "Not since Elizabeth Janeway wrote The Walsh Girls has any lady-book
been given such praise by people such as these" (1963: 1). The other
Norman--Podhoretz--will chime in with the same tune: "a trivial lady
writer's novel" in Doing and Undoings (1964: 93). Mary herself weighed in
on being called a "woman novelist" in the Vogue interview: "I
don't mind being called a woman novelist. After all, I am one. But I know what
you mean. I think it's just a piece of feminism" (1963: 98). Can you be a
woman novelist without being deemed a lady writer? That was McCarthy's gamble.
In "Our Leading Bitch Intellectual," Beverly Gross argues that Mailer
himself made the distinction and refrained from "lady writer," thus
paying McCarthy, "a back handed tribute" (1996: 32).
11 McCarthy's sentence provides the example for the second meaning of the
literary term envoi, "parting words," thus earning her posterity in
Webster's Third New International Directory (1966).
12 But whose side is she on as a novelist when she reports on women? If Lessing
takes pleasure in finding herself on a continuum of experience with her
readers, McCarthy in her public remarks and interviews deliberately sets
herself apart. It is as though as a writer she informs the world about women's
experiences, offering in her place a heroine who bears a certain relation to
herself. Candor is her best disguise, and the effect of her detachment is ...
educational. The Esquire profile recasts the McCarthy gift for scandal as
school: "there's been a kind of hidden lesson book in ... her better
stories. Here (O Mistress Mary!), here's how a girl takes up with a steel man
on a train, ... goes for a 'fitting,' ... decides on an abortion, and finally
suffers remorse for all these things, great or small" (1962: 64). The
girl's remorse, not the author's, that is--whose trade, precisely, is the
giving away of other people's secrets. McCarthy, who will probably remain best
known as the author of autobiography, notably, Memories of a Catholic Girlhood,
protected herself in fiction through her alter ego, cannily preserving her privacy by flirting in print with characters resembling those
from her real life. As readers of her stories and novels, we remain in the dark
about her abortions (although in the course of interviews she freely confessed
to having had many), her modes of contraception. As Randall Jarrell put it in
his thinly veiled portrait of McCarthy in Pictures from an Institution,
"Gertrude, unlike many writers, really did have a private life, one that
she never wrote a word about" (1986: 190) We can guess and gossip, but with
this writer we cannot know for sure.
In Intellectual Memoirs, the last and posthumously
published installment of her autobiography, however, McCarthy, almost 50 years
after the event, reveals the name of the man who wore the Brooks Brothers
shirt. Or as novelist Marianne Wiggins rudely describes it, challenging
McCarthy's confessional ethics: "she 'outs' the married man who was The
Man who fucked her on a train in her histoire ý clef .... Not only does she
tell us this gent's name, she tells us where he lived and which club he was a
member of. For all we know, he's still alive, has a wife, a life, a son, a
daughter" (1992: 569). Wiggins touches here on a fundamental issue of
literary privacy--one that dates back at least to our
exemplary modern autobiographer, Jean-Jacques Rousseau. Taking her distance as
a woman writer from her precursor, George Sand self-righteously exclaimed in
the preface to her life's story, "Who can forgive him for having confessed
Mme de Warens while confessing himself?" (1970, 1:13; my translation).
Whether explicit autobiography or autobiographical fiction, the problem remains
the same: what do you owe to the other when you confess yourself? What happens
to the privacy of the other when you put your stories
out into the world? These matters did not seem to concern McCarthy any more
than they did Rousseau. As Philippe Lejeune puts the matter: "private life
is almost always a co-property" (1986: 55) (with thanks to John Eakin for
reminding me of Lejeune's formulation).
Like the earlier stories and novels, The Group did not
go unnoticed. In great part the frisson caused by the work was tied to its
apparent confessionality--and its biographical traces. But if that titillated
the readership, it is not primarily what captured the critics' attention.
13 Mailer's particular animus against the diaphragm would be expressed
explicitly as an impediment to his hero's ultimate pleasure in An American
Dream: "'Do you want to now?' but from an instinct I did not question, I
said, 'No, I don't want to .... I can't so long as you have that thing in you,'
which I never said before, and she shifted, I was out, the shock comparable to
banging one's head on a low beam, and then I searched for that corporate
rubbery obstruction I detested so much, found it with a finger, pulled it
forth, flipped it away from the bed" (1996 [1965]: 121-22).
In his review of the Kiernan biography, A. O. Scott
cites the Mailer diatribe and takes up the question of McCarthy's realism,
which leads him to make a hefty counterclaim about McCarthy's ability as a
novelist to chronicle social change. Accepting the
comparison to Stendhal that Edmund Wilson offered, and one that Mailer pays
tribute to by imagining "where society will end if the heroine of The
Company She Keeps should encounter Julien Sorel" (1963: 3), Scott puts
into the same hopper as "Fabrizio del Dongo in The Charterhouse of Parma
stumbling into the Napoleonic wars, Dottie with her pessary, the girl on the
train with her safety-pinned knickers" as well as other characters from
McCarthy's fiction, in order, it almost seems, to counter Mailer by giving
McCarthy credit for producing a "chronicle" of a transformation in
the private lives of men and women (2000: 24).
14 I thank Louis Menand for the reference to Bellow on McCarthy in the Atlas
biography. Celebrating Saul Bellow's career as a novelist and his
"engagement with women," Roth conjures up the object in Herzog.
Comparing Bellow's focus on masculine suffering with that of Anna Karenin or
Charles Bovary, Roth wonders how far his analogy can really go: "(Not that
one easily envisions Karenin, ý la Herzog with Gersbach, handing over to
Vronsky Anna's diaphragm.)" (2000: 87). In these matters of taste, it
depends on who draws the line. Bellow is quoted in John Leonard's review of the
James Atlas biography as saying that reading Nadine Gordimer was "'like
gagging on Kotex'" (2000: 11). Again, the object draws the disgust into
its orbit.
15 The TLS reviewer saw the wit in McCarthy's implicit genre reference:
"Miss McCarthy has hit on the brilliant device of telling most of her
story in the style of a woman's magazine romance" ("Review,"
1963b: 901). Of course writing for Esquire, a magazine for men, as it described
itself, carried the literary stamp of approval. One can wonder to what extent
Mailer, whose novelistic ambitions had been frustrated since his first success
with The Naked and the Dead, wasn't chafing at McCarthy's staggering success
with The Group--despite his negative assessment of her accomplishment.
16 Summarizing the criticism of the novel, which reflected a certain
bewilderment with the book's runaway success, Grumbach observes: "But The
Group had been born into a new reading world," a world different from the
one that had received McCarthy's earlier fiction, "a world already primed
for the appearance of any novel that is rumored to have sexy scenes"
(1967: 195). The novel, Grumbach asserts, is "profoundly feminine"
and "the majority of novel-readers in this country are women, and they are
as well the novel-buyers and novel-borrowers; it follows that such a book ...
would intrigue a mass audience" (196).
17 In an essay on The New Yorker's history, Louis Menand analyzes the
magazine's "distaste for subject matter and vocabulary that were utterly
commonplace in virtually every other literary forum" (1990: 30) and its
effect on the acceptance of stories and articles. He cites editor William
Shawn's editorial solution to a theater review by Kenneth Tynan that used the
word "pissoir": renaming it "a circular curbside construction"
(29). Commenting with characteristic finesse on the problem posed by the
intimate object in Roth's story, Menand casts the dilemma this way:
"'Goodbye, Columbus' is reported to have been turned down because the
story involves an item Shawn considered unprintable, a diaphragm. ('A circular
cervical construction' was evidently not proposed as a substitute" (30). I
am grateful to Louis Menand for filling me in on Roth's publishing experience
with Goodbye, Columbus.
18 As Elizabeth Hardwick observes in the essay on her friend's technique,
without reference to gender: "Accuracy, unusual situations documented with
extreme care, mean for the reader a special kind of recognition" (1962:
37).
19 Jean Cohen, quoted in Morris (2000: 339). This notion emerges from Planned
Parenthood v. Casey (1992), which reaffirms a woman's right to choose: the
right "to define one's own concept of existence, of meaning, of the
universe, and of the mystery of human life" (Morris, 2000: 336).
20 This is a double restriction since the number of doctors performing
abortions is decreasing. Faye Ginsburg: "Another hidden element [in the
backlash against abortion rights] is the loss of practitioners. We are losing
the generation of doctors committed to working in clinics, helping women at
incredible personal risk. They're reaching an age at which they can't do it
anymore, and medical schools no longer routinely train students in abortion
procedures. So the battle's being lost as a war of attrition on the front of
medical training. Meanwhile, people aren't mobilized because they feel the
battle has been won" (2000: 25).
21 It is important to note, however, that the privacy of
this "private matter" is incomplete--as it has been from the start. A
woman's privacy--her right to choose--passes willy-nilly
through the intervention of the doctor. For a groundbreaking analysis of the
way in which the limits of a woman's sexual autonomy are figured in
confessional poetry, and the implications of these limitations for an
understanding of postwar privacy, see Nelson (1999).
22 In a report from Paris, Suzanne Daley quotes a woman on the matter of
drug-induced abortion. It felt "more natural," she said; "it
felt more private, too" Daley (2000).
23 White wrote this in a letter to McCarthy, which McCarthy thanked her for.
Quoted in Kiernan (2000: 524). Hardwick also wrote, trying to make up for the
parody and commenting on the information: "I don't always know to whom the
information is addressed. Is it the writer informing the reader, or is it the
writer informing the girls, or the girls speaking to the reader" (Kiernan,
524). Hardwick casts her questions as "technical" ones for a fiction
writer, but she clearly remains ambivalent about whether the information should
be put out there in the first place--an ambivalence that gets acted out in her
parody, "The Gang" (1963). The reaction to and reception of
McCarthy's fiction show that when "women's secrets" are exposed, they
shock men and women--though not necessarily alike, and not for the same
reasons. Sometimes, they even agree.
24 No restrictions are placed on the doctors who prescribe Viagra. Pollitt
comments that if restrictions comparable to those governing Mifepristone
(RU-486) were required for dispensing Viagra, only cardiologists could
prescribe the drug (2000).
25 Kiernan (710). In this interview McCarthy distinguishes between
"feminism on economic grounds," with which she is in sympathy, and
feminism in the "domestic sphere," which she disdains. Earlier, in
the Vogue interview, she had stated her dislike for a feminism she construed as
based on "feminine envy, envy of men" (1963: 144).
26 1968 interview (Gelderman, 1988: 253).
27 With apologies to Gilbert and Gubar's famous provocation in their
revisionary study of female authorship: "Is a pen a metaphorical
penis?" (1979: 3). In an article entitled "The Bright Pack,"
about what it takes to "be a literary It Girl in New York," two of
the writers, Larissa MacFarquar and Katie Roiphe, are said to "like
looking back to the Forties and Fifties and wonder whether the writer Mary
McCarthy--drinking and smoking, dancing, cavorting, making an ass of
herself--had a better time than they do"...(Haskell, 2000: 99). This is a
feminine literary genealogy McCarthy might have enjoyed. I thank Lise Esdaile
for this reference.
28 What McCarthy's and Lessing's literary interventions show is the degree to
which, as Joan Scott remarks, "feminine particularity secures the
universality of masculine representation." Since the "abstract
rights-bearing individual who came into being as the focus of liberal
philosophical debate in the seventeenth and eighteenth century somehow became
embodied in male form," it becomes difficult to unsettle that sense of
general entitlement through the vicissitudes of female form (1988: 25). What
would happen to our ideas about privacy if we imagined
the citizen in a woman's body?
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PART V
INVASIONS OF PRIVACY:
VIOLATIONS OF BOUNDARIES
INTRODUCTION: INVASIONS OF PRIVACY
BY GEORGE KATEB
THE papers in this section all deal with obstacles to
defending privacy (whether understood as a
constitutional right or not) in the face of threats from new information
technologies. The authors are committed to privacy in
general, though they may differ about the purposes or the values they think
that government or social respect for privacy
serves or signifies. In their common commitment to privacy,
they are aware that the task of defending privacy these
days is made all the more difficult by the fact that the new threats to it are
not wholly familiar, and that therefore laws and customs are in the process of
uneasy resistance or uneasy accommodation to those threats. At the same time,
the authors are not especially nostalgic for the era before the new information
technologies existed. The new powers to monitor people and accumulate and
disseminate quantities of information about them go along indissolubly with new
powers to enhance life. The aim must be to preserve as much privacy
as possible while exploiting the benefits of admittedly risky technologies.
Frederick Schauer wants to fortify informational privacy by questioning the regular subordination of privacy to free speech and press. Perhaps more in his oral
presentation than in his paper, Schauer laments the almost pious deference to
First Amendment rights because the informational privacy
he has uppermost in mind is (following Prosser in Restatement of Torts)
"the public disclosure of embarrassing facts about the plaintiff."
Schauer usefully guides the reader through legal cases involving public
disclosure, whether the privacy claimants are public
figures, or private persons who happen to surface publicly because they are
involved by chance in some public and newsworthy event. Schauer is especially
concerned with the latter category of cases. The tendency of his discussion is
to wish that courts would be less obsessed with the claims of free press and
more with the claims of people who suffer from involuntary disclosure. There is
a strong claim to be private in public, to use a formulation of the privacy scholar Helen Nissenbaum. Schauer would mitigate the
predisposition of courts to be so anxious about protecting freedom of the press
from erosion that they allow innocent individuals to suffer irremediable damage
to their well-being. Schauer is certainly right to see a conflict of rights, at
least a conflict between a fundamental constitutional right (free press) and an
important moral right with some legal standing in the law of torts (not to be
gravely embarrassed by public disclosure). How to resolve the conflict?
Obviously a sizable moral price will be paid if courts continue to rank a
constitutional right higher than a moral right with legal (but not fundamental
constitutional) standing. Yet the anxiety not to erode freedom of the press may
properly be given precedence. One benefit of Schauer's paper is that it opens
up the question of conflict of rights.
Schauer may make trouble for himself, however, when in
the second part of his paper he develops the idea that privacy
is socially constructed. What he means is that what people in one society find
an unacceptable assault on privacy may be found
perfectly acceptable in another society. (The very notion of privacy
may be altogether lacking in some societies.) Privacy is
therefore a shifting concept. If he is right, and in some aspects of privacy he is of course right, then he must contend with the
view that violations of privacy may look, from an
external and detached perspective, much less morally important than violations
of a fundamental constitutional right, like freedom of the press, which is
recognized in many societies that are quite culturally disparate.
"Perhaps," Schauer candidly says, "the right to privacy
is more socially contingent and culturally relative than other rights, or has a
degree of social contingency and cultural relativity
that other rights do not possess." If the social
construction hypothesis is pressed very far, the dignity of the concept of privacy must suffer. Why worry too much about a claim that is
largely dependent on historical or geographical accident? Only if we are able
to consider a claim--here a claim to privacy--as
attaching itself to an essential human trait and common human aspiration can we
assert that a moral right exists. We can then go on to decide whether that
moral right is of such weight as to deserve elevation to a constitutional
right. Or, if not to a constitutional right, at least to a legal right that may
reasonably require serious consideration, even though a presumed constitutional
right appears to stand in its way. The social
construction hypothesis goes in the direction of converting all human
relationships and transactions into local mores or manners. To be sure, mores
and manners are not negligible and are often of tremendous urgency, but they
lack sufficient moral weight to figure in a discussion of rights in conflict.
In short, the social construction hypothesis sits
uneasily with concern for the protection of privacy in
general and specifically for keeping embarrassing personal information out of the
public domain.
Jeffrey Rosen's paper is based on his instructive and
wide-ranging book, The Unwanted Gaze (2000). Rosen's endeavor is to show how
new technologies of recording and disseminating personal information erode privacy and by doing that, erode personhood. He is eloquent in
affirming the moral right of every individual to remain unknown or anonymous;
and with equal importance not to be judged and penalized on the basis of
personal information that is incomplete and taken out of context. The moral
right to remain unjudged altogether, except when judgment is necessary to one's
own or to some important social purpose, is to be
cherished. In Rosen's work we find exploration of practically every value or
principle that plays a role in thinking about the fate of privacy
in an age of new information technologies. I would just mention a passage in
The Unwanted Gaze in which he criticizes the view that a society of transparent
people is better than one where people are protected in their privacy.
I think that Rosen's sense is that people are entitled to be untransparent, to
some degree, even to their intimates. He opposes transparency because its
adherents assume that each of us is a simple, easily defined and coherent
entity and should be largely predictable or at least regular and reliable.
Rosen knows that each of us is and should remain hard to figure out; that
judgment of us should be painstaking and made only when necessary; and always
done in context and for a contextual and therefore narrow goal. We are not
simple or well defined or coherent. We are multiple and hence able to be or
become surprisingly different from one context to another. We are perhaps not
so much multiple as fluid; and we are not transparent even to ourselves. The
protection of informational privacy can be protection of
one's secrets. But that is only a small part of the value of privacy.
The mystery of each of us, which is not the same as our secrets, should be
defended against false knowingness. "Privacy is a
form of opacity and opacity has its values" (224).
Rosen's paper concentrates on the injury to persons
that results when "freedom from observability" (following Robert
Merton) is seriously infringed. The protection of private secrets or
confidences is a main theme. Particularly painful is being exposed in one's
individuality--peculiarities, faults, whispered hopes--by a person whom one had
trusted. Being judged out of context by the public is always an assault on privacy. Perhaps the worst form of this assault is public
disclosure of the most private information about oneself by a relative, friend,
or lover. If such betrayal becomes standard, the principal achievements of
protected privacy--intimate love and intimate
friendship--are doomed. Yet if intimacy is doomed, individual autonomy also
suffers: How can I shape my life if I cannot trust others--a select few--with
what I deem some of the most precious components of my self, components that
should not have to endure being turned into topics of public gossip and that are
sullied even when the public presumptuously allows or even forgives them? Some
matters are just denatured when discussed by strangers, and public explanation
and justification intrude themselves. Rosen offers no legal remedy for
betrayal. I suppose there can be only a cultural remedy. But the culture wants
and expects betrayal. That appetite contributes to making the defense of privacy hard.
REFERENCES
Rosen, Jeffrey. The Unwanted Gaze. New York: Random
House, 2000.
OUT OF CONTEXT: THE PURPOSES OF PRIVACY
BY JEFFREY ROSEN
IN The Unwanted Gaze, I argue that "privacy protects us from being misdefined and judged out of
context in a world of short attention spans, a world in which information can
easily be confused with knowledge" (2000:8). In this essay, I would like
to consider some objections to the argument.
The book offers the example of my friend Lawrence
Lessig. In 1997, Judge Thomas Penfield Jackson chose Lessig to advise him as a
special master in overseeing the antitrust dispute between the government and
Microsoft. When Microsoft challenged Lessig's appointment, Netscape officials
turned over to the Justice Department an email Lessig had written to an
acquaintance at Netscape in which he joked that he had "sold my soul"
by downloading Microsoft's Internet Explorer. The Justice Department, in turn,
gave Lessig's email to Microsoft, which claimed he was biased and demanded his
resignation.
In fact, Lessig's email had been quoted out of context.
As the full text of the email makes clear, Lessig had downloaded Microsoft's
Internet Explorer in order to enter a contest to win an Apple PowerBook. After
installing the Explorer software, he discovered that his Netscape bookmarks had
been erased. In a moment of frustration, he fired off the email to the Netscape
acquaintance, whom he had met at a cyberspace conference, describing what had
happened and quoting a Jill Sobule song that had been playing on his car
stereo: "Sold my soul, and nothing happened." And although a court
ultimately required Lessig to step down as special master for technical reasons
that had nothing to do with his misinterpreted email, he discovered that
strangers were left with the erroneous impression that the email
"proved" he was biased and forced him to resign. The experience
taught Lessig that, in a world in which most electronic footsteps are recorded
and all records can be instantly retrieved, it is very easy for sentiments to
be taken out of their original context by people who want to do you harm.
"The thing I felt most about the Microsoft case
was not the actual invasion (as I said, I didn't consider it an
invasion)," Lessig emailed me after the ordeal. "What I hated most
was that the issue was just not important enough for people to understand enough
to understand the truth. It deserved 1 second of the nation's attention, but to
understand it would have required at least a minute's consideration. But I
didn't get, and didn't deserve, a minute's consideration. Thus, for most, the
truth was lost" (Rosen, 2000: 56). Lessig felt ill-treated, in short, not
because he wasn't able to explain himself, but because, in a world of short
attention spans, he was never given the chance.
MISJUDGED IN PUBLIC
I would like to explore with you some challenges to my
thesis. In a generous response to the book at a recent symposium
on The Unwanted Gaze, held at the Georgetown Law School in September 2000,
Larry Lessig doubted that the problem of misjudgment is distinctively a problem
of privacy. He argued that, in world of short attention
spans, public or private information can be misinterpreted or judged out of
context. He gave the example of Justice Antonin Scalia--who opposes the
televising of Supreme Court arguments because he fears that snippets from the
tapes will be excerpted on the evening news. More information will lead to less
understanding. If Scalia could ensure arguments would be broadcast in their
entirety, he would abandon his opposition. In the meantime, Lessig suggests,
Scalia has designed an architectural solution to the attention span problem:
forcing people to sit in a marble palace and forbidden by marshals from leaving
if they want to watch oral arguments. Privacy, Lessig
suggests, is a remedy for a more general failure of the information market, but
he suggests that there are other remedies, such as architecture or social norms (Lessig, 2001).
In another response at Georgetown, Robert Post insisted
that the problem of misrepresentation or incomplete understanding "should
not be understood as a problem of privacy" at all,
because people can be misrepresented or judged out of context on the basis of
public or private information. He gives the example of the football player who
is remembered for making a single boneheaded play, or the author who is
misrepresented by a bad review of a good book. Post says there is no reason to
accept the propositions that "it is particularly important to individuals
to resist misjudgments based upon private information" or that "it is
particularly hurtful to individuals to be misjudged upon private
information" (Post, 2001).
I would like to begin by arguing that the problem of
being judged out of context is distinctively a problem of privacy.
In particular, I want to argue, in response to Post, that when private
information is taken out of context, the social
judgments that result are more damaging to the individual, and more likely to
lead to cognitive errors on the part of society, than the social
judgments that result when public information is taken out of context. When
private information is taken out context, the only way to put the information
in a broader context is to reveal more private information, which only
increases the risk of misinterpretation since certain kinds of private
information can only be understood in a context of intimacy. Certain kinds of
private information should only be exposed under conditions of trust, which
means that even if the revelation of more private information led to more
understanding, it would nevertheless compound the injury of the initial
exposure.
This injury, I want to argue, is an offense against
autonomy as well as dignity--against the self-defined I as well as the socially
defined me. The autonomy that the backstage area protects is not merely freedom
from totalizing forms of state scrutiny but also from overly intrusive forms of
social scrutiny. And respecting the privacy
of the backstage spares us from the burden of justifying differences that no
one in a pluralistic society should be forced to subject to communal inspection
and debate.
Post says there is no reason to accept the propositions
that "it is particularly important to individuals to resist misjudgments
based upon private information" or that "it is particularly hurtful
to individuals to be misjudged upon private information" (Post, 2001). Let
me defend both propositions by thinking, first of all, about misrepresentations
on the basis of public information that is taken out of context. This is Post's
football player, whom everyone remembers for making a single boncheaded play;
or Post's author, who receives an unfair review of a deserving book. It is
true, as Post says, that "misrepresentation in the public eye is
independently distressing whenever it occurs, regardless of whether it is
caused by the revelation of 'private' facts." But if I am a football
player who makes a boneheaded play, I can improve my image by playing better
next time. If I am an author who gets a bad review, I can point to a better
one. If I am a president who gets sick at a state dinner, I can have a gulf
war. Of course, if I am misjudged on the basis of public information, I might
also choose to correct the misimpression by revealing private facts: the
football player might hold a press conference explaining that his wife had
recently been diagnosed with scurvy, just as Lawrence Lessig put his email in
context by revealing his music preferences. But misjudgment on the basis of
private information requires the involuntary disclosure of more private
information, while misjudgment on the basis of public information is more
easily countered by behaving in accordance with my public role.
My success in this rehabilitative effort will depend on
my ability to attract the public's continuing attention. In a world of short
attention spans, I may be misdefined so vividly by a single, memorable public
performance that I will not get another opportunity to correct the
misjudgments. (This is a version of the devil's horn effect--bad thoughts
driving out good.) But when the misjudgment is based on public information, the
problem of the information market results exclusively from Lessig's attention
span problem, and more famous people will generally have more success
overcoming it than those who have only 15 minutes in the sun.
MAKING THE PRIVATE PUBLIC
Now let's think about misrepresentation on the basis of
private information that has been taken out of context. In this situation, both
the injury and the remedy look very different. Despite Post's claim to the
contrary, misjudgment on the basis of private information is more likely to
distort the information market, and to damage the individual concerned, than
misjudgment on the basis of public information. In the former case, the cure is
worse than the disease, and the misjudgment can only be corrected by the
revelation of more private information, which leads to further misunderstanding
and further harm to dignity and autonomy.
Consider the case of Lessig's email. Lessig said he
didn't consider the publication of the email itself to be especially invasive,
but to put his joke in context he--and I--had to reveal the fact that he had
been listening to the singer Jill Sobule. But the revelation of this contextual
backstage information distorted the information market in new ways. Readers of
this symposium now know that Lessig was not biased
against Microsoft, but they think of him as the kind of person who listens to
Jill Sobule. He is not just that kind of person, however: he also has a passion
for Gregorian chant. And now that I have revealed that my friend Lessig likes
to listen to Gregorian chant, perhaps I have misrepresented him further: after
all, he isn't just a Jill Sobule person and a plainsong person. The point is
not that Lessig's music preferences themselves are in any way embarrassing; the
point is that once the backstage curtain is lifted, Lessig and those who know
him can only put the information in context by revealing even more private
information.
But the world isn't entitled to know about Lessig's
music preferences, not merely because the world has no time to understand
Lessig in all his complicated and wondrous dimensions--this is the attention
span problem--but because Lessig should not have to justify his music
preferences to the world. Knowledge--even if it is not true knowledge--must be
earned by the slow, reciprocal sharing of personal information, which can lead
to greater intimacy, understanding, and trust. This is the process that is
short-circuited when private information is taken out of context. To understand
Lessig's joke properly required more attention than the public was able to
give, and more intimacy than the public was entitled to demand. In this sense,
the problem of being misjudged on the basis of private information is an
attention span problem, but it is not solely an attention span problem.
Filtered or unfiltered, certain private information can
be understood only in a context of intimacy. Even if you had full access to my
DoubleClick logs, containing granular details of everything that I had read or
downloaded over the past year, you shouldn't, wouldn't, understand me in
context. Overwhelmed by information, you would eventually change the channel or
click to a more interesting website.
It would be possible, of course, to devise an
architectural solution to this manifestation of the attention span problem,
just as Lessig suggests that Justice Scalia has designed an architectural
solution to the attention span problem at the Supreme Court. The Supreme Court
allows members of the press to watch oral arguments only if they agree to sit
through the arguments from beginning to end, on pain of being physically
restrained by armed federal marshals. It would be technologically simple,
similarly, to set up a trusted system that could restrict access to my DoubleClick
logs to those who agree to spend eight hours a day reading them from beginning
to end, and would cut off access for those who breached the agreement.
But it would be outrageous for you to demand a trusted
system that would allow you to read my DoubleClick logs from beginning to end
because you have not taken the time to earn my trust. The public has a right to
try to understand the oral arguments at the Supreme Court, but it has no right
to presume to understand everything that I have ever read, browsed, or
downloaded. There are certain aspects of my life that I should not have to
justify to strangers or to the state.
When intimate information is taken out of context and
exposed to strangers, therefore, we experience an injury to dignity independent
from the problem of being misunderstood. Note that it is the forced disclosure
of the private information, rather than the inherently private character of the
information itself, that triggers the injury. We can imagine situations in
which people voluntarily divulge private information because they think they
will be better understood. Before Lessig's email was exposed, he had been
defined in newspapers as the brilliant law clerk who convinced the Supreme
Court to move from mainframe to networked computers. On Larry King, he might
have chosen to humanize this techie caricature by revealing his weakness for
Jill Sobule and Gregorian chant. Similarly, to rebut the fact that he appears
wooden in public, Al Gore ostentatiously kissed his wife and talked lustily
about their mutual passion. Some degree of slippage between public and private
information is inherent in the public sphere--unless we insist implausibly that
people can only be defined in the thinnest sense by their public roles--and
when private information is voluntarily revealed, we do not consider this an
invasion of privacy.
By privacy, then, I mean the
ability to exercise control over personal information, and by personal
information, I mean information over which I reasonably expect to exercise
control. The legitimacy of my expectations might vary in different contexts. If
I am a suburban high school student, I may prefer that my classmates not know
that I like to download the music of Richard Wagner. If the school monitored my
Internet browsing at home and turned the logs over to the school paper, I could
justifiably object that I had been misunderstood--because of the attention span
problem--and victimized by an indignity--because of the breach of my reasonable
expectations that my Internet browsing was private. But if one of my classmates
saw me waiting on line at the Metropolitan Opera and told the world I was a
Wagnerite, there would be embarrassment but not injury to privacy
and dignity: I was, after all, caught in plain view. Rather than trying to
identify a category of personal information that is inherently private, such as
music preferences or email to friends, it makes more sense to focus on the
question of control. It is the involuntary wrenching out of context of personal
information that itself constitutes an offense against privacy
and causes the related injuries I have described--against understanding,
dignity, and autonomy.
WHAT YOU SHOULD KNOW ABOUT ME
Post suggests that the cognitive harm that results from
misrepresentation is generic, and that to the degree I am forced to reveal more
private information to correct the misrepresentation that results from being
judged out of context, the injury that results is exclusively a problem of
dignity rather than autonomy. But as I argued in The Unwanted Gaze, there are
clear offenses against autonomy as well. Privacy
conceived as a form of dignity, as Post suggests, focuses on the "social forms of respect that we owe each other as members of a
common community"; while privacy as autonomy
concerns the individual's ability to control the bounds of societal regulation.
Consider the exposure of information about marital
infidelity. Unlike the Gores, who offered telegenic details of their passion to
rebut the impression that the vice president was passionless, the Clintons were
forced to justify the integrity of their marriage against their will. To rebut
rumors that they were angry at each other, the president and first lady had to
have themselves photographed dancing on a beach. To rebut popular sentiment
that the appropriate response to adultery is divorce, they were forced to enact
a degrading atonement ceremony in which Mrs. Clinton first expressed anger at
her husband and then reluctantly allowed herself to be won back, in the
interest of standing by her man. Yet these banal rituals of atonement and
redemption may have contributed to less, rather than more, understanding of the
reality of the Clinton's marriage, which, like many marriages, may be too
complex to be understood outside a context of intimacy. For all we know, Mrs.
Clinton may love her husband blindly; perhaps she was not as angry at him as
the public thought she should have been. Respecting the privacy
of the Clinton's marriage would have protected the public from
misunderstanding, because the Clinton's marriage is too complicated to be
understood by strangers. But it also would have protected the Clintons from
having to justify to strangers aspects of their life that no one should be
forced to submit to public debate.
Respecting the privacy of the
backstage, therefore, spares individuals from pressure to justify their
differences and allows them to arrange their lives in a way that differs from social expectations. Imagine a couple that decides to tolerate
extramarital affairs, as the Clintons appear to have done. Shielded by privacy, they can sustain a marriage in the face of adultery.
But once the adultery is made a subject of public discussion, the couple will
face overwhelming social pressure to divorce, because of
the conventional view that divorce is the appropriate response to adultery. In
many cases they may succumb to this pressure, even though both would prefer to
remain together. The privacy that protects individuals
from being judged out of context, in short, does not merely protect individuals
from being misunderstood; it allows them to structure their most intimate
relations in ways that differ from social norms.
Post insists that offenses against autonomy are
generally limited to the relationship between the individual and the state. But
privacy as autonomy is not always conceived so narrowly.
Jeffrey Reiman described the notion of privacy as
autonomy as "conferring title to one's existence" (Reiman, 1982:
310). By limiting society's access to an individual, Reiman concludes, privacy allows individuals to claim ownership of their
thoughts and actions. This conception of privacy seems
to me implicated in pervasive surveillance on the Internet. Surveillance by
faceless websites can hardly be conceived as a breach against dignity, since privacy as dignity presupposes some kind of relationship of
mutuality. In contrast, pervasive surveillance might inhibit one's thoughts and
actions in a way that implicates autonomy, even though it does not involve the
state. Currently pervasive surveillance in cyberspace is in its infancy. I find
it invasive to be tracked online and to be bombarded with targeted ads when I
surf. Others find it less invasive; the norm is contested at present. It is
possible to imagine a world in which profiling is so pervasive and so widely
accepted that people define their selves in relation to their profiles. In such
a world, my social expectations of privacy
could be breached when DoubleClick sends me an ad that does not correspond to
my virtual profile. So I could file an intrusion on seclusion suit when I am
emailed an ad for Memoirs of a Geisha, even though my past buying habits
suggest that I am more likely to prefer Tom Clancy. In a world of pervasive
surveillance, inaccurate rather than accurate profiling could be considered
"highly offensive to a reasonable person." But accurate or
inaccurate, pervasive profiling would still represent an offense against
autonomy to the extent that fear of exposure of my profile might inhibit me
from visiting controversial websites or browsing odd books in a way that
differs from social expectations. As Stanley Benn
argues, protecting privacy as autonomy is a way of
indicating that an autonomous individual is worthy of the respect that allows
her to pursue a private enterprise without being observed (Benn, 1982: 243),
rather than being objectified like an animal in the zoo.
PRIVACY AS AUTONOMY
Here, then, are the injuries that result from being
observed out of context in spaces that should be considered private. To the
extent that the observation results from unreasonable state extraction of
intimate personal information--the subpoenas that exposed the emails of Lessig
and Lewinsky--it is an offense against liberal freedom in the traditional sense
of threatening the boundaries between the individual and the state. To the
degree that observation results from the betrayal of a friend or former lover,
such as Joyce Maynard's tell-all memoir about J. D. Salinger, it represents a
breach of confidence. It also represents an offense against socially
constructed norms of dignity, much like the indignity that would result if I
went to a nude beach with a colleague and she snapped my photograph without
permission. At this particular moment, tell-all memoirs are still rare enough
that reasonable people do not expect that their lovers, during tender moments,
are scribbling notes for a book proposal. If social
norms changed and tell-all memoirs became more common, such a betrayal might no
longer represent an offense against dignity, but it would still represent an
offense against autonomy. If individuals cannot form relationships of trust
without fear that their confidences will be betrayed, the uncertainty about
whether or not their most intimate moments are being recorded for future
exposure will make intimacy impossible; and without intimacy, there will be no
opportunity to develop the autonomous, inner-directed self that defies social expectations rather than conforming to them.
The dignitary vision presumes a socially embedded self,
much like Goffman's gas station mechanics who define themselves in relation to
their fellow workers. The backstage in Goffman's world is a place from which
outsiders are excluded. It allows me to let down my masks, but behind the
masks, there is no "me" independent of "us." Privacy as autonomy, in contrast, presumes a self-actualized
individual self, defined by its differences with rather than its similarities
to the relevant community. It is this autonomous self that I had in mind when I
discussed the need for individuals to be free from observation by society as
well as by the state in order to be spared the need to justify their differences.
This is the self that cannot develop its individual subjectivity, and cannot
form relationships of intimacy without insulation from the gaze of pervasive
surveillance. Defining privacy as "freedom from
observability," the sociologist Robert Merton argues that privacy
is necessary because without it "the pressure to live up to the details of
all (and often conflicting) social norms would become
literally unbearable; in a complex society, schizophrenic behavior would become
the rule rather than the formidable exception it already is" (Merton,
1968: 429). To be observed out of context in private spaces--on the basis of
complete or incomplete information--transforms the self from subject to object;
and uncertainty about pervasive surveillance makes the development of the
subjective self impossible. This objectification is one of the injuries that
results from being observed out of context--not merely an offense against
dignity, as Post suggests, or a recipe for social
misjudgment, as Lessig suggests, but also an intrinsic injury against the
autonomous self.
REFERENCES
Benn, Stanley I. "Privacy,
Freedom, and Respect for Persons." Philosophical Dimensions of Privacy: An Anthology. Ed. Ferdinand David Shoeman. Cambridge:
Cambridge University Press, 1982.
Lessig, Lawrence. "Response to The Unwanted
Gaze." Georgetown Law Journal (forthcoming, 2001).
Merton, Robert. Social Theory
and Social Structure. New York: Free Press, 1968.
Post, Robert. "Three Conceptions of Privacy." Georgetown Law Journal (forthcoming, 2001).
Reiman, Jeffrey R. "Privacy,
Intimacy, and Personhood." Philosophical Dimensions of Privacy:
An Anthology. Ed. Ferdinand David Shoeman. Cambridge: Cambridge University
Press, 1982.
Rosen, Jeffrey. The Unwanted Gaze: The Destruction of Privacy in America. New York: Random House, 2000.
FREE SPEECH AND THE SOCIAL
CONSTRUCTION OF PRIVACY
BY FREDERICK SCHAUER
ACCORDING to the conventional wisdom, privacy
rights and the rights to freedom of speech and press are frequently and necessarily
in conflict with each other. Privacy, it is said, and
has been said since Brandeis, is the right to be let alone.(FN1) Freedom of
speech and press, however--it is said, and has been said since Holmes--is the
right to say and print what one pleases, especially about the wielders of
public power.(FN2) Because what people and the press might wish to say about
others can and often does conflict with those others' desire not to have things
said about them, the conflict between the right to privacy
and the rights to freedom of speech and press is both patent and deeply
intractable.(FN3)
But perhaps the conventional wisdom is wrong. Perhaps
the right to privacy is more socially contingent, more
socially constructed, and more culturally relative than other rights, or has a
degree of social contingency and cultural relativity
that other rights do not possess. If this is the case, then the social construction of the right to privacy
may be based on a wide array of contingent culturally salient understandings.
In the United States at least, the First Amendment and freedom of speech rank
quite high in the pantheon of these culturally salient understandings, and as a
result we in the United States may, because of a dominant First Amendment
ideology, define the area of appropriate personal space more narrowly than it
may be defined elsewhere. If this is so--and thus far I have only asserted it
and not argued for it--then the right to privacy,
especially in the United States, may be better understood as being driven by
the First Amendment more than being constrained by it. As a legal matter this
may make no difference, because the doctrinal consequences are virtually
identical. But once we get beyond the narrow domain of legal doctrine, an
appreciation of the way in which our very understanding of the idea of privacy is shaped by a free speech ideology will help us to
understand the idea of privacy at a deeper level.
JUST ENOUGH LAW
It may be useful to start with a quick overview of the
formal law. Brandeis and Warren's original conception of privacy
arose in the context of what has come to be known as misappropriation, the
dimension of privacy focusing on the unauthorized use of
one's name or likeness for commercial purposes.(FN4) If BMW were to run an
advertisement promoting the fact that, "When Michael Johnson is not
running the 400 meters, he's driving his BMW," and if BMW were to run this
advertisement without the permission of Michael Johnson, Johnson would have a privacy claim for appropriation against BMW, and the claim
would be just as strong even if Michael Johnson in fact does drive a BMW. At
the heart of the misappropriation claim is the understanding that one's name
and likeness have a commercial value, and that taking something of commercial
value to Michael Johnson without paying him or obtaining his permission is akin
to theft.(FN5)
Allowing Michael Johnson to recover under these
circumstances might strike some as a restriction of freedom of speech. After
all, it restricts BMW's to say or to print something, and indeed it restricts
BMW's right to say or print something that happens to be true. Nevertheless,
the obvious commercial value of a celebrity's name and likeness has
successfully blunted most free speech claims against the misappropriation tort,
and has done so even when the free speech claimant is the media. In Zacchini v.
Scripps-Howard Broadcasting Co. (433 U.S. 562, 1977), a news program had
broadcast the entirety of Mr. Zacchini's performance in which he was shot out
of a cannon, the law of gravity (considerably less socially constructed than
the law of torts) ensuring that the performance was brief and thus easily
broadcast in an uncut version. Zacchini claimed misappropriation of something
of commercial value, and the media defendant, not surprisingly, claimed a First
Amendment right to broadcast what it perceived to be a newsworthy event. In
rejecting the First Amendment argument, the Supreme Court relied heavily on the
commercial dimension of the plaintiff's claim, holding (perhaps presciently, in
light of contemporary issues regarding Napster and others who seek to couch
their commercial appropriation of intellectual property in First Amendment
terms) that the First Amendment was no defense to a plain misappropriation of
Mr. Zacchini's livelihood.(FN6)
More commonly, invasion of privacy
claims are not based on the idea of misappropriation of a name or likeness of
commercial value, but rather on another of the Prosser categories now
entrenched in the Restatement of Torts (American Law Institute, 1967). Here the
tort is based on, to use Dean Prosser's language, "the public disclosure
of embarrassing private facts about the plaintiff." In these cases, the invasion
of privacy comes about not because of the theft of
something of commercial value, but because of what can be thought of as the
theft of the plaintiff's right to control the facts about her own life. If the
intimate details of my life are disclosed without my consent, so the argument
goes, then even the truth of that disclosure cannot undercut the fact that
something that is essentially mine to control has been taken from me.
When the accurate disclosure of facts about individuals
does not have as obvious a commercial dimension, the seeming tensions with free
speech principles have become more apparent. As a result, the authoritative
embodiment of this dimension of the tort of invasion of privacy
has been subject to qualifications of both "reasonableness" and
"newsworthiness." The consequence of this has been to remove from the
ambit of the tort those unwanted disclosures that could subsequently be
determined to have been newsworthy, as with, to take two prominent examples,
the disclosure of the subsequent life history of someone who had previously
been a child prodigy but had for 20 years lived in obscurity (Sidis v. F-R
Publishing Corp., 113 F.2d Cir.06 [2d Cir.], cert. denied, 31 U.S. 711, 1940),
and the disclosure of the homosexuality of the former marine who thwarted Sara
Jane Moore's attempt to assassinate President Gerald Ford (Sipple v. Chronicle
Publishing Co., 154 Cal. App. 3d 1040, 201 Cal. Rptr. 1065, 1984).
The newsworthiness standard is intriguingly broader
than even the parallel defamation test. If a person claims to have been libeled
by the press, her burden of proof is largely determined by whether she is a
public figure or a public official, in which case she must prove something
close to intentional falsity with convincing clarity (New York Times v.
Sullivan, 376 U.S. 254, 1964). If she is a private individual, however, she
need only prove negligent behavior by the press, and need prove it only by the
lower standard of preponderance of the evidence (Gertz v. Robert Welch, Inc., 418
U.S. 323, 1974). Yet if the claim is one of invasion of privacy
for the unwanted disclosure of embarrassing private facts, the plaintiff's
claim is barred by the newsworthiness principle regardless of whether she is a
public figure or a private individual. Not only is former President Bill
Clinton barred by the newsworthiness principle from legally objecting to the
publication of the facts that he cheats on his wife and cheats at golf, but so
too, as in Oliver Sipple's child prodigy case, are the claims barred if an
otherwise obscure individual becomes involved in an event of newsworthy
interest.
The greater protection of the press against privacy claimants than against defamation claimants likely
reflects the fact that the privacy plaintiff is essentially
objecting to the publication of accurate information, and is in addition
claiming no appropriation of anything of commercial value. When so described,
the free speech implications of the issue become more apparent, and indeed the
few Supreme Court cases dealing with privacy
claims--usually (except for Zacchini) cases in which a victim of a crime seeks
to keep his or her name and other facts out of press descriptions of subsequent
proceedings against the perpetrator--have progressively narrowed the scope of
the privacy rights while they have progressively
insisted on the press's First Amendment rights to publish accurate information
of public interest, regardless of the consequences to the individuals
unwillingly brought into public view.(FN7)
THE JOURNALISTIC CONSTRUCTION OF PRIVACY
Although it is easy these days to focus on the
electronic and cyberspace dimensions of our changing informational lives, it is
worthwhile recalling that Justice William Brennan was making his point about
all of us being public persons not in the context of changing information
technology, but instead in the context of changes in our conception of public
physical space, and changes in the actual practices of journalism.(FN8) If, so
he supposed, the media was becoming more aggressive in what it reported and
what it did not, legal rules aside, then this social
fact was relevant in determining the extent to which so-called private
individuals should be able to bring lawsuits based on what was said about them
when they were involved in public events.
It is a mistake to think that all or even much of this
is attributable to law. Just as vast differences between American and
Australian media law over-predict differences between American and Australian
media,(FN9) so too is it a mistake to attribute too much of journalistic
behavior to legal incentives.(FN10) Although I will return to the law in the
following section, here I am concerned instead with the legally unmediated
effect of press practices in general. Consider, for example, the widespread
historical practice by American political journalists of not publishing
information about the sexual and alcohol-related behavior of public officials
and public figures. Even though the publication of such information was plainly
legally protected, and even though many voters would have used such information
in making their voting and other decisions, the rules of the game kept such
matters from public view. Starting with Senator Gary Hart in 1988, and probably
not finishing with President Clinton, the rules have changed, and public
officials no longer have the expectation of privacy with
respect to sex-related or alcohol-related behavior that they enjoyed before the
late 1980s. Unlike President John F. Kennedy, President George W. Bush will in
2003 have no expectations of privacy, reasonable or
otherwise, with respect to sexual behavior with a woman not his wife,
regardless of where that behavior occurred.
This is not the place to discuss whether the change I
have just described is for better or for worse.(FN11) The point is only that we
have witnessed a substantial change in what a class might reasonably have
expected, and that change is largely a consequence of legally uninfluenced
change in journalistic behavior. Nor is there any reason to believe that the
phenomenon is restricted to public officials and public figures. Insofar as
similar changes in journalistic mores and journalistic practices make it more
likely that ordinary people will see their pictures in the newspaper, more likely
that ordinary people will be approached by a journalist in the immediate
aftermath of a tragic accident, and more likely that ordinary people who are
the victims (or perpetrators) of crimes will be described in some detail in the
press, then it is more likely that people's understanding of what privacy is will be influenced as well. And this is not just a
matter of people becoming psychologically or sociologically inured to things
that previously would have appalled them, although this factor is also at work.
Rather, journalistic practices, by changing people's empirical expectations of
the space that is theirs alone to control, have also changed, in what is
ultimately a conceptual and not empirical way, their understanding of just what
privacy is.(FN12)
CONCLUSION
Although technological changes and journalistic
practices influence our understanding of what privacy
is, my main point in this paper is that law does not just stand by as an
innocent observer. Especially in a law-soaked society like that of the United
States, our social and cultural practices, our
institutions, and our conceptual understanding are highly influenced by the
law.(FN13) Law creates possibilities, conceptual, institutional, and empirical,
and extinguishes them. Law can mold and remold our understanding of the world,
and in the United States the First Amendment is a large part of the legal
environment. In the United States many people understand incitement to racial
hatred as a free speech issue and not as a crime, as an issue of communication
and not as an issue of equality, largely because of the way in which the First
Amendment has shaped our practices of cultural categorization.(FN14) Similarly,
Americans increasingly categorize hostile environment sexual harassment as a free
speech issue--although they did not merely a few years ago, largely because of
the salience of the First Amendment and its doctrines.(FN15)
In much the same way, we can see the distinct
possibility that the law of privacy informs our
conception of what privacy is in ways different from the
effect of law in other areas. Our conception of what a horse is remains largely
untouched by equine law, and so too with the law pertaining to rivers, food,
and chemicals. In all of these cases the law operates on a prelegal world, and
although the law may affect that world, it is unlikely to affect our conceptual
understanding of what that world is all about. Not so, however, with privacy. Although the concept of privacy
does have a moral, social, and philosophical prelegal
existence (and in this respect differs from the First Amendment, which does not
have a prelegal existence), a great deal of our understanding about the concept
of privacy appears influenced by judicial decisions
invoking the right to privacy,(FN16) and by legal
categories (including the common law tort of invasion of privacy)
that inform our language and our practices of categorization. The person in the
street might think of elephants and rivers without thinking of the law, but
that same person is unlikely to think of privacy without
thinking of the right to privacy and invasion of privacy, and the intrusion of these legal terms and legal
ideas makes it far less likely that a widespread understanding of the concept
of privacy can exist without being created and
re-created by the law itself.
If this is so, our conception of privacy
is likely to be as influenced by legal change as it is by changes in technology
and changes in journalistic practices. As courts and legislatures identify as privacy violations concerns that would not previously have
been so categorized, this will likely inform public understanding of the idea
of privacy itself. In a world in which the law is
especially important and especially salient, those who have the power to make the
law--legislatures, judges, administrative agencies, and, occasionally,
authoritative commentators on the work of legislatures, judges, and
administrative agencies--are likely to be the ones who have a disproportionate
power over our conceptual apparatus in those areas in which the concepts have
at best a thin prelegal existence.(FN17) As a largely socially constructed
concept, privacy is particularly at the mercy of
society's constructors, and in the United States at least, law is one of the
most important of our constructors.
The claims of social
construction are important, but cannot be pressed too far. That privacy is socially constructed does not mean that it is not
subject to normative critique and evaluation, nor does it mean that privacy is immune to legal and political influence. But once
we understand that privacy, arguably unlike justice,
utility, and other moral primaries, and certainly unlike rabbits, tulips, and
other natural kinds, is largely a function of a socially constructed and socially
contingent way of organizing the world, we can understand as well that this social construction is as variable as the forces that create
it. And since we now live in a world in which changes in law, changes in
journalistic practice, and, most of all, changes in technology are
accelerating, we consequently live in a world in which the very forces that
have constructed the right to privacy are changing as
quickly as anything we know. One approach to all this--an unfortunately common
one--is to rush to the barricades and guard against intrusions to our privacy. But, as I hope to have shown here, the barricades
themselves are made of the same material as the forces that are alleged to
threaten them. As a result, there is something strangely circular and strangely
anachronistic about contemporary fears regarding our privacy.
Those fears may be real, but insofar as those fears are expressed in terms of social understandings that are themselves changing, the fears
may turn out to be as short-lived as the technologies that are thought to
threaten them. And insofar as those fears presuppose the independence of privacy concerns from free speech concerns, we may come to
discover that the role of free speech as American cultural icon, with
influential advocates in both the courts and the press, will turn out to limit
the still developing conception of privacy in ways that
are too rarely recognized.
* An earlier version of this paper was presented at the
Medill School of Journalism, Northwestern University, on April 6, 2000.
FOOTNOTES
1 Warren and Brandeis (1890): 195, quoting Thomas Cooley, A Treatise on the Law
of Torts, 2d ed. (1888): 29.
2 Abrams v. United States, 250 U.S. 616, 630 (1919) (Holmes, J., dissenting).
3 Especially in the context of this essay, in which I treat public
understanding as being as important as formal legal doctrine, the distinctions
between freedom of speech, largely the right of individuals and private
associations (and increasingly of corporations not themselves in the speech
business), and freedom of the press, largely the right of the institutionalized
media, are important. Nevertheless, the repetition of "freedoms of speech
and press" is infelicitous, and from hereon I will use one or the other to
designate both unless the context plainly demands a distinction. For better or
for worse, the conflation accurately reflects American First Amendment
doctrine, in which the press receives no rights under the Press Clause that all
speakers, including the press, get under the Speech Clause. See especially
Chief Justice Warren Burger's concurring opinion in First National Bank of
Boston v. Bellotti, 435 U.S. 765 (1978). See also Lange (1975): 77 ff. and
Clark (1991): 921.
4 See Prosser (1960): 383.
5 See Felcher and Rubin (1979): 1577.
6 A & M Records, Inc. v. Napster, Inc., 2000 WL 1182467 (N.D. Cal., August
10, 2000). See also Universal City Studios, Inc. v. Reimerdes, 2000 WL 1160678
(S.D.N.Y. August 17, 2000).
7 See, for example, Florida Star v. B. J. F., 491 U.S. 524 (1989); Smith v.
Daily Mail Publishing Co., 443 U.S. 97 (1979); Cox Broadcasting Corp. v. Cohn,
420 U.S. 469 (1975).
8 Although he did not say so, it is not unreasonable to suppose that Justice
Brennan was thinking not only of defamation, and not only of privacy,
but also of (then) recent changes in First Amendment doctrine marked by cases
such as Cohen v. California, 403 U.S. 15 (1971). If the "shell" with
which one surrounded one's self was becoming more permeable with the
possibility of affront, offense, and verbal assault of the kind protected in
cases like Cohen and pending cases like Gooding v. Wilson, 405 U.S. 518 (1972),
then it was not unreasonable for someone in Justice Brennan's position to
suppose that the increasingly permeable shell provided less of a protection for
personal privacy in public space.
9 Although Australian defamation law, in contrast to the American, has
historically been both well used and among the most press restrictive in the
English-speaking world, the actual content of the Australian press, in terms of
the "wide-open" and "robust" criticism of government and
officials (New York Times Co. v. Sullivan, 376 U.S. 254 (1964), is strikingly
similar to that of the American press. See generally New South Wales Law Reform
Commission (1993).
10 At least some journalists and editors, for example, claim that their
publication decisions are largely uninfluenced by considerations of defamation
law. See Anderson (1975): 422; Hollander (1989): 257, 258 n. 3; Smith (1983):
87.
11 For the record, I believe it more for the better than the conventional
wisdom supposes, partly because I think that journalistic covering up of
information that some voters would have thought relevant to their voting
decisions is more for the worse than the conventional wisdom believes. See
Schauer (2000a).
12 There is an interesting issue here, and with other First Amendment-related
reporting as well, of journalists' ethical responsibilities when reporting on privacy issues. Given that individual privacy
and freedom of the press are often thought to be in conflict--see Edelman
(1990) and Clark (1991)--much of the reporting on privacy
issues will involve, whether explicitly or implicitly, reporting on free press
issues as well, issues in which the reporters, the editors, the publishers, and
the newspaper (or magazine, or radio station, or television station, or
whatever) have strong views, and are themselves interested parties. If a
reporter for the New York Times is ordinarily expected to recuse himself or
herself when the issue on which she is reporting is one in which she has
especially strong moral or political views, and to identify any potential
conflict of interest, then what are the implications for this when reporters
are reporting on issues centrally about, or touching on, issues of freedom of
the press, issues on which reasonable people often disagree, and on which there
are often two sides (especially with privacy versus free
speech conflicts), but in which journalists are more uniformly on one side than
the other?
13 See, generally, Gordon (1984).
14 See Schauer (1991).
15 See Schauer (2000b).
16 Especially decisions such as Roe v. Wade, 410 U.S. 113 (1973), and Griswold
v. Connecticut, 381 U.S. 479 (1965). See Gerety (1981).
17 There is also the interesting phenomenon by which influential public
understanding of what the law is may diverge from the formal or technical
understanding of what the law is. See Ellickson (1991).
REFERENCES
American Law Institute. Restatement of Torts (Second).
1967.
Anderson, David A. "The Economics of Libel
Litigation." Texas Law Review, 53 (1975): 422-71.
Clark, Terence J. "When Privacy
Rights Encounter First Amendment Freedoms." Case Western Reserve Law
Review, 41 (1991): 921-28.
Edelman, Peter B. "Free Press v. Privacy:
Haunted By the Ghost of Justice Black." Texas Law Review, 68 (1990):
1195-1211.
Ellickson, Robert C. Order Without Law: How Neighbors
Settle Disputes. Cambridge: Harvard University Press, 1991.
Felcher, Peter L. and Edward L. Rubin. "Privacy, Publicity, and the Portrayal of Real People by the
Media." Yale Law Journal, 88 (1979).
Gerety, Thomas. "Doing Without Privacy."
Ohio State Law Journal, 42 (1981): 143-44.
Gordon, Robert W. "Critical Legal Histories."
Stanford Law Review, 36 (1984): 57-126.
Hollander, David A. "The Economics of Libel
Litigation." The Cost of Libel: Economic and Policy Implications. Eds.
Everette Dennis and Eli Noam. New York: Columbia University Press, 1989.
Lange, David. "The Speech and Press Clauses."
U.C.L.A. Law Review, 23 (1975).
New South Wales Law Reform Commission.
"Defamation." Discussion paper 32 (August 1993).
Prosser, William. "Privacy."
California Law Review, 48 (1960).
Schauer, Frederick. "Exceptions." University
of Chicago Law Review, 58 (1991): 871-99.
Schauer, Frederick. "Can Public Figures Have
Private Lives?" Social Philosophy and Policy, 17
(forthcoming 2000a).
Schauer, Frederick. "The Speech-ing of Sexual
Harassment." New Directions in Sexual Harassment Law. Eds. Catharine
MacKinnon and Reva Siegel. New Haven: Yale University Press, forthcoming 2000b.
Smith, Barry F. "The Rising Tide of Libel
Litigation: Implications of the Gertz Negligence Rules." Montana Law
Review, 44 (1983): 71-92.
Warren, Samuel D. and Louis Brandeis. "The Right
to Privacy." Harvard Law Review, 4 (1890).
PART VI
PRIVACY AND THE STATE
INTRODUCTION
BY JEAN L. COHEN
THE papers in this section address the topic "Privacy and the State" from three different cultural, social, and political perspectives. Fatos Lubonja offers
chilling testimony to the crippling effects of the loss of privacy
under Albania's totalitarian regime, where he spent 19 years as a political
prisoner. We in the West have certainly encountered important analyses of the
effects of the deprivation of privacy in total
institutions (Goffman) as well as theories of totalitarianism that place the
project of destroying public and private space, public and private autonomy at
the conceptual core of such regimes (Arendt). It is thus astonishing to learn
that no writer in Albania has hitherto analyzed totalitarianism from the
perspective of privacy. "Privacy
in a Totalitarian Regime" fills the gap with a chilling first-person
narrative of the terrible experience and debilitating effects of
state-engineered loss of privacy on ordinary citizens.
Avishai Margalit's "Privacy
in the Decent Society" attempts to provide a philosophical justification
for the privacy protection of human and civil rights
against arbitrary interference. An Israeli professor of philosophy, Margalit
argues that the concept of privacy in the Jewish
tradition is as old as the Talmud, although the right of individuals to
exercise privacy is historically contingent. Presented
in the form of a gloss on article 12 of the Universal Declaration of Human
Rights, Margalit's essay argues that privacy is a
constitutive element of human status as well as an enabling condition for
leading a flourishing life. Indeed, certain deprivations of privacy
amount to an intentional humiliating attack on one's honor and dignity that no
decent society should permit. For the most part this paper restricts its
analysis to arbitrary interference with home and family and the degradation
involved when intimate personal relationships and, especially, intimate aspects
of the body are exposed to public view. A chilling example cited in the text is
the objection by the ultra-Orthodox to a photograph at Yad Vashem, the
Holocaust memorial museum in Jerusalem, that shows naked Jewish women being
marched to their death by Nazi soldiers.
Margalit explains the nature of the complaint, which
should be compelling not only for Jews and religious fundamentalists but for
everyone. The issue is not prudery against nudity but rather the danger of
viewer complicity with the Nazi ritual of using humiliating nakedness to
violate the dignity of these women. I would have preferred that the same
objection were made to the nakedness of the men marched to their death by
Nazis, who were also humiliated in this fashion. This would avoid another
danger: that of reinforcing traditional gender stereotypes, which Margalit's
distinction between "honorific nudity" and "humiliating
nakedness" does not undo if the examples of both are always of women. But
this minor point should not distract the reader from registering the important
clarifications Margalit's essay affords with regard to privacy
analysis.
"On Being Watched and Known," by George
Kateb, gives us an American perspective on the threats to personhood and human
status entailed in the increasingly ubiquitous surveillance of individuals made
possible by new technology. Here the issue is how to develop an argument that
one's dignity and freedom are at stake even if one does not feel particularly
oppressed or abused by camera surveillance or databases collecting personal
information about an individual without her consent or control. Kateb's
strategy is to present a comprehensive picture of what these new powers have so
far achieved and to show how such invasions of privacy
can be used to oppress an entire population, to violate rights (or the rights
of subsections of the population), and to assault human status. For Kateb the
danger is a form of "soft" totalitarianism: by mere virtue of the
fact that we know we are being watched, monitored, registered, tallied, and
assessed, our behavior will be altered as it is meant to be, and our freedom
curtailed. Kateb's analysis certainly should give us all pause and motivate us
to fight to protect our privacy.
PRIVACY IN A TOTALITARIAN REGIME
BY FATOS LUBONJA
MUCH has been written in Albania about the violations
of human rights and freedoms under the totalitarian regime we experienced: the
imprisonment, surveillance, spying, and the coercion the communist state
imposed on citizens, as well as the fear and the brainwashing. But these
phenomena have never been considered inside the framework of the concept of privacy. This is the first time I myself have looked at
totalitarianism from the viewpoint of privacy. To my
knowledge, no other writer or essayist in my country has tried his or her hand
at it. This is simply because privacy as "personal
space," as the right to be alone, as a dimension of freedom, has not
existed as a concept in our culture, which was deeply marked by
totalitarianism.
What initially flowed to my mind when I sat down to
think about this subject and what I was going to write were two moments from my
memories of that time.
The first concerned an inmate of Burrel prison, the
worst jail in Albania and where I spent several years of my own long
imprisonment. The prisoner at Burrel lived his daily life in a room/cell in the
company of 10 other prisoners. His space consisted of the area where he could
put his hay "bed," which was less than 30 inches wide, and also
one-tenth of the narrow corridor at the end of the bed. Close to him was the
other prisoner who had the same amount of space. The same was true of all the
other prisoners in the cell. Because of these conditions, the prisoner was
forced either to sit on the bed for 22 hours or move up and down in the
corridor at the end of the beds under the eyes of the three forms of
surveillance that existed in the prison. The prison command could listen to all
our conversations thanks to microphones planted in the walls. The second form
of surveillance was the one or two spies inside the cell. The third was the
policeman who watched through a hole in the door. We spent the remaining two
hours taking some air outside in the courtyard, using the toilet, and eating
three times a day at the canteen.
When the prisoner wrote to his family, he was obliged
to put the letters in an open envelope and drop them into a box. When he
received letters they also came in an open envelope. When a prisoner was
unlucky enough to suffer an attack of diarrhea at night, the guards did not
even open the door to allow him to go to the latrines. In the presence of many
others, in a bucket kept especially for these cases in a corner of the room, he
was obliged to empty his bowels. The only time he could feel alone was during
the "airing" in the courtyard. Alas, often this time was spent
talking about a personal problem or a political question with a friend. This
sort of life lasted not for months but years.
My second memory belongs to another category of people,
the persecutors of this prisoner: to be more precise, a member of the
all-powerful Political Bureau, the number two man in the country for about 30
years, Prime Minister Mehmet Shehu. His second son, whom I met later in prison,
told me an episode from Shehu's life.
The last wish of Shehu's mother was to be buried in her
native village close to her husband, and she had told Mehmet so. When she died,
Mehmet was making preparations to carry out the promise he had made to his
mother, but on the second day of mourning he met the dictator Enver Hoxha.
Hoxha expressed to Shehu his "desire" that his mother be buried in
the capital city of Tirana in the cemetery lot reserved for the parents of the
leadership. Shehu called a meeting of his family and told his children that the
plan to bury granny in her native village had been canceled because Comrade
Enver had expressed the desire that the parents of the country's leaders be
buried together.
In 1981, Shehu killed himself after Hoxha accused him
of being a foreign agent. His family was banished from Tirana and later his two
sons and his wife were imprisoned. His elder son killed himself. When his
family was forced to quit Tirana, they could not take anything from their home
except their clothes and some books because everything else in the house of a
senior member of the leadership belonged to the state. This included the house
itself, the furniture, the beds, the cars, and even the kitchen utensils.
These two extremes cases, presenting the bottom and the
top of the social stratums of Albanian society, are both
close to zero privacy; they illustrate the saying that
extremes touch each other. These extremes also present two excellent limits
within which we can see the fate of freedom and privacy
of others living a more "normal" life in a totalitarian regime.
BREACHING THE PERSONAL SPHERE
When we think of privacy, we
imagine it as a spherical space, made by concentric spheres, with the
individual at its center. This is the space that a man needs to feel around
himself--a covering just like his clothes--in order to protect his individual
self from others, the state, and his own social self.
For greater detail, we imagine these concentric spheres as more transparent and
less dense in the outer areas, thus allowing more penetration. But they become
more opaque and harder to penetrate the closer you come to the center because
fewer people should have the opportunity to enter and look at what happens to
you.
What was the realtionship of the totalitarian regime
with this space?
It has generally been accepted that it is difficult to
define totalitarianism since it has had different traits and varying shades of
fierceness in various countries. I find the description Raymond Aron made in
Dýmocratie et totalitarism in 1965 very accurate. According to Aron, a
totalitarian regime has the following characteristics:
1) The existence of one party that has a monopoly over
political and government activity;
2) This party is inspired and armed with an ideology
that later becomes the official truth of the state and is also invested with
absolute authority;
3) The ideology is distributed by the state through a
double monopoly: brainwashing (the whole of the mass media--the radio,
television, and the press--is under the orders of the state) and through the
use of force;
4) The nationalization and ideologization of the
economy;
5) The terror and fear of the police and the
ideological terror exercised against every economic and ideological mistake.
If I were to add to these five characteristics, I would
include: the creation of an image of the leader/dictator who was identified
with the party. ("When we say the party, we mean Lenin, When we say Lenin,
we mean the party," read the poem "Vladimir Ilyich Lenin" by
Mayakovsky [1924, translated by the author], and he remained at the rudder of
the entire country to the end of his life because he was considered free from
mistakes.)
In a word, this regime could be defined with the term
party-state. As is clear from Aron's categorizations, we should bear in mind
three important elements that acted on the freedom of the individual and his privacy. One aspect was the intervention to brainwash and
create the new man through ideology. The second is terror and the third
collectivization, which refers not only to the nationalization of private
property but also the forced collective life in general that led to the
dominance of the collective identity over the individual.
IDEOLOGY AND THE NEW MAN
"This generalized, imposed, obligatory lie is the
most horrible aspect of man's life in your country. It is exactly ideology that
in order to survive has to handcuff those who think differently," wrote
Solzhenitsyn in his letter to the senior leadership of the Union of the Soviet
Socialist Republics. One of the most horrible aspects of the intervention of
the totalitarian state on the individual was the intervention of its ideology
on the individual's mind.
Many studies have been undertaken on Marxist-Leninist
ideology. In general, scholars are divided into two groups. Some have treated
it as a religion and have found analogies with the history of religions, while
others have treated it as a peculiar animal, the likes of which they have never
seen in the history of mankind. (This is reminiscent of the debate between
Habermas and the German historians in the 1980s about the Nazi Holocaust.)
When we look especially at the Stalinist period, which
in my country lasted until the fall of the Berlin Wall, we can see that the
fideistic, cultural, and dogmatic aspects of the ideology are so visible that
the comparison with religions--even to images of "medieval" and
"inquisition" Christianity--easily suggest themselves. One of the
closest and most intriguing comparisons I have found is with Gnosticism, or
rather its most perfect example, Manicheism. This is the general scheme of
Manicheism: two principles (good and evil, light and darkness, spirit and
matter) whose mixture has given rise to something bad. Manicheism also posits
three times: the past, when these substances were divided from each other; the
present, when the mixture has been created and continues to exist; and the
future, when the first stage will be repeated. This division also creates a
dualistic geography: the two principles are conceived as two places divided by
a more or less ideal, ever-changing border. Good has made its home in the north
and evil in the south. Thus, we have two deal with two camps in three time
periods.
We find a similar classification in Marxism-Leninism.
Man is born good but private property corrupts his spirit. This is the reason
the present is a combination of good and evil and why Marxism-Leninism's goal
was to create a new man and a new world without private property and all the
evils that derived from it. Two camps were pitted against each other and were
waging this struggle, the East and the West, and the goodness indicator always
pointed East.
Using the religious aspect of ideology to mold the new
man and create a happy future--the likes of which had never been seen in the
history of mankind--was for totalitarianism a very important tool with which to
wield power and brainwash. Seen from this angle, the party itself resembled a
medieval church that took care of the souls of its own members. The dictator
was the saintly father of that church. Children were reared reciting that what
they loved most was the party and Comrade Enver; their parents were urged to
say that their children first belonged to the party and Comrade Enver. The
party had to know everything about the life of the individual; no secrets were
to be kept from the party. Confession was termed self-criticism.
As the teacher of that ideology, the party knew no
bounds. Its duty was to penetrate the life of the individual. Man was to
conceive of himself as a cog in the machine that would save the world from the
evil that private property kept alive.
To help understand the extent to which the individual
became part of the machine, I would like to relate a story by a Chinese writer.
This is one of the many stories that were published in China under the
leadership of Mao Zedong in the 1960s, when Albania and China were close
friends. The story is about a hero who is taking part in a village feast when a
quote from Chairman Mao comes to his mind: "When the people celebrate, the
enemy acts." The hero starts to show vigilance and immediately he spots a
suspicious man carrying a bag. He follows the man and watches him place the bag
under a bridge in the commune. Clearly the enemy wants to blow up the bridge.
But the enemy has seen him and the two start fighting. During the fight the
hero finds himself under the enemy but he recalls another quote from Chairman
Mao: "When the enemy is stronger, you must double your strength."
Immediately after this thought he defeats the enemy and retrieves the bag of
dynamite from beneath the bridge. But the dynamite explodes, wounding the hero,
who is taken to the hospital with serious injuries. The doctors of the hospital
take good care of him. When he opens his eyes for the first time after several
days, his first words are: "Is Chairman Mao in good health?"
However, Marxism-Leninism was not simply a religion,
not even a "laic religion." A formal feature distinguishes religion
from ideology: the structure of the act of faith. Believing is an act that
stands above rational knowledge. Marxism-Leninism presents two characteristics
usually encountered separately but are found closely bound together in that
ideology. It is simultaneously a religion and a theory that has been rationally
reasoned and that purports to be scientifically proved. Thus it also pretends
to satisfy man's thirst for knowledge. Just like Gnosticism, which tried to
explain the stages of the moon using two principles, Marxism-Leninism pretended
to provide a full scientific explanation of history as well as natural and
spiritual phenomena.
As a religion, Marxism-Leninism was better structured
than prejudices, which are pluralistic and confusing; it was also better
structured than the credos that do not require full adherence; it was better
structured than the political programs that have a limited scope and do not
require a rigorous division between the friend and the enemy. As a theory it
differs from movements of thought, which can be systematic and explicit but do
not require the conformity and the absolute consensus of their adherents and,
above all, do not require, generally, an investment of strong affection. In
fact, it is a mutation of both and in this aspect can be considered a single
animal.
This is why Solzhenitsyn, in his letter to the leaders
of the Soviet Union, said that ideology was an everyday reality around which
censors and police mounted their guard against anything that might start a
public conflict with it. Ideology was surmised to encompass the whole of
philosophy, history, and economics, along with literature and the arts. It had
the right to determine the other social or natural
sciences, whose results never ran counter to its conclusions.
The brain was invaded in all its spheres: the moral,
the affective, and the rational. If you engaged in introspection, your thoughts
were violated by ideology. I recall a time in my own youth when my thinking had
led to discover I was an egoistic creature. This ran counter to the moral
propaganda that a good man should hold the collective, the group, the party,
socialism, and the fatherland above all. Then I started to have doubts about my
own self and thought I was a bad man because I was caring for my own self and
was not ready to sacrifice for others--as the party said the proletarians and
the true people did.
I solved this conflict--which I will explain when
discussing survival--but in general the creation of a new man according to a
prefabricated model destroyed introspection. Trying to become what he should
have been according to ideology left man not knowing his own self, since he was
unable to create an interiority in the privacy of his
mind.
TERROR
According to Marxist-Leninist dialectics, the world
progressed thanks to the struggle of the classes, a struggle that was
represented in different systems by different classes. In the capitalist system
the struggle took place between the proletariat, which was the revolutionary
class that fought to eliminate private property because it was the source of
all evil, and the bourgeoisie, which was the reactionary class that wanted to
preserve it. This struggle culminated in the revolution, which was led by the
most initiated section of the proletariat, the communist party. Wherever the
revolution triumphed, the bourgeoisie was repressed, either through the nationalization
of its property, imprisonment, or both.
The ideology said that, just like the revolution,
repression was an indispensable instrument--so much so that it was often called
the continuation of the revolution or the class struggle. It was true the
bourgeoisie had lost power, but evil was still lurking out there in the
bourgeois hangovers clouding the mind of the people and in the existence of the
capitalist world. These enemies did not keep quiet and failed to change their
ways through education. They often dreamt about coming back to power and tried
to recruit and manipulate others. This made them a social
danger: the dictatorship of the proletariat would have to be on guard against
the bourgeoisie and its hangovers. Continuing the class struggle was a means of
carrying the revolution forward even after the setting up of the proletarian
state was established; it provided the ideological justification for the
repression and the terror. This gave rise to a juggernaut of control and
pressure that also saw the rise of a social stratum that
was labeled "reactionaries." The latter were imprisoned and sent into
internal exile and society entered a dynamic that alienated social
relations.
Regime propaganda said people belonging to the
persecuted stratum were enemies only for a given time because they would become
like everybody else in the future. Even the prisons they were sent to were
called "reeducation camps." But these people were in fact to be
annihilated, either in body or spirit. The prisoners were treated barbarously;
they were nothing but a potential dangers to be destroyed by draining their
psychic and physical energies. Getting rid of the bourgeoisie hangover
manifested itself in its most radical form in the treatment of prisoners.
Prisoners were greeted with a maxim coined by an
Albanian interior minister: "One-third of those entering here will be
destroyed physically, one-third will be destroyed psychically, and one-third
will become my spies." The general Stalinist mood considered mercy for the
enemy a weakness, a characteristic forbidden to the communist and the man of
new type. In the Soviet Union, following Stalin's death, this style of
radicalism was softened. But in Albania Stalinism continued to reign supreme.
When Albania split with the Soviet Union, the Albanian dictator, Enver Hoxha,
declared that "accepting ... the class struggle constitute[s] a
demarcation line dividing the true communists from the Khrushchev
revisionists" (Enver Hoxha, speech to the Fifth Congress, 1967). The more
difficult it became to hold on to power because of economic failure, the more
ideology became an "unbelievable belief"--and the more so it became
an imperative to expand the class struggle and lash out at the enemies of the
class.
Shortly after the revolution, nobody spoke of the class
struggle within the ranks of the party. As time went on, the dictator Hoxha
said that the enemy might also be acting within the party itself. In the 1970s
widespread purges were carried out in the party. In 1975, in a speech on
"Further Revolutionizing the Life of the Party and the People's
Power," Enver Hoxha said: "The modern revisionists and the
reactionaries call us Stalinist intending to offend us. But in fact this is an
honor. To be a Stalinist means that the enemy never slandered you, never
defeated you."
The idea of "sweeping away the bourgeois
hangovers" meant the intervention of a broom wherever these remnants
showed up. But first they had to be detected before they could be swept away.
That is why the system of surveillance and spying grew in size. It often
penetrated inside families, with partners spying on each other. Listening to
foreign radio stations, especially to foreign music like the songs of the
Beatles and the Rolling Stones, was believed to lead to degeneration and was
prohibited. Fearing punishment, parents prevented children from listening to
foreign radio stations; if they did not obey parents complained to the police
that their children, under the influence of their friends, were listening to
foreign broadcasts. Relations between parents and children became alienated
because the parents, who had begun to have their doubts about the regime, could
not speak openly to their children, fearing that they would not keep their
mouths shut and that the Sigurimi, the notorious communist secret service,
would hear about their thoughts.
The idea that the state could intervene at any time in
your private life and lash out at you because your thoughts deviated from the
teachings of the party accompanied people at every step. I was arrested in 1974
because the state security service found my university diaries and their
contents were judged to contain agitation and propaganda against the regime.
But those diaries had never been published and no one other than myself had
even read them. Nevertheless, I purposely hid them because I knew that I might
be arrested if they were found. Indeed, those who kept diaries exercised a
great deal of self-restraint if not self-censorship; the thought that their
diaries might fall into the hands of the Sigurimi hovered over every word that
was written.
Enver Hoxha's warning that "Whoever raises a
finger will have his hand cut; whoever raises a hand will have his head
cut" clearly captured what punishment one could expect and the fear one
lived in. It was another constant harassment that diminished freedom and privacy.
COLLECTIVIZATION
The life of a person under communist totalitarianism
cannot be understood without considering the ever-present collective as the
most important aspect of understanding one's self. At an early age people were
prepared for collective life through a powerful propaganda that glorified
collective assets and demonized the egoism deriving from private property,
which was deemed the historical source of evil and immorality. Mayakovsky's
poem about Lenin figured prominently and was taught to students at the high
school level. Textbooks instructed that the verse be learned by heart in both
Russian and Albanian. Some of its lines read: "One means zero and empty /
... but if the little men unite in a party / then you enemy surrender, die,
breathe your last breath" (author's translation).
Let me tell you a detail from the day of my first
arrest. I did not know that the Sigurimi had found my writings, which, as I
noted, I had hidden. The first question the investigators asked, their faces
gloomy, was: "What are your political convictions?"
"This question is like a bomb to me," I
responded, faking astonishment.
"We really wish it could fall like a bomb on
you," they retorted.
Then I answered instinctively, to defend myself:
"My convictions are the same as those of my friends." I expressed
wonder at how they could ask such a question because everyone should know that
my political outlook could not be anything but what the party progagated to
Albania's youth. The answer with which I wanted to save myself was the clue to
the great truth about the identity of the individual under totalitarianism. A
man should have felt he was part of an organization that functioned as a whole,
that was ordered and controlled by the party, and his collective identity
should have totally dominated his individual self.
We should not forget that the Marxist-Leninist ideology
as the theory of building a world without exploiters and exploited and
simultaneously an instrument of power had been intertwined with elements of the
nationalist ideology. "Salvation" from the major capitalist evil that
it preached had been combined with the salvation of the nation from the imperialists
and the colonialists. We have seen in many countries ruled by Marxist-Leninist
parties the paradoxical marriage of Karl Marx with Johann Herder. While Marx
said that proletarians had no country, Marxism-Leninism preached the salvation
of the nation from imperialism and colonialism. Seen from this perspective, the
collective identity of the individual was doubled, inspired at the same time by
the symbols of communism and those of nationalism. Individual actions, wishes,
and thinking could gain legitimacy almost exclusively only within the
collectivist dimension. The line of the famous Hungarian romantic poet Shandor
Petofi--"for love I give my life, for the homeland I give my
love"--was modified, adding the sacrifice of life and love for socialism,
the revolution, the party, and the leader.
This molding was also closely linked with the economic
system, which was exclusively based on the state property that had been created
from the nationalization of major industries and later the collectivization of
agriculture and trade. Economic dependency from collective work, which was
called working in the state sector or in the cooperative, was of unimaginable
proportions. People could receive wages only from work in the state sector, and
the wages from 15 days of work were so small that they could support a single
person for only a month at most. This resulted in the fact that no one (except
the privileged family members of the nomenklatura) could choose his or her job.
Also, as in the Soviet Union, the creation of common buildings (komunalka),
which was carried out partly because of population growth but mainly to cope
with the influx of villagers to recently industrialized towns, also helped to
destroy private life.
Even morning exercises were done collectively. When
someone made a mistake (other than those mistakes that were punishable by jail
terms), he was required to carry out a self-criticism in front of the
collective.
SURVIVAL
Could people survive this repression and multifaceted
intervention by the state? Or, to state it better, what kind of man would be
the end product? Undoubtedly, we are dealing with a society and an individual
who, compared with an individual growing up in a democratic society, would lack
various attributes, such as introspection, the culture of individuality, a
critical spirit, confidence in his own self, which often assumes the form of
replacing old idols with new idols, a culture of communication, and the ability
to create a community.
These are only some of the consequences. We could
discuss these extensively as well as how they have manifested themselves in the
postcommunist transition. I want to discuss briefly what helped people living
under totalitarianism avoid total alienation, not losing totally the mental and
spiritual ability to feel and conceive of freedom and privacy.
During the 1960s in Albania, we heard a joke that was
said to have been imported from the Soviet Union. It was about someone who was
going to become a member of the party.
The gentleman sits down to undergo a test to be
accepted into the party. After answering satisfactorily the ideological and
political questions, he was told that the moment had come to "answer very
delicate questions."
The first question was: Do you like to travel?
Yes, the candidate answered.
Ah, then, if you would like to become a party member,
you should forget about that.
"I will forget about it," the candidate said
quickly.
"Do you like to drink?"
"Yes, sometimes."
"Ah, a party member should not drink."
"I will forget about it right now," the
candidate rushed to admit.
"Do you like women?"
"Hmm, yes."
"Ah, forget about them."
"Of course, right now."
"Now comes the final and decisive question: Are
you ready to give your life for the party?"
"Of course I am because I do not need it any
longer."
The birth of this joke and its distribution throughout
the socialist camp showed that people preserved their common sense and
distinguished between what was normal and natural and what was not. What helped
them to do that?
FAMILY AND LOVE
One of the means of protecting the individual's privacy was the family, which, despite the merciless
intervention of the state, remained an important shelter for the individual.
The totalitarian state could not eliminate the institution of the family, an
institution that implied two important loves: love between husband and wife and
love between parents and their children. As I discussed earlier, the
party-state tried its best to make people hold love for the party above any
other sentiment. These loves played a double role. They offered the individual
a refuge from the hostile world surrounding him. But the totalitarian state
knew this very well and tried to exploit it. The state preferred that people
who discharged high-level duties to be married, and being married was a must
for people who worked in embassies abroad. The children of those who worked in
the embassies were kept in Albania. This was done so that they lived under another
threat.
However, the government's threats sometimes failed to
carry the message home. In my long experience in jails and prisons, I met
thousands of prisoners. Their families had abandoned some of them under
pressure. But most had preserved the relationship. When my father was condemned
as an enemy of the people (this was the reason the secret police started
watching me until they found my diaries and I was arrested), my mother was a
member of the party. The police asked her to divorce her husband to show her
loyalty to the party because the party was more important to her than her
husband. She did not divorce my father. She made the point that she had entered
the party thanks to her own efforts and struggle and not because of her
husband's. She was, of course, expelled from the party and sent into internal
exile. However, they could not declare that the official reason for her
expulsion was her refusal to divorce her husband. The motive for her expulsion
consisted in some bourgeois hangovers that she had manifested during her life
as a party member. One of them was that she had preferred to stay in Tirana in
the 1950s with her infant son and not accompany her husband to a remote town
(Kukes) where the party had sent her husband to work.
There were a lot of people like my mother.
KNOWLEDGE
One extremely important aid in surviving life in an
extremely isolated country like Albania was the fact that contacts with the
world and democratic culture could not be severed totally. I mentioned earlier
the destruction of introspection by ideology and that I solved my conflict with
the term "egoism." My solution came through my contacts with
literature and the foreign newspapers that entered Albania one way or another.
Specifically, my solution came while reading a French author whose name I have
unfortunately forgotten; he was asked what was the most important feature of a
man. He answered, "Egoism tempered by a good education." Today I have
my own reflections on this answer but at the time, being quite young, finding a
positive meaning for a word that had been so demonized by communist propaganda
was very important in freeing myself of the nightmares I experienced while
discovering egoism in my own self.
When we talk about light penetrating the totalitarian
isolation, we must keep in mind that Marxist-Leninist ideology, despite
speaking of itself as the apex of knowledge and the last religion of mankind,
claimed it had a legacy. Culture that was deemed classical was not eliminated
from the curricula. In dividing the world into good and evil, Marxist-Leninist
philosophy had separated from the history of thinking, literature, and the arts
that legacy it considered its forerunner and had included it in school
curricula and the cultural and artistic life of the country. For example, the
Greek philosophers were divided into the materialistic and the idealistic.
Marxism considered itself the successor to materialism, so philosophers such as
Democritus, Aristotle, and Epicurus could be read and taught as the forerunners
of Marx. The French bourgeois revolution was considered a step toward the
proletarian revolution; its inspirers, such as Voltaire and Rousseau, were
allowed to be translated and read in their capacity as forerunners of the ideas
of the proletarian revolution. The romanticism of the nineteenth century was
both revolutionary and reactionary, so we could read Victor Hugo but not
Chateaubriand. Although the Gospels were forbidden, the Greek classical writers
and authors like Dante, Shakespeare, Goethe, and Tolstoy were translated and
published by the state publishing houses. Despite the misinterpretations, those
who could read between the lines helped themselves to develop an internal
spiritual world.
COURAGE
"I don't care!" When Albanian dictator Enver
Hoxha died it was a remarkable day for Albanians. The number of Albanians
expecting this day to be the day of salvation was very large. But their joy was
muted. People were afraid to express that feeling loudly. They gathered at
friends' houses, drank a glass or two, but everything happened in silence and
they communicated only with their eyes. Even in the hard-labor camps, police
and their own friends closely watched the prisoners. The only place where
people celebrated was the jail at Burrel. A prisoner living in the cells of
Burrel knew that he was being watched throughout the day. Many prisoners took
care not to show themselves but despite that Burrel was the only place where
the death of the dictator was celebrated with loud voices. These people, who
knew by now that they had plunged deep into the "pool of enemies" and
were drenched to the bone, did not care about being watched. They did not feel
alienated by the idea that there were attentive eyes and ears recording
everything that they said and did in that room. Instead, they continued to
express their thoughts freely and in a challenging manner. They were voicing
their ideas just as they were rejoicing at the death of the dictator.
This category of people was small but they played a
role in saving what could be saved. Whenever I think of the problems of privacy--and not only in a dictatorship--I recall the courage
of those prisoners to remain themselves even though they were quite conscious
that their actions were being closely watched by a state that hated them.
REFERENCES
Aron, Raymond. Dýmocratie et totalitarism. Paris:
Gallimard, 1965.
PRIVACY IN THE DECENT SOCIETY
BY AVISHAI MARGALIT
INTRODUCTION
IT is not justice that brings us into normative
politics, but injustice. Not equality, but inequality; not happiness, but
suffering; not dignity, but humiliation. And so it should be. Negative
politics, the politics that counters evil, should come before positive
politics, which promotes good. There is more urgency, if not importance, in
fighting evil than in furthering good. Moreover, there is greater clarity and
agreement in identifying evil than in recognizing and agreeing on the good.
Thus urgency and epistemic priority are good reasons to adopt negative politics
over positive politics. And so it is with privacy.
It is not that easy to say what is so great about privacy. It would be easier, I believe, to say what is bad
about invasion of privacy. For one thing--a very bad
thing indeed--the invasion of privacy can be humiliating.
My concern with the humiliating in the invasion of privacy
is an essential element of my general concern with and advocacy of a
nonhumiliating society.
The nonhumiliating society is a combination of two
distinct yet related ideas. One is the idea of the decent society: a society
whose institutions do not humiliate those who are dependent on them. The second
is the idea of the civilized society: a society whose members do not humiliate
each other. An invasion of privacy can be humiliating on
two counts: humiliating invasion by institutions, and humiliating invasion by
individuals. It can, of course, be both: Linda Tripp, for example, working
first on her own as an individual and then doing her part on behalf of the
institution of the special prosecutor. Although the title of my paper is "Privacy in the Decent Society," my scope is wider: privacy and the nonhumiliating society. That is, a society
both decent and civilized.
ARTICLE 12
We should distinguish between two tiers of privacy: privacy as a constitutive
element of human status, and privacy as a constitutive
element of human flourishing. One is concerned with human life, the other with
a good human life. On my distinction, human rights should codify what is
involved in the idea of the status of a human being. Civil rights should
include enabling conditions for leading a flourishing life. The Universal
Declaration of Human Rights does not make the distinction between basic status
and flourishing. The right to join a trade union (article 23) is on my account
an enabling condition for flourishing, whereas article 12, which deals directly
with privacy, relates to the basic status of being
human.
Privacy belongs to both levels:
it should be part of human rights and part of civil rights. Article 12 of the
Universal Declaration of Human Rights pronounces "No one shall be
subjected to arbitrary interference with his privacy,
family, home or correspondence, not to attacks upon his honor and
reputation." Article 12 is ambiguous. On one gloss privacy,
or rather violation of privacy, is explicated by
arbitrary interference in family, home, and correspondence, and such arbitrary
interference counts as an attack on one's honor. On another gloss, arbitrary
interference in privacy is on par with other interferences,
such as interference with home, or family, or correspondence. I hold that the
first gloss is the better gloss. In a sense, what I shall try to provide is a
gloss of article 12 along the first reading, according to which privacy is strongly associated with family, home, or
correspondence, and all these are associated with possible attacks on one's
honor and reputation.
THE MORAL PENDULUM OF PRIVACY
The pendulum of interference in privacy
on moral grounds goes back and forth. It is very much like the pendulum of
intervention in the internal affairs of a sovereign state on moral grounds. The
analogy between the microethics of interference in privacy
and the macroethics of intervention in sovereignty sheds light, I believe, on
article 12, that is, on the relation between privacy,
family, and home.
In the years following World War II, a process swept
the world whereby metropolitan countries handed authority to their dependent
colonies to become sovereign states. Decolonization was the term used to
describe this process. The fear of neo-imperialism, of the old countries
regaining hold of their former colonies, was such that any hint of intervention
for whatever reason and of any kind was bitterly resented. This attitude
applied even to cases in which, under the shield of sovereignty, gross
violations of human rights took place by the newly founded states. As the
bitter memory of colonialism fades away and the harsh reality of terror and
abusive power in many former colonies becomes apparent, calls for interventions
in the so-called internal affairs of sovereign states on moral grounds become
more vocal. The moral pendulum swings from sanctification of sovereignty to
sacrosanct human rights, even with the consequence of transgressing sovereignty
in the name of defending human rights. The fear of using moral reasons the way
missionary religious reasons were used--as a pretext for neocolonialism--is
still a justified fear. But it should not deter us from viewing pleas for
interventions on an individual basis, rather than rejecting them all out of
fear that they are mere pretexts for neocolonialism. This is the macroethic
swing between sovereignty and moral intervention.
"A man's house is his castle" is a battle cry
for total immunity from intervention in the private sphere, the way sovereignty
was meant to provide total immunity against external intervention in the
affairs of the state. But if one's home is one's castle, then in many such
castles many small-time tyrants rule over their families--almost always men.
They reign as heads of families. This criticism of privacy
as a shield for family tyranny goes under the slogan that the private is
political. Insightful as this criticism is, it takes its toll. It undermines privacy, even when and where privacy is
needed. The women's movements gave currency to the idea that the private is
political and hence justified outside intervention in privacy
on moral ground. I believe that the Clinton-Lewinsky affair swings the moral
pendulum back to the side of privacy. And that is
perhaps why we are all here talking again about privacy.
THE CORE BASIS
Crossing the border of a sovereign state is a
well-defined act; transgressing privacy is not. Yet the
current metaphor for privacy, "I need space,"
means "I need privacy." And to a large extent,
the politics of privacy is the politics of space. The
space is the home. It provides a private retreat from the outside world.
At home we are supposed to feel free, in the sense of
behaving spontaneously without external constraints. In the contrast between
nature and culture, the private home is on the side of nature, whereas the
public space is on the side of culture (but when the home is contrasted with
the outside simpliciter, home becomes culture and the outside is nature).
In the privacy of the home we
let ourselves behave more naturally, in the sense of less self-consciously,
that is without feeling uncomfortably conscious of ourselves or of the
observation of others. It does not mean that in privacy
we are alone. It means that the gaze of those who belong, with us, to the home
(paradigmatically, the family), is not supposed to make us feel ill at ease. On
my gloss, arbitrary interference in privacy through
interference with home and in family is a severe form of blocking our freedom.
Some forms of constraining freedom are acts of humiliation, a denial of human
status. I shall come back to that.
My interest in privacy is not an
interest in its definition or in delineating its boundaries. It is, rather, in the
core cases of its violation. The core cases I am interested in are those that
involve unlicensed observation at one's home and self: the "unwanted
gaze," to borrow Jeffrey Rosen's felicitous expression. My aim is to see
if intrusion in the core cases hurts one's status as a human being, and hence,
humiliates.
About privacy they were never
wrong, the Old Masters (to misquote Auden). They knew a great deal about
violation of privacy in one's home, indeed in one's home
garden. The apocryphal story of Susanna and the elders provided them with ample
opportunity to manifest their deep understanding of such violation. Altdorfer,
Veronese, Lotto, Tintoretto, Rubens, Van Dyck, Rembrandt, Corint, and
Kokoschka--to mention but some--vividly depicted the unwanted gaze of the two
old men directed at virtuous Susanna. Observing her alone and naked in the
walled garden, the two elderly men plot to seduce Susanna by blackmailing her.
But the Old Masters concentrated on the peeping part, on the violation of
Susanna's privacy, and not on Susanna's purity.
Lady Godiva, unlike Susanna, rode naked through the
crowded marketplace of Coventry. Peeping Tom let down his window and looked
out. His behavior was indecent and, according to the legend, he was punished
for it by being struck blind. But his gaze, unlike the gaze of the elders in
Susanna's story, was directed at public space. Still, "peeping Tom"
became an expression to describe someone who directs his prying and unwanted
gaze at people's private home, and Peeping Tomism became a paradigm case of
intrusion not by an institution but by an individual.
The Susanna story was a good occasion for the Old
Masters to depict a beautiful woman in the nude. But there is an important
distinction here between nudity and nakedness. Nakedness expresses
vulnerability; nudity, beauty. Ingre depicts nudity, Lucian Freud, nakedness.
In the various Susanna representations, we become privy to the ambiguity in her
situation, which is at the core of violation of privacy
by an unwanted gaze. We, the spectators, see her nudity, but the lascivious
gaze of the elders turns her nudity into nakedness. Her flesh turns into meat
and she becomes a pure object of lust. The elders' unwanted gaze is indecent,
not just in the conventional sense of not conforming to the status of
propriety, but indecent in the strong sense of humiliation.
A few years ago the ultra-Orthodox people in Israel
complained that Yad Vashem, the Holocaust memorial museum in Jerusalem, was
showing naked Jewish women being marched to their death by Nazi soldiers. The
photograph is a manifestation of the Nazi pornographic blend of humiliation and
extermination. For the ultra-Orthodox in general there really isn't a
distinction between nudity and nakedness. Every exposure is nakedness: it puts
people in the position of animals and thus humiliates them. But the complaint
about the picture should resonate with us, who distinguish between humiliating
nakedness and honorific nudity. The picture in question is definitely a case of
terrible humiliation; stripping those women of their clothes was a deliberate
act of stripping them of their dignity. The issue for us is to sort out whether
by our gaze at the picture we take part in the Nazi ritual of humiliation, or
whether it is instead a way to dignify the memory of those women by identifying
with their plight.
Whatever the answer, it is clear that privacy
has a great deal to do with what euphemistically but aptly is called private
parts. Those parts are the subject of great human vulnerability, and thus are a
potential source for acts of humiliation. Indeed, the private parts of Bill
Clinton and Monica Lewinsky, as paraded by the peeping Kenneth Starr, have a
great deal to do with their humiliation in the strong sense of human degradation,
and not just in the sense of acute social embarrassment.
THE POWER OF GAZE
Who gazes at whom and how: this has a great deal to do
with power relations. God sees everything and everyone, but no one can see Him.
He is almighty. To see and to control how you would be seen is power. Secret
services know that the minute they are exposed, they lose power and the magic
vanishes. In many movies about the Marines there is the clichý of the
sergeant-major inspecting the platoon: he stands in front of a new recruit,
moving his eyes over his body from top to bottom and back and forth while the
new recruit has to fix his gaze and not inspect the sergeant in return. The
asymmetry in power is strongly suggested by the asymmetry in gaze.
No one more than Foucault seized on the importance of
the eye of power. He made Jeremy Bentham's neglected idea of the Panopticon
into a formative metaphor: the visibility of the individual under the
centralized system of gaze. The Panopticon puts the inmate under the constant
gaze of the overseer. To the eyes of the overseer there are no opaque zones,
not even in the darkness of the dungeon. In short, no privacy
whatsoever. The Panopticon should not be viewed just as an exercise in the
technology of power, but as the ultimate denial of privacy,
of putting an inmate in a cage. It is in fact worse than the situation of an
animal in a zoo, because the animal can at least stare back at its viewers. Not
so in the Panopticon. Loss of privacy is equated with
complete loss of the protection from an unwanted gaze. In the Panopticon, the
overseer plays God. He sees all without being seen. The inmate stands at the
other pole to God, that is, he is seen without being able to see. This is a
case of deep, animal-like humiliation. The stress in my contrast is not so much
on the overseer/demi-God versus the vulnerable inmate, but on the Panopticon
versus home. Home, the proverbial home, is the locus of privacy.
It provides protection from unwanted gaze.
FAMILY AND PRIVACY
In article 12 of the Universal Declaration of Human
Rights, we find the juxtaposition of arbitrary interference in one's privacy and arbitrary interference in one's family. Privacy, family, and home are intimately connected. The idea
of privacy is not all sweetness and light. Bitter
criticism is directed against the cult of privacy. The
criticism is that on too many occasions privacy is
nothing but a pretext for letting people stay lonely; that it is a label for social atomism and indifference--in short, a cuphemism for loneliness.
But as I have already mentioned, the criticism should go in the opposite
direction, namely, it should not be directed at the privacy
of the individual, but rather at the potential tyranny inside the family.
There are no good reasons why the idea of privacy should go wrong. Like many good ideas, it can go wrong
but there is nothing in the idea of privacy itself that
makes its implementation highly likely to go wrong.
My general claim is the opposite of the claim that ties
privacy to loneliness. Privacy, I
maintain, is an enabling condition for forming intimacy. It is thus an enabling
condition for forming meaningful relations, the paradigms of which are family
relations and friendship. Not loneliness, but the possibility for intimacy is
at the core of the idea of privacy. To be intimate with
all is to be intimate with no one.
I should meet some initial objections to my position
right away. Here is one: it is to our flourishing and not to our status as
human beings that intimacy is important, if it is important at all. So it is of
no concern to the nonhumiliating society. And since my concern with privacy is from the perspective of the nonhumiliating society,
then even if my claim about the relation between intimacy and privacy
is true, it is an irrelevant truth. So one objection is that intimacy concerns
human flourishing rather than human status. Another objection to the same
effect is that intimacy and privacy are new ideas and
the mere fact that they are new and modern means that they cannot be basic to
human status. After all, basic human status was bestowed on humans before the
emergence of privacy and intimacy.
Intimacy combines two ideas: one, the idea of one's
deepest personal core, and two, the idea of a very close and warm friendship.
The second idea in turn is ambiguous because of the ambiguity in the notion of
friendship itself. In one sense friendship is akin to camaraderie,
friendship-in-arms. Intimacy and privacy play no role in
this notion of friendship. It can develop and be nourished in, say, army
barracks that are not particularly known for affording privacy.
The main trait of this kind of friendship is that ability to count, totally, on
the other in times of crisis and of great need. In the other sense, friendship
is soulmateness, where friends reveal to each other their inner lives and their
secret thoughts and feelings to cement their special, "thick"
relationship. Since such relations are based on revelation, privacy
is a constitutive part of this kind of friendship.
Whether the idea of friendship as shared intimacy
starts, say, with Goethe's elective affinities, or whether it was anticipated
already by Aristotle's two Ethics, does not really matter: Newness is not an
argument against what should be included in human status. After all, the notion
that slavery is wrong is even newer than the idea of friendship as elective
affinity. Yet our concepts of human status and human dignity should be such
that slavery comes out as a denial of human status. There is nothing wrong in
the idea that our moral notions are a matter of discovery and thus of change.
There is also no mystery in tying the notion of human
status with relations such as family and friendship. The status of being human
depends on recognition of and respect for human relationships like family and
friendship. Hence the status of humans should recognize privacy
as a vital ingredient in the way these kinds of relationship are expressed in
our culture. Looking at the Clinton-Lewinsky affair from afar, I was struck by
the fact that Monica's mother had to appear in court, betraying the trust of
her daughter in a matter (Paula Jones's suit) in which neither was directly
involved. I was struck by this arbitrary intervention in family relations,
which I take to be a terrible breach of privacy. (But, I
repeat, this is an uninformed view from afar.)
PRIVACY AND HYPOCRISY
Privacy, the critic says, is not
just a euphemism for loneliness. It is the kind of idea that tries to give
hypocrisy a good name. The very idea of privacy is that
our public persona is indeed nothing but a social
facade--or, as its Greek origin suggests: a mask. Thus the distinction between
the private and the public is, on this view, between reality and appearance:
between the true, natural, and spontaneous private self, and the affected,
assumed self that is presented to the public. Instead, the critic suggests
transparency, a nothing-to-hide policy that will eradicate the barrier between
the private and the public. The politics of privacy, on
this view, is the policy of sham in public and sincerity at home. It promotes a
false and pernicious picture of public life as a life on the stage, with given
roles, given scripts, and lots of stage directions.
Life, public life, should not be a stage. No one should
be forced by convention and public opinion to feign what one is not, and to be
true to one's self only in the security of home, family, and friends. The idea
that duplicity along the lines of the private/public contrast is a necessary
condition for creating a viable culture, and that hypocrisy is therefore the
price we have to pay for culture, is an idea that our critic rejects. Only one
particular kind of culture essentially depends on hypocrisy: bourgeois culture.
But a culture of sincerity and authenticity, based on transparency, is a
genuine possibility. It calls for removing the wall between the private and the
public. What getting out of the closet and outing did to the gays, the culture
of sincerity wants to do to us all. Universal outing; farewell to skeletons in
private closets. Between the cult of privacy and the
culture of sincerity, one should opt for the latter.
So much for the critic. Indeed, the case of the gays is
to the point here. Coming out of the closet is very different from outing
forced by others. Outing is an invasion of privacy.
Coming out of the closet is a decision by an agent to redraw his or her own
line as to what is private and what is public. The point about the culture of
sincerity is that it can be a blueprint for a cruel cultural revolution by
universal outing, that is, by total intervention in each other's privacy. This can be as nasty a revolution as the Cultural
Revolution that tried to uproot the habits and artifacts of the bourgeois. By
"as nasty" I mean as humiliating as the Red Guards' systematic
humiliation of their victims.
THE INNER CITADEL
So far I only claimed that universal outing for the
purpose of creating the ideal of the sincere society, a society in which each
is open to all, is wrong. But what about people who try to install such a
Rousseau-like society out of their own free will? Is it as perverse as a
society whose members, out of their own free will, become slaves to the ruler
they love and admire? Is giving up on privacy like
giving up on freedom?
For the Stoic it is not the home that is one's castle,
but the head. It is this fact that guarantees not only our inner freedom, but
also our capacity for dissimulation, hypocrisy, and insincerity. We do not need
walled houses in order to be hypocrites. The sincere society does not depend on
our living in a house of glass, but on our being transparent in our thoughts
and feelings.
There are some doubts about the Stoic premise--that our
heads are our private citadels that enable us to keep our free thoughts and
feelings to ourselves. Already Ecclesiastes (10:20) warns us: "Curse not
the king, not in thy thought; and curse not the rich in thy bed chamber; for a
bird of the air shall carry the voice, and that which has wings shall tell the
matter." Presumably there is no inner thought without an outward behavior
that betrays that thought. Faint and subtle as this behavior might be, the cues
will be picked up (by some "bird"), and the thought will be revealed.
There is also the Freudian argument that doubts the
very idea of the freedom of inner thoughts. Freud's notion of the superego
functions as a powerful mechanism by which ideas from the outside control and
repress one's own inner ideas. And of course there is the more mundane
mechanism of torture that can pluck out one's inner thoughts.
All these doubts notwithstanding, we still recognize
the truth in the Stoic premise, namely, that we can keep our thoughts and
feelings to ourselves if we wish to do so. This is enough for keeping the
insincere society going. So radical sincerity calls for a radical change in
Stoic privacy.
Let us imagine the following thought experiment, and
see how we react to the results. One day we wake up in the morning and, like
Gregor Samsa, we are transformed into creatures whose propositional thoughts
are written on their forehead. Some rush to cover their foreheads lest their
obscene thoughts be exposed for all to see. But let us imagine that covering
the head is dangerous: those who cover are struck dead. Now being transformed
into such beings, we become eligible to realize Rousseau's wet dream of a radically
transparent society. The last citadel of privacy has
come tumbling down.
I lack the science-fiction imagination to follow
through the thicket of the consequences of this imaginary situation, which is
in such contrast to our real situation. But I suspect that along with such a
change, the notion of "our life" would also undergo a drastic change
that might further alter our notions of who we are and what our relations with
others might be. If this suspicion is true, it means that Stoic privacy is constitutive to our form of life as humans. So
whether we like the utopia of total transparency or dread it as a dys-utopia,
it is not us, qua the humans that we know, who will inhabit such a transformed
world. Privacy, at least Stoic privacy,
is constitutive of our form of life, and if this is true, then it also has to
do with our status as humans.
CORRESPONDENCE
Article 12 of the Universal Declaration of Human Rights
mentions correspondence, in the sense of one's private exchange of letters, as
meriting protection against arbitrary interference. By arbitrary I understand
intervention for no justified reason. Random intervention is a paradigm case of
arbitrariness. It is the cruel irony of Stalinism that in the year 1936 Stalin
handed over a rather generous constitution with an article (128) that said:
"the inviolability of the homes of citizens and privacy
of correspondence are protected by law." He then proceeded to launch the
most appalling terror by the random selection of victims. It was the epitome of
arbitrary interference with home, family, and correspondence.
But arbitrary does not just mean random. It means
interfering for no good reason, and in our case I would add, for no good moral
reason. Indeed, a good moral reason can select correspondence randomly.
Military censorship during a war can randomly select letters for inspection. So
the issue is not randomness as such, but lack of a good reason, which makes
interference arbitrary.
In the Jewish tradition I come from, privacy
from an unwanted gaze is as old as the Talmud (codified in the fifth century
C.E.). Damage from an unwanted gaze was recognized as a compelling reason to
force the hand of your neighbor, with whom you share a common ground, to share
the expense of building a barrier between him and you to block the possibility
of unwanted gazes. Privacy of correspondence in this
tradition comes in the High Middle Ages. A ruling not to be privy to private
correspondence without permission was attributed to the highest rabbinical
authority of European Jewry in the eleventh century, "Our Rabbi"
Gershom, nicknamed "Light of the Exile."
Privacy both at home and in
correspondence is thus not that new, at least not in the tradition I know a
little about. As I have indicated already, a distinction should be made between
having the concept of privacy--which, I maintain, is
quite old--and exercising privacy, which depends on the
conditions of living. What comes in article 12, after ruling against arbitrary
interference with correspondence, is a strong ruling against attacks on one's
honor and reputation. All these are subsumed under the cover of privacy--at least according to my interpretation of article
12.
Many regard the idea that the concepts of honor and
reputation are tied to privacy as a problem for
celebrities and public figures only. Elton John is a good singer and even a
better composer. He worked hard to project a glitzy image with his fanciful
Versace suites, kitschy white piano, elaborate wig, and sunglasses. He had a
reputation to maintain. I well remember seeing one day in the London tube, on
the front page of one of the tabloids, Elton John timidly climbing down into
his swimming pool, looking paunchy, bald, and rather pathetic. He is far from
being the only celebrity who received such rough treatment from papparazi
predators. But then the idea is that since celebrities make their reputation
and living from the attention they get from the public, they cannot complain
when they are exposed in public. This, I maintain, exhibits the same logic as
the argument that prostitutes are free game for rapists because they make their
living selling sex. There is no issue of reputation and social
honor in the case of the prostitutes, but a terrible violation of their human
dignity, which consists in their right to choose their client and to be the
owner of their body. In the case of celebrities, it is not predominantly their
reputation and social honor that should be protected
against an invasion of their privacy, but their human
dignity.
ON BEING WATCHED AND KNOWN
BY GEORGE KATEB
MUCH of the time, discussion of the subject of privacy is centered in worry over easily recognizable effects
on people when their privacy is violated. If a court
finds that a right to privacy includes the right of
married or unmarried couples to use contraception, the government's prohibition
of it is judged to be a serious harm. If a person's house is entered without a
valid warrant, a court will usually find that the government has seriously
harmed that person's privacy.
These are just two of numerous examples where the stake
is protection of privacy against state intrusion that is
deemed unacceptable. A person's entitlement to be fenced in against invasion is
affirmed. But when government does not honor that entitlement, and no court
provides a remedy, citizens may still say that a person has been harmed in his
or her vital claims. In any case, some claims are so vital that we call them
constitutional rights, not only moral rights, and not merely legal rights. In
the abstract, we say that by violating (or trying to violate) constitutional
rights, government is treating (or is disposed to treat) people in such a way
as to inflict serious disadvantage on them, thus impairing their ability to
make major decisions in life freely or to remain unmolested. These are grave
harms. People in a democracy need little coaching to say that they have been
harmed or injured or violated, though they may need trained lawyers to
formulate their claims jurisprudentially. People know that some significant
interest of theirs has suffered, even if they do not always reach for the
language of rights in which to express their grievance.
Now if people, by some chance, do not complain when
their rights appear, in the judgment of the observer, to be violated, or if
they consider the matter insignificant, or even think that they deserve to be
treated as they have been treated, the spirit of the laws--if I may
reify--would admonish them. It would say that when a person is treated in certain
ways, even if the harm is not felt as harm or felt at all, that person has
nevertheless been harmed. A person is obliged to guard his or her rights by
knowing when they are violated, or suspecting that they may have been, even in
the absence of a judicial declaration to that effect. Every citizen must be
extremely sensitive to actual or threatened or even arguable violations. That
is the heart of democratic citizenship.
By guarding one's rights, one is guarding not only
one's own vital interests, but by the force of example or precedent, the vital
interests of everyone else. In that sense, we are each other's keepers. Every
valid assertion that my right has been infringed is simultaneously the same
assertion on behalf of everyone else. Basic rights are general possessions.
There is a further complication. By guarding one's rights, one is also guarding
one's own personhood or human status as well as everyone else's. (Personhood
and human status are rough synonyms.) I mean to say that every violation of a
basic right, just by being the suppression of a vital claim or interest, is
also a failure to respect the personhood of a human being. In being improperly
coerced, a person is also being held in contempt. A person is being treated,
say, as if he or she were a child rather than an adult, or were a mere means to
an end; or has forfeited all rights because of some offense. These forms of
contempt are injuries or insults to persons and should register as an
additional harm. Every basic right thus has a double meaning. The spirit of the
laws--that is, the spirit of the U.S. Constitution and other comparable
charters--reveres personhood, reveres the human status of every individual.
Indeed, the substance of specific basic rights, such as free speech and religion,
or the prohibition of self-incrimination and double jeopardy as well as, of
course, the various rights clustered in the idea of the right of privacy, may be said to derive from an initial idea of
personhood. Or if the practice of a given right preceded the articulation of
the idea of personhood, then it is this idea that provided the rationale for
the right when, for example, the codification we know as the Bill of Rights was
framed, and that still provides the deepest reason for it.
But what has recently become clear (yet again) is that
even if courts hold, and with a putative if disputable correctness, in one or
another case, that no basic constitutional right is violated, a person's human
status may still be injured. The idea of human status contains more than the
imperative that basic rights, as currently interpreted, be respected. It also
includes the imperative that no policy, seemingly within the scope of rightful
state policy, can have the effect of treating a person as if he or she were a
child rather than an adult, or as a mere means to an end; or has altogether
forfeited consideration as a human being because of some crime or alleged
crime. If a policy has this tendency, but at least appears to violate no basic
constitutional right, then it should still be condemned as injurious to human
status, even though most people, for the time being, do not perceive the injury
to their status, and courts do not yet recognize it. In sum, every violation of
a basic constitutional right is an injury to the human status of individuals,
but not every injury to human status is, at least initially and in appearance,
a violation of a basic constitutional right. Indeed, injury to human status can
be inflicted even if no basic constitutional right is violated: it is probable
that not every such injury lends itself to formulation as a violated
constitutional right. But fundamental moral rights remain even in the absence
of constitutional rights.
I mean, then, to hold that the subject of protecting privacy extends to more than the violations, so far judicially
acknowledged, of the constitutional rights clustered in it. To be sure, these
acknowledged violations and their remedies comprise the leading part of the
subject. But I would like to make theoretical room for infringements of privacy that do not apparently violate constitutional rights,
or are not yet held to violate them, or that may, properly, never be held to
violate them. I believe that some recent technological developments have
presented us with a situation in which infringements of privacy
injure our personhood, and yet courts allow these infringements to proceed. At
the same time, many people do not feel that their right of privacy
has been violated and that their human status has therefore been injured. The
technological developments that I have in mind show steady growth in capacities
of watching and knowing, such as ubiquitous surveillance cameras in streets,
transportation terminals, malls, stores, banks, and so on; and the
computer-facilitated accumulation, storage, and retrieval of information on the
body, health, habits, and tastes of everyone from infancy onward. Obviously,
these are only two of many new capacities.
Intensely aggravated expressions of the capacity to
watch and know are two U.S. government programs: Carnivore, which permits the
FBI to record all email communications; and yet another program (shared with
the U.K.), Echelon, which permits government agencies to monitor various kinds
of communications worldwide. I don't pretend to name, much less technically
understand, all the devices of watching and knowing that recent technology has
contributed, or to be able to anticipate new ones, though I am sure there will
be new ones. In this paper I will confine myself to camera surveillance and the
accumulation of personal data. The agencies that try to watch and know with
ever greater completeness and precision include state bureaucracies and, more
commonly, private enterprises. This means that whatever may be true with regard
to other rights, privacy is a right that can be
infringed by private groups--private groups that war on privacy--and
not just by the state. The state, by not prohibiting camera surveillance and
data accumulation, sanctions it, and thus becomes the ultimate source of formal
violations of the right of privacy--to leave aside its
own, ever-increasing violations.
I am aware that the activities of watching and knowing,
whether undertaken by states or other authorities or by public opinion or
particular groups in society, are as old as social life
itself. Yet in ubiquitous camera surveillance and in computerized data
accumulation, we have a temporary logical culmination of perennial aspirations.
We should not be surprised that when techniques are available they will be used;
and we should not be surprised that the techniques have become available. The
dynamism of modern technology has included, from the beginning, development of
techniques of surveillance and knowledge about people because scientists and
technicians have never discriminated among contradictory projects: relieving
the human condition, controlling human populations, and performing marvels of
destruction. Nevertheless, in being the logical culmination, these new devices
represent the inception of a qualitatively new social
system. What we are dealing with is not a tribal or village society, as once
existed, made up of a few hundred or thousands of inhabitants who lived their
whole lives in one another's sight. Nor are we dealing with a society like the
ancient city, where a fairly strict demarcation between private and public life
guaranteed at least some private darkness as a refuge against the glare of
publicness. Nor, yet again, are we dealing with a society in which tens or
scores of millions of strangers lived in the same country and could watch and
know one another only on certain terms and in certain ways. This was the
situation of civilized life--to leave aside police states--until the closing
decade of the twentieth century. Rather, we now find ourselves in a condition
in which scores or hundreds of millions of strangers, who live in the same
society, can be watched and known not only by the state but also by private
enterprises and by a scattering of technical wizards. In such a society, a few
strategically placed people can know most of the rest of the population in
detail that is at once close and impersonal, and unprecedented in scope.
American society has become a confused mixture of public and private violators
of some aspects of the basic constitutional right of privacy--or
if these aspects are not part of a constitutional right, then they remain part
of a moral right that befits persons in a free society.
I maintain that one is being harmed when one is being
observed by a surveillance camera or when detailed information about oneself is
cumulatively and permanently available to state agencies, businesses, and other
groups and individuals. The harm is to one's right of privacy.
But the emphasis so far cannot be on actual rights violations, grave assaults
on the ability of the great majority to make major decisions in their lives or
to remain free of manifest molestation; instead, it must be on injuries to
those elements of personhood that may not lend themselves to formulation as
constitutional rights, but only as moral rights. The trouble is that in the
absence of grave injuries, it is not easy to articulate one's feeling that one
is being harmed, and it may not be possible to seek legal redress on
constitutional grounds.
Let me initially put the issue this way: one is
insulted, and insulted deeply, because one loses all possibility of innocence.
Nothing I do under surveillance is innocent when I know that I am under surveillance.
It is worse to know or not to know that I am? Is it worse to be afflicted by
inappropriate self-consciousness or to be duped without being aware of it?
Then, too, there is no innocent detail in one's life when the anonymously
curious can know it. Instead, one is crudely treated as interesting and even as
presumptively or potentially guilty, no matter how law-abiding one is. Or, one
is treated simply as an ambiguous or pathological specimen to be observed. The
power to observe, by itself, induces in the observer the sense that the
observed is ambiguous or pathological. One is placed under constant suspicion
just by being placed under constant watchfulness and subjected to the implicit
interrogation that exists when the accumulated information on oneself is seen
as a set of integrated answers that add up to a helpless, an unauthored
autobiography. Such a loss of innocence just from these two sources is so
massive that the insult involved constitutes an assault on the personhood or
human status of every individual.
The difficulty of talking about the harm involved in
being watched and known so continuously is, to repeat, that no palpable hurt is
felt. Now, leading an observed and fully recorded life, thanks to the
panoptical TV set, can be the condition of life in a tyrannical police-state,
as memorably portrayed in Orwell's 1984. There the aim is to intimidate,
inhibit, spread fear and docility, mobilize masses for essentially spectatorial
purposes, and, ideally, catch a few offenders and practice on them new
experiments in altering the character of even those who have the greatest
initial integrity. However, what I am discussing here is not yet the total and
pitiless extremism of sadistic domination for its own sake, but rather the
condition that has become normal life in, of all unexpected places,
constitutional democracy. The very political system that stands for the
principle that personhood must be respected turns out to be a system that
contributes very effectively to menacing it. A free society has unleashed a set
of technologies that help to undermine the condition of spirit that sustains a
free society. The paradox is worse than unpleasant--if it is a paradox. May it
be that democracy itself is the great instigator of technological advance of every
sort just because democracy is (or has become) inescapably consumerist?
I believe that such devices as ubiquitous camera
surveillance and computerized detailed information about everyone's life--and
there are of course other comparable phenomena and will be more--are forms of
so far painless oppression, of barely sensed degradation. This oppression and
this degradation, just because they are so far painless to most people and
barely sensed, are hard to complain about, even hard to talk about. One runs
the risk of being thought dated, out of touch, eccentric, hyperbolic, perhaps
paranoid, in merely worrying about such issues. I know that there is a
burgeoning literature about these issues; and to that literature participants
in this conference have made and will continue to make invaluable
contributions. But does this literature register on public opinion with a
telling and lasting effect? It is all too easy to be told that if you have done
nothing wrong and if you have nothing to hide, you should let being watched and
known roll off you like water off a duck's back. Isn't such a sentiment still
prevalent?
So let me add some other considerations to what I have
already said about the insult, the so far mostly unfelt or unperceived insult,
the painless oppression and barely sensed degradation. I admit that these
points may not register even on those who are willing to listen. The first
consideration is the sheer involuntariness of living under surveillance and
having all the details of one's life on deposit and in the hands of the state
and other interested groups or individuals. A person is, for the most part,
powerless to avoid capture. A retreat into the woods and a life spent without
most conveniences can, I suppose, reduce the quantity of being watched and
being known. But some of the conveniences are not mere conveniences; the
computer, for example, is a marvelous addition to the human repertory. You pay
a terrible price if you give it up. Then, too, one tries to respect the privacy of others; but, in return, one's privacy
is invaded. One feels a fool to care about privacy too
much. If, however, one is sensitive to what is going on, one is aware that one
is living on the wrong side of a one-way mirror, yet, as a democratic citizen,
would not want to switch positions with the watchers and knowers.
The second consideration is that a person is not, at
any given time, fully aware of the extent of the coverage. How much one has
been observed and tabulated is rarely apprehended by anyone. Just before, I
asked whether it is worse to know or not to know that one is watched and known.
Knowing for sure is intimidating, "chilling." But an intermediate
condition exists between knowing and not knowing. I suggest that uncertainty is
perhaps worse than knowing for sure that in public one is scrutinized by
unknown eyes and that not only the main facts but almost all the facts of one's
life are recorded permanently and are forever retrievable. If, to begin with,
one is sensitive to invasions of privacy, one tends to a
paranoid inflation of one's predicament, but then may receive recurrent
confirmation of one's dark suspicions, and then sink deeper into what is not
paranoia after all. Such is the logic, when not the precise aim, of the
panoptical principle.
The third consideration is the overall inequality or
asymmetry that is inherent in the situation. The world is divided between those
who watch and know and those who are watched and known. Even without sinister
purposes, those who watch and know are able to objectify the rest. Knowing that
one is being objectified, one should feel that an attempt has been made to
diminish oneself. Before one tries to rise above objectification, one should
see it for what it is. Each of us is treated like a lab animal, a creature that
excites the curiosity and probably the desire for further techniques and
projects of those immersed in the process of watching and knowing.
This last consideration is the most comprehensive: that
the new and ever more numerous techniques of watching and knowing human
beings--and they are, with a cruel irony, most advanced in constitutional
democracies--can lead to a fundamental revision in a person's self-conception.
The revision is sharply at odds with the self-conception that a democratic
individual, a democratic citizen, should have, and has so far usually had. In a
constitutional democracy, in which everyone is guaranteed certain basic
individual rights, personal and political, a sense builds up of oneself as
precious, as a whole world, as an end in onself. I have already referred to the
idea that rights aim at denying the state the power and authority to treat
adults as if they were children or to reduce them to mere means, mere
instruments or machines. Part of the built-up sense yields the thought and
corresponding sentiment that one owns onself, which means that one is not owned
by the state or by some superior caste or by society as an abstract entity. One
is enabled to freely treat oneself as autonomous, to an important extent and in
many respects. Woven into that notion of self-ownership and in the cognate
notion of autonomy is that one is inviolable. That means not only that a person
should not be invaded by forces that try to use him for purposes not his own,
but also that we should think of a person as having boundaries that should not
be breached.
The appropriate self-conception of a rights-bearing
individual is that one thinks of onself as not being at the disposal of others.
One must freely choose to work with others for common aims, which are
preferably restricted and temporary. Only where there are bonds of affection or
duties of love or duties to the vulnerable can one be at the disposal of
others; but then we would no longer speak of being merely at the disposal of
others. I am not supposed to be folded in effortlessly in some plot or plan or
strategy of others. I am not supposed to be mobilizable, either knowingly or
unknowingly, for goals that I have no power to help to initiate or control. The
new techniques of watching and knowing cross my boundaries, and by doing that,
they injure the sense of myself as inviolable. Inviolability is an important
aspect of human status. I am not inviolable when I am made to blend even more
than is now the case into a social mass of
individualized targets of attention and scrutiny. I become just one more
creature being observed, part of a continuous spectacle consumed by a few. I
become an involuntary detail for technicians who live to make over the whole
world into one picture.
I become merely permeable. I lose true anonymity and
become either painfully known or presumptuously categorized. Invisible powers
make me visible against my will. I am involuntarily disclosed (not that I want
to live in a closet). I just want to be known by those who have a right to know
me. In being known and watched with ever increasing facility, I no longer can
say approximately or metaphorically that I own myself. My autonomy, at best
precarious or even episodic, is wounded further, my boundaries further effaced.
As Robert Frost (in "The Constant Symbol") said about earlier
erosions of individuality: "no more invisible means of support, no more
invisible motives, no more invisible anything." He was not asking for the
ring of Gyges, for the power to be invisible in order to acquire impunity and
thereafter commit heinous crimes. No, not at all. How can I think that my human
status, part of my dignity as a human being, is respected if I am too often
visible, and if some machine knows more about me than I myself know, because it
does not forget, but I do? The machine is not like someone who out of fondness
for me recalls some flattering detail about me that I had forgotten, or has
observed some nice trait of mine that I doubted I had possessed. At the hands
of the watchers and knowers I become a child again, but now an unloved foster
child, even if not yet abused. I am victimized by a loss of moral rights, even
if my constitutional rights are respected. But can constitutional rights really
be respected when cognate moral rights are violated? Are constitutional rights
safe then?
On the specific matter of being known in accumulated
detail that is instantly retrievable, and transferable to who knows how many
agencies and groups and for who knows what purposes, two other consequences are
worth mentioning. The first is that accumulated detail about people has the
effect of defining them and locking them in that definition. The identity of
each is established by imputation, and the identity is equated with an
exhaustive account. A person is thought to be known through and through, and
without appeal, until perhaps that person has to mount a legal or political
challenge to that assumption. The second consequence is that a detailed record
follows a person through life, growing old with him or her, yet not losing
memory as the person does. A person will not be able to start life over again,
free of some of time's filthy load. A person cannot run away or hide, unless
prepared to abandon everything familiar and find some alien refuge. There is no
escape from a recorded identity, no escape from deeds done long ago that, if
wrong, were paid for, or were not wrong but somehow technically incorrect or
forgivably careless.
There is no doubt that the storage and dissemination by
police agencies of lifetime records improve the capacity of these agencies to
determine the identity of criminals with greater certainty. Not so long ago,
The New York Times (March 3, 1999, p. B3) published an account of how a man who
was later accused of murdering three people betrayed himself when he was
arrested in an unrelated misdemeanor theft case. Detectives had the man,
already suspected of murder, unknowingly provide a DNA sample just by drinking
from a soda bottle or glass. He was charged with murder on the basis of DNA
obtained from his saliva sample.
I am happy that a murderer was caught. But the story of
his self-incrimination distresses me. Not only may the spirit of the Fifth
Amendment have been violated by the police technique, but the power of other
new techniques that seduce an individual into giving himself away is alarming.
This is being watched and known in an extended sense. I think that the greater
ease of tracking down criminals through new techniques may reach the point
where the struggle against crime has tilted so far in favor of the police that
the very texture of life in a supposedly free society is radically altered. I
hazard to say that if criminals were always caught, especially with their own
cooperation, so to speak, we would no longer be living in a free society, a
society where the human status is paramount. What would become of the spirit of
the Fourth and Fifth Amendments--these precious and, yes, counterintuitive
amendments that mean as much to personhood as any other amendments in the Bill
of Rights? Such a society is not yet a police-state, but it erects so sharp a
division between the innocent and the guilty that the innocent become too
grateful that they are not guilty. They become too anxious to stay that way.
There must be a blurred middle ground between guilt and innocence, if innocence
is not to become too proud and hence censorious, and punitive or vindictive.
Democracy is antithetical to moral rigor; the concept of individual human
status cannot survive it. Not that there can ever be perfect deterrence: a new
thrill is added to breaking the law when policing is armed with increasingly
potent devices of watching and knowing. But the perfection of the apparatus
signifies the willed diminishment of human beings. We can be sure that
authorities in the United States are working to achieve a world where everyone
at birth is fingerprinted and made to leave a DNA deposit, not only a world in
which every communication is recorded and can be retrieved. What is left of
respect for the human status in all this?
Suppose I am told that this insistence of mine on
personhood, on the human status, sounds adolescent. Only adolescents, some
could say, care so much about their dignity and feel insults and degradations
when none are intended and none would strike an adult as insulting or
degrading. Adolescents worry about insubstantials because their sense of
independence is so fragile and their experience of freedom so brief. Why carry
on in a way, as some could say I do, that only encourages the adolescent strain
that even grown-ups all too often retain? Even worse, why judge society's
arrangements from an adolescent perspective, when an adult perspective should
be decisive?
In answer, I would refer to Peter Weir's film, The
Truman Show, a film that is sometimes discussed when new technologies of
watching and knowing are the subject, and when their full potentiality to
control human beings, allegedly for the sake of happiness, is projected. The
horror for Truman in a hitherto pleasurable life comes when he realizes that
his entire life has been shaped for a mass TV audience. He has been
continuously watched and known by an audience; for that to be possible, he has
been subjected to complete conditioning by a demiurgical film director who
employed a cast of actors to help Truman live out his life to the point of
married adulthood as if it were a spontaneous life, and in an uncannily
attractive setting, or at least in a very photogenic one. When he learns the
truth, despite all precautions, he rebels. He rebels against his pleasurable
life because it is a lie. He goes from painless oppression and unsuspected
degradation to righteous indignation. He rebels for an adolescent principle,
instead of settling for a pleasurable life. He rebels not because he has been
badly treated but because he has been "treated." He must overthrow
authority because it is authority, benign in effect, but inhuman or superhuman
in method and both mercenary and power-drunk in ambition. His relationship to the
director is an extreme asymmetry.
Truman rejects manipulated adulthood and by acting like
an adolescent he becomes an adult for the first time. He insists on his
personhood or human status. By physical and psychological courage he escapes
his enchanted confinement. The irony is that when he gets to the other side of
his confinement, when he is able to leave Plato's cave, he finds himself
magically deposited in a bar where an audience has been observing him on the
screen, and they greet him now with screams of delight at his escape into
genuine adulthood. But what shall we say about the audience? Are they
manipulated by their entertainers? And are they adults? Do they have a sense of
their human status? Or are they children--forever children--who are so enthralled
by watching and knowing that they cannot progress to eruptive adolescence? They
are safely preserved in a simulacrum of adulthood. I think that an adult
version of a disposition toward adolescent sensitivity must be perpetually
available if the mentality of personhood is to be safeguarded. We are not
really adults otherwise; we are not even democratic citizens. As Emerson says
in his essay "Politics," "Good men must not obey the laws too
well."
I have so far been talking about social
and cultural tendencies, and I have just isolated a few of them. All go in the
direction of enhancing the ability of others to watch us from a certain angle;
and to know us so that, above all, we may be known, if not to ourselves. One
might say that the result is a world transparent to those who watch and know,
and who themselves remain often in secrecy or obscurity. I have talked in a
general way, and quite speculatively. You might think that I have talked with a
metaphysical vagueness. But the sketch I have offered, if done with serious
imperfection, can be done better by others, who can probably provide more than
a sketch. All I am sure of is that, the risk of vagueness notwithstanding, the
subject of new techniques of watching and knowing is, in part, a philosophical
subject. It must be treated philosophically, but of course not only so. The
stake is, to say it again, the self-conception that emerges when a society's
institutions and practices try to respect personhood. If gradually, but with an
apparent inexorability, the spirit of these institutions and practices is
undermined by technical advances in watching and knowing--and of course there
are many sources of threat to that spirit, not only techniques of watching and
knowing--we would have a calamity, even if we were spared other and worse
calamities like a police-state or some kind of tyranny or despotism.
Insensitive now to painless oppression, however, we may become less sensitive
to some future blatant oppression. Whether or not that can happen, there is
such a thing as an unfelt or barely sensed calamity, odd as it may seem to
speak in this way.
What are the motives in play of the watchers and
knowers? Obviously, the new techniques serve a range of practical purposes,
increasing efficiency in achieving some of the standing purposes of state
agencies and business enterprises. Or at least that is the usual claim. But
does the pursuit of efficiency serve as a cover for other motives, without
replacing them? "Lust of the eyes" as the First Epistle of St. John
(2:16) puts it? Some voyeurism, some prurience, some profound condescension? Or
some insatiable curiosity? Or a nearly all-consuming will to knowledge, a form
of rationalist aestheticism? A greed for asymmetrical relationships? Or a
pursuit of proficiency for the sake of proficiency, animated by a love of
overcoming obstacles in the way of attaining ever greater proficiency, with
virtuoso proficiency desired because it stands as a symbol of an extraordinary
superiority to ordinary humanity?
The questions are largely rhetorical. I think that we
would tend to agree that these motives are in play. All I ask is that we not
assent or stay quiet when others say that all that is involved is the motive of
enhanced efficiency. We may not completely understand Heidegger when he says in
"The Question Concerning Technology" that the essence of technology
is nothing technological. But we must have a glimmer of what he means.
Technology, technique, the proliferation of devices--all this is not only
problem-solving. It is also problem-creating, challenge-creating, and more than
that, it represents an attempt to rise above the level of ordinary humanity. It
is semiconscious complicity in hubris, an insolence shared among a few, and
distantly admired by most of us.
But these motives to which I just referred, aren't they
motives we all have? Aren't we all prurient, curious beyond our business, in
love with power and our own proficiency? Yes, certainly. Yet looked at from the
outside, the new techniques take on the appearance of obsession. If there were
one mind guiding the development of these new technologies, we would call that
mind obsessive. Of course, there is no one mind; there is, instead, a
historical cultural project in the West, the labor of many minds with the same
commitment that is sustained over time. Few of the participants were or are
themselves obsessive in any strict sense. But a cultural project of obsession
does not need obsessive practitioners. All that is needed are devoted
practitioners who supply their increments of expertise, and who also never stop
to examine the nature of the project in which they are engaged. In contrast,
most of us are not obsessively bent on watching and knowing countless
strangers, however similar to some degree our motives are to those of the new
watchers and knowers.
Suppose, however, it is said that watching and knowing
are not only part of the ingrained equipment of any human being but also the
specialty of philosophers and poets and novelists--to leave aside journalists.
Is there a qualitative difference between the new technicians and our great and
good writers? I would answer that the difference is qualitative even though not
total. On the one hand, the philosopher, defined as the contemplator of the
scene and spectacle of existence, is consumed by the passion to understand so
as not to be taken in, and also to be the one on whom nothing is lost. The
philosopher does not want to be duped, nor to miss out on what is worthy of
attention; the aim is not to feel superior, whatever the philosopher may
eventually come to feel, when he observes that most people are much less
intensely or comprehensively observant than he is. Similarly, for the novelist
who is the creator of characters in patterns of action, and the poet who is the
creator of voices and perspectives: they do not watch and try to know human
beings to feel superior in secret, but rather to disseminate their discoveries
and strengthen their readers, as if writers existed, as Keats suggests, in
order to be the friends of their readers.
We should probably say that the new watchers and
knowers are parodies of the philosopher and novelist and poet rolled into one.
And just as the philosopher, novelist, and poet is each Godlike in the
disposition of intellect, so the ensemble of new techniques, and of techniques
irresistibly to come, add up to a parody of God as omniscient, the parodistic
realization of God on earth. In an old theological characterization, God can
watch and know everything that has happened and is happening and embrace and
keep it to mind in the same instant. It is obvious that no single human mind
can begin to approach this state. As Jeffrey Rosen puts it in "The Eroded
Self," "Even the most sophisticated surveillance technology can't
begin to absorb, analyze and understand the sheer volume of information"
that is available instantly, much less, cumulatively (2000). Our technological
god knows all without knowing that it does so. But it knows enough for its
purposes, alas. With regard to a given individual, the watchers and knowers can
let nothing go forgotten or undetected; everyone is searched in every religious
and secular sense of the world; all the particulars for the day of judgment are
assembled. And the state is the god of lesser gods as well as master of us all.
It aspires to become a combination of the unmoved mover and the unmoved
unmover.
I have already said that if oppression is not felt as
pain, and degradation is not felt at all, the human status of individuals can
be seriously assaulted without protest. But suppose that somehow a persuasive
public case could be made to convince people that apart from any abuse they
feel as abuse, especially as abuse of a guaranteed right already declared,
their personhood could still be impaired. There is at least one serious
obstacle that remains. I refer to an obvious fact, which is that almost all of
us, some of the time or with some part of ourselves, welcome being watched and
known by people whom we do not reciprocally watch or know. There may be a loss of
appetite in society for remaining private and a consequent unconcern with the
new techniques, and techniques still to come. There may be an ebbing appetite
for having secrets or even confidentiality, for being invisible or anonymous,
for being innocent or hidden. It is as if almost everyone, if only in some
moods or phases of life, has an increased desire for exposure and confession to
strangers, whether casually met or heaped together in some kind of mass
audience. It is as if everyone says to himself or herself, "I don't want
knowledge about myself confined merely to those I know and trust. I don't exist
unless I'm being watched and unless I'm known in detail by invisible or
unnameable or unaccountable forces. They make me feel important; they add bulk or
ballast to my ego; they give me a more intense sense of being alive or being
me."
What is involved here? I suggest four elements. First,
innate human sociality; second, democratic gregariousness; third, democratic
exhibitionism; and last, democratic theatricality. Let me take up these points
in order.
The aspect of innate human sociality that is relevant
to our discussion is brought out when we answer the question, Who is the
beneficiary of the right of privacy? The judicial answer
is every individual person, and by extension, relationships that rights-bearing
individuals freely form, such as couples, families, friendships, and various
voluntary associations. This means that a person wants to be protected in the
right of privacy, as we have been discussing it, not for
the sake of one's uninvaded solitude but, instead, for the sake of being in
mutually self-chosen company. But that means, in turn, that one defines one's
mode of life as living in the attention of others. I believe that this is the way
in which most people envisage the right of privacy--to
leave aside the Fourth and Fifth Amendments of suspects and defendants. In the
public mind, therefore, the case for the benefits of a protected right of privacy is not a case for the inviolability, invisibility, or
anonymity of the individual as such so much as it is a case for intimacy and
selectivity of company. The case is felt to rest not so much on the integrity
or precious mystery of anyone's personality or selfhood as on the right to
disclose oneself only to individuals one has chosen, and to set the terms on
which one will be known and by whom. Such a right can of course be self-limited
by a person's secrecy, hypocrisy, or abandonments. The upshot is that almost
all of us want to be watched and known. The ideal though perhaps too flattering
assumption of those who framed the right of privacy is
that we want to be watched and known only appropriately. In contrast, it is
only in an infrequent moment that we respond sympathetically to Rousseau's notion
that our degeneration begins when we are seduced away from solitude. (Perhaps a
few more such moments would be healthy for the maintenance of the right of privacy.)
The unit of privacy in practice,
as it is often conceptualized, is thus not the individual but the couple, first
of all, and then the family; the domain of the right of privacy
is the sphere of intimacy, especially, and then the sphere of voluntary
associations, which are commonly felt to matter much less. But once we
acknowledge this background assumption we then have to make another
acknowledgment, namely, that most people would rather be watched and known by
anonymous and invisible forces than remain unwatched and unknown altogether, if
they had to choose. Because most people cannot live to themselves, their
resistance to being watched and known by such forces is not likely to be strong
in the absence of some specific abuse of a right or harm to some other
important interest. Given our innate sociality, just barely and only occasionally
held in check, the idea of personhood or human status must appear vaporous when
stated abstractly and becomes real only in the face of abuse and violation. Of
course, some people have a strong wish to draw the line and remain watched and
known only by those they choose. But even they, if they have no taste for
solitude, may find a guarded pleasure in being watched and known nonselectively
and will surely find little trouble in putting up with unfelt or painless
invasions of privacy for the sake of the immense
advantages of the new techniques of communication, information, and
entertainment.
The second clement that facilitates acceptance of being
watched and known by invisible and anonymous forces is democratic
gregariousness. I say democratic gregariousness because I think that democratic
culture encourages easy contact with strangers and not only with, say,
neighbors or even fellow citizens. Exchanges of intimate details with perfect
strangers, casually and even anonymously, is an everyday occurrence, and not
just with travelers. Such quick, easy, and rarely remembered intimacy, which
almost every democratic person engages in, has undeniable charm. Perhaps it has
more than charm: it is a sign of immediate acceptance of another human being on
experientially equal terms. Lines of class, ethnicity, color, and religion are
crossed with such frequency and rapidity that they grow fainter and, in the
long run, somewhat less important. Greater tolerance ensues. (The line or lines
of gender may still be harder to cross in this respect.) Furthermore, such
exposure to strangers, when they willingly receive and even return it,
manifests a democratic trust in others, just as a conditioned reserve may
indicate a fearful guardedness.
One complaint about gregariousness is that another line
is crossed that should be respected more often. Democratic culture encourages
people to act in public settings as if they were in the privacy
of their homes. A certain slovenliness characterizes conduct in theaters,
restaurants, and public facilities of various sorts. (I do not, of course,
refer to places where crowds gather, such as amusement parks, beaches, sports
stadiums, where people think they are supposed to respond to the offered
activity or spectacle with a maximum of collectivized individual display.)
People act as if it does not matter that they are being watched and their
unaesthetic details known as they relax entirely into private personae. People
in small groups--not people who are alone--behave as if others around them
exist minimally or abstractly. These people either are begging for attention or
are unaware that the strangers, in whose midst they find themselves, are as
real as themselves. They privatize public spaces. In this privatization lies an
obliviousness of the very idea of publicness and of the idea, also, that others
are strangers. As strangers, they should retain some aura, some distance, some
sense that they have a moral right to fences and boundaries against invasion by
gross indecorum. But what if the strangers do not mind? What matters to my
argument is that when so many of us behave in this fashion--when manners are
deemed odious because they are experienced not only as affectation but as
impediments to doing what one wants and being as one happens to want to
be--then an aversion to invading and being invaded by others who have no
relationship of intimacy or association to oneself is greatly weakened. The
slovenly side of gregariousness makes it harder to defend the right of privacy in the absence of abuse and violation.
The third element is democratic exhibitionism, a
tendency that is often remarked and talked about these days. I have nothing to
add, except to say that a phenomenology of this sort of exhibitionism is needed
and probably not as easy to produce as is sometimes thought. What shall we make
of the delight that some people take in displaying their secrets as well as
their obvious oddness on talk shows? For our purposes, one point to make is
that when the worst is disclosed to an audience of millions, what room is left
for privacy, what need for it? I admire the kind of
courage these participants possess. But if they volunteer their secrets and ask
to be watched and known, to be discussed and even envied, as they go about
baring themselves, as they go about converting themselves with a quiet
desperation or deliberation into freaks, the disquiet occasioned by such
concerns as ubiquitous camera surveillance and the storage and retrieval of
accumulated detail about everyone seem almost lightweight phenomena in
comparison. What really matters is the motive for such displays.
To call the participants exhibitionists gives them a
pejorative name without explaining why they act as they do. I do not mean that
a single explanation covers all the participants, or even one of them. Surely,
a desire for celebrity on any terms and no matter how fleeting is commonly
present. Is it possible to say more about what culturally drives them? Is this
kind of exhibitionism only an exaggerated form of gregariousness, or something
mostly discontinuous? In either case, it seems to go well with democratic
culture at its most demotic. Is there a necessary linkage between democracy--in
its demotic, not yet democratically enhanced nature--and shamelessness? In
Reflections on the Revolution in France, Edmund Burke says that a perfect
democracy is the most shameless thing in the world. Let us say, instead, that
an unperfected democracy is just about as shameless as we could want. By
unperfected democracy I mean a democratic culture that is painfully struggling
to give birth to itself in a hitherto authoritarian and hierarchical society,
or an established democratic culture that always holds within itself atavisms
and anomalies, or just plain forgetfulness of or indifference to its own best
potentialities. Talk shows grow out of democratic culture, but where the
culture is still struggling to rise, not above itself, but into itself. The
danger of the demotic, which is only proto- or pseudo-democratic, and which is
vividly illustrated by talk shows, is that it injures the human status--not in
the sense that the participants in talk shows are undignified in the usual
sense, but in the root sense that if their behavior were the best that people
were capable of, the idea of the equal human status of every individual could
not have arisen, and with it the theory of rights, including the right of privacy. Personhood is attributed to every human being, apart
from all admirable or only meritorious conduct; but if the great majority of
human beings had never shown traces of at least meritoriousness, how could the
idea of equal human status ever have emerged? If all that democracy ever was or
could be was demotic, how could it have inspired and continue to inspire such
devotion? If the new techniques of watching and knowing owe some part of their
tremendous development to the spirit of democracy, must not the distinction
between the demotic and democratic be insisted on? Must not objection be raised
when the demotic asserts itself so vigorously, and consequently throws its
weight behind the assaults on the fundamental right of privacy
that we are discussing? When talk shows abound, reinforced by so-called reality
TV and comparable phenomena on the Internet, the difficulty of objecting to
being watched and known by invisible and anonymous forces on the grounds of
personhood or human status becomes greater.
A fourth element that may help to account for the
ebbing of an appetite or taste for privacy is democratic
theatricality. There may be continuity between theatricality and exhibitionism
as there is between exhibitionism and gregariousness. Now, if democracy
intensifies innate human sociability in the direction of gregariousness and
exhibitionism throughout an entire society rather than confining them to
particular classes, it introduces its own kind of theatricality. Common to all
elements that I have mentioned is a dislike of too much privacy,
understood as either solitude or company that is chosen and selective. We might
say that all these elements crave audiences of one sort or another, audiences
that are larger and grander than oneself or oneself together with a few others.
But I find in theatricality a disposition to which I am, consistently or not,
quite sympathetic. In an authoritarian and hierarchical society, a person plays
one's role as a member of a class or caste; in a democracy, one plays oneself
as an individual personality, converts oneself into a style or role. This
latter is the democratic sort of theatricality. (Peter Weir's Truman played
himself without knowing it.)
But what does it mean to say that one plays oneself?
Democracy is supposedly committed to being oneself in naturalness and
spontaneity. That may be true in some parts of life, especially the intimate
ones, but I would not exaggerate the presence of either spontaneity or
naturalness in intimacy, either. Be that as it may, the sense I infer is that
most people think that only by effort is one able to appear as one's real self
because one's real self can only be one's best self. To be real to oneself one
must be real to others. One can be real to others only if one puts on a
performance, only if one performs oneself. This is not hypocrisy; it is not an
artifice of feigning. It is too exuberant for that. One is oneself when one
gives as it were a theatrical imitation of oneself. One tries to have moments
when one conducts oneself as if one were presenting oneself on a special
occasion. Much of everyday life is otherwise too routinized or fragmentary to
call oneself out of one. This mentality is not mere narcissism, but a craving
for the aestheticized reality of one's self. Even the examples of
gregariousness and exhibitionism that I gave partake perhaps of the sentiment
of theatricality; namely, unless one sometimes imagines oneself at the center
of the attention of others, innumerable and unknown others, one would be
obscure to oneself, not just to others. But if I am near a truth, then we can
see that being watched and known by invisible and anonymous forces, in the absence
of abuse or molestation, can be thought to be very serious with only great
difficulty. The prevalent feeling in a democracy is that each of us exists as a
self to be watched and known, almost as much as possible. Being watched and
known is democratic discipline and the preliminary to making oneself worthy of
attention.
Paul Romer, the producer who developed the Big Brother
reality TV program, compared the European and American contestants. He is
reported as saying, "In the American house, our contestants never forget
they're on camera.... In Europe they stopped thinking of the camera very
quickly." How to account for what the Times's reporter Bill Carter calls
the "extreme media awareness of the United States contestants"?
Another producer had the answer: Americans "are all trying to produce
themselves" (The New York Times, Sept. 4, 2000, pp. E1/9). Why make a
fuss, then, about being watched and known by the practitioners of the new
techniques, unless and until some substantial, not metaphysical, menace
presents itself? I've tried to give the answer to that question throughout this
paper.
I am left with the thought that a fallback position is
needed. If you think with me that personhood or human status is damaged by the
simple fact that a propitiously situated few place us under camera surveillance
and acquire and store countless details on each of us without our permission or
even knowledge, then we must be prepared to think tactically. We must sketch an
argument in whose truth we believe but that does not rely on the idea of
personhood or human status in the absence of felt oppression or abuse. The
postulate would be that the powers of surveillance and accumulated information,
and exemplified not just by camera surveillance and databases, will inevitably
be used to oppress whole populations and violate their rights, and thus deny
their human status. The tactical argument would seek to present a comprehensive
picture of what these new powers have so far achieved, and then project them.
The underlying thought is that every power is eventually abused, and if crises
do not favor power's use, pretexts will be found. I offer a version of the
slippery-slope kind of argument. The terminus ad quem is totalist tyranny. But
there are intermediate steps between what we have now and the worst possible
outcome. The trouble is that democracy, in the opinion of Tocqueville, Mill and
others, even before the technological enhancement of the powers of surveillance
and information, tends to a condition that Tocqueville calls democratic
despotism, which is not a cruel and grinding despotism, but rather a fairly
pleasurable one. Tocqueville says, "It would seem that if despotism were
to be established among the democratic nations of our days, it might assume a
different character; it would be more extensive and more mild; it would degrade
men without tormenting them.... Among this race of men stands an immense and
tutelary power, which takes upon itself alone to secure their gratifications
and to watch over their fate.... For their happiness such a government
willingly labors, but it chooses to be the sole agent and the only arbiter of
that happiness.... The principle of equality has prepared men for these
things..." (1954). Aspects of the welfare state already show more than
traces of such a despotism. To be sure, the subject is worried about, and not
just by people whose only concern is not to be taxed as much as they are. We
have experiences of being smothered in a bureaucratic blanket. Democratic
despotism is brought closer in time to us in Roderick Seidenberg's remarkably
prescient book, Post-Historic Man (1954 [1950]). It is not, however, the worst
condition. In an increasingly crowded world, we could imagine what D. H.
Lawrence calls a "soft hell," a strict regimentation that hems
everyone in and rations goods and feelings carefully. The soft hell is conveyed
best by Eugene Zamiatin's futurist novel, We (1959 [1924]), or in an even
softer way by Aldous Huxley's Brave New World (1953 [1932]). And at the end of
the journey lies total domination, undisguisedly tyrannical, if not necessarily
bent on totalitarian exterminationism.
The powers for total domination are insidiously being
heaped up, not with total domination as a conscious purpose but as an
expansive, incrementally adjusted, and not fully intended or admitted purpose.
But a trauma can make the means of control irreversibly tyrannical. In fact,
what exists potentially for an entire population is already actual for quite a
number of types of people: naturalized citizens, immigrants (legal and
illegal), suspects, and prisoners. Frequently, they are subjected to abuse that
violates their personhood with judicial acquiescence, and we are tempted to say
that they are being experimented on so that authorities may learn how to
dominate a whole population in the future. We are entitled to make much of the
fact that officials in a constitutional democracy can be so alienated from the
spirit of the laws as to treat any person with such calculated (more calculated
than impulsive) disregard of the human status. What does such disregard, even
though selective, indicate about the authenticity of the political system? How
can a supposedly authentic constitutional democracy contain pockets of tyranny
or despotism, not to mention the atrocities it commits abroad? In any case, we
cannot prophesy; we can only have our dreads. But, to repeat, the human record
is clear on one thing: every power or capacity is eventually abused. The
tactical truth is that present dangers are pregnant with future disasters. The
tactical truth is the most important truth. We may not be heard when we say
that the present situation is in itself, without further technological change,
a grave assault on the human status, even though violations of an extended right
of privacy have not yet been declared or even felt. But
we can be heard if we make much of the potentiality that already exists for
general and unmistakable oppression.
REFERENCES
Huxley, Aldous. Brave New World. New York: Bantam, 1953
[1932].
Rosen, Jeffrey. "The Eroded Self." The New
York Times Magazine, April 30, 2000: 66.
Seidenberg, Roderick. Post-Historic Man. Boston:
Beacon, 1954 [1950].
Tocqueville, Alexis. Democracy in America (1835, 1840).
Vol. 2. Trans. Reeve/Bowen. New York: Vintage, 1954.
Zamiatin, Eugene. We, New York: Dutton, 1959 [1924].
PART VII
IS PRIVACY NOW
POSSIBLE? A DISCUSSION
INTRODUCTION
BY KENNETH PREWITT
THE question before the panel is of course rhetorical. Privacy is simultaneously possible and impossible, depending
on shifting legal norms, public expectations, and technological developments.
It also depends on whether our own social status invites
intrusion. Criminals, though they try to escape scrutiny, are more vulnerable
to surveillance than the law-abiding. Privacy then
varies, depending on what actions, or traits, are "criminalized"--for
example, being HIV positive? Or, a different example, the "shop until you
drop" crowd is vulnerable to the commercialization of information about
their buying habits. Those who shop less, because they are poor or because they
don't want stuff cluttering up their life, are less interesting to marketers
and presumably their buying habits are less scrutinized, repackaged, and sold.
Perhaps a useful way to frame the issue is to consider
the borders that separate three spheres: the market economy, the state, and
what is now called civil society. Public policy is largely the ongoing
negotiation among the three spheres with respect to how much of what activity
will be performed or provided where, and how resources are shifted from one
sphere to another. The boundaries between these spheres are continually being
renegotiated, with rather large shifts under way at present as state-controlled
economies give way to liberal, that is, private for-profit economic activity;
and as the democratic transition reduces the scope of authoritarian state power
in favor of a greater role by nonstate civil society actors.
Of course, smaller-scale negotiations and modifications
are continually at play, illustrated by the privatization surge in many
advanced industrial states. Medical services, long dominated by the public and
the nonprofit sector, are increasingly managed by the for-profit sector. The
boundary between church and state was not fixed once and for all by the
Reformation, but remains in flux as, for example, in the current debate in
United States politics about whether faith-based organizations should receive
tax dollars to provide social services.
Attitudes toward and protection of privacy
are caught up in these constant negotiations at the borders of market, state,
and society. Consider the market. The new knowledge economy is information
hungry. Information is its infrastructure just as farm to market transport was
the infrastructure for the agricultural economy or the telegraph and railroads
became the infrastructure for the emergence of the industrial economy. The
information density of the knowledge economy is in large part based on
assembling millions and millions of discrete facts about individuals: where we
live, what we buy, how we travel, what we watch. The knowledge economy
inevitably shrinks the sphere in which privacy
flourishes.
Or consider the state. Its appetite for detailed
information about individual members of society derives from two of the most
critical functions we assign to government: security from foreign threat or
from criminal assault on person or property; and, ever more targeted provision
of social services. When it is time to collect your social security check, you want the state to have maintained
an accurate accounting of your earnings history and disabilities.
It is at the borders each of us shares with the market
and with the state that we depend on the law--which defines the borders and
regulates transactions across them--to keep up with the rapid changes in
technology.
With these notions in mind, we might reframe the title
of this session as follows: What laws and policies are called for to make privacy possible given the interaction of new information and
surveillance technologies with shifting understandings of what is the market,
what is the state, and what is civil society?
IS PRIVACY NOW
POSSIBLE? A BRIEF HISTORY OF AN OBSESSION
ANITA L. ALLEN
The question I am asked to address is whether privacy is now possible. Privacy is
still possible, of course. It is still possible to spend an hour alone with a
book behind closed doors, an hour in a garden secreted in the corner of a
backyard, an hour in bed with a lover. Economic class may determine whether one
can buy a book or a garden; gender may determine whether one is nursing as one
reads; and religion may determine how guiltless the tryst. But privacy
is still possible.
Privacy is also still possible,
unfortunately, because the sick die alone in hospital rooms crowded with
machines; the seemingly incorrigible languish in solitary prison cells; the
vulnerable are harassed and abused at work and in their own homes. Privacy is still possible, though, to some extent, one must
wish that privacy were less possible, accountability
more exacting. Those who injure and abuse should be exposed and brought to
justice. We need to reexamine institutions and practices that encourage
inhumane social isolation.
Although, for better and for worse, privacy
is plainly still possible, this is an age characterized by anxious discourse
about "the end of privacy" being upon us. I
find peculiar two aspects of this end-of-privacy
anxiety.
The first peculiarity is that the anxiety sometimes
seems out of proportion to the threat. The affluent occupy 4,000-square-foot
homes nestled among mature trees in bucolic suburbs; they work in those homes
and in spacious private offices; they drive alone in commodious sedans; they stroll
about anonymously in urban centers; they vacation at remote resorts; they date,
marry, and divorce whom they please. And yet they decry their loss of privacy. To be sure, the Internet compromises informational privacy, and there are limits on certain important choices
(try to marry your lesbian lover in South Carolina). But in the United States,
the affluent, and a great chunk of the middle and working classes, have
considerable physical privacy and personal autonomy.
The second peculiarity about the anxiety of the age is
that all the talk about the involuntary loss of privacy
coincides with a good deal of voluntary waiver and alienation of privacy. One wonders sometimes if Americans are losing the
taste for privacy (Allen, 1999a). Scarcely any topic,
from diseases to divorces, can be discussed at the water cooler. The family
secret, on behalf of which Louis Brandeis and Samuel Warren invented the right
of privacy, is just another commodity, an eventual
disclosure awaiting a lucrative media contract (Warren and Brandeis, 1890). A
hundred years ago a woman might have sued to ease the shame of a stranger
witnessing the birth of her child; today she might give birth live on the World
Wide Web (Allen, 2000).
As a culture, we are obsessed with privacy,
and so we express outrage when others invade our privacy;
but we are equally obsessed with the private, and so we are mass consumers of
other people's private lives and willing purveyors of our own. How did we come
to be this way?
The obsession with privacy began
in the 1960s (Westin, 1967). That decade saw the United States Supreme Court
popularize the idea of legal rights to privacy. The
court relied on the concept of constitutional rights to privacy
to set the standards for lawful search and seizure (Katz v. United States,
1967), and to overturn laws criminalizing birth control (Griswold v.
Connecticut, 1965), interracial marriage (Loving v. Virginia, 1967), the use of
pornography in the home (Stanley v. Georgia, 1969), and abortion (Roe v. Wade, 1972).
These precedents inspired later efforts to establish sexual privacy
rights for gays and lesbians, including Bowers v. Hardwick (1986).
The escalation of the Cold War, the conflict in
Vietnam, and racial turmoil over civil rights led Americans to express concern
about the government's techniques of espionage, surveillance, and social control. The surveillance technologies used for
spying--which could potentially be used to monitor the behavior of ordinary
citizens and suspected criminals--raised concern about the fate of freedom and
democracy in a society in which the details of private life could be discerned
with the help of covert wiretapping, and powerful lenses, microphones, and
cameras (Alderman and Kennedy, 1995). Congress enacted the Omnibus Crime
Control and Safe Streets Act in 1968, permitting--but setting limits
on--wiretapping and certain other forms of surveillance. The problem of
electronic surveillance was addressed again in major legislation, the
Electronic Communications Privacy Act, in the 1980s.
By 1970 some Americans had come to see high-speed
computers as potential threats to informational privacy
(Agre and Rotenberg, 1997). Concerns over "data banks" containing
personal profiles emerged. The potential for the unfair use of personal
information and misinformation stored in commercial and government data banks
led to federal laws, including the Privacy Act of 1974,
the Family Educational Rights and Privacy Act of 1974,
and the Right to Financial Privacy Act of 1978. A
national commission formed by federal lawmakers, the U.S. Privacy
Protection Study Commission, published its two-volume report, Personal Privacy in an Information Society in 1977. The report
recommended that "fair information practices" govern the collection,
storage, and use of personal information about individuals (Schwartz and
Reidenberg, 1996).
A further development in the decades of the 1960s and
1970s increased interest in privacy: advances in
medicine and health care. Advances in these areas enabled physicians to prolong
the lives of terminally ill and critically injured patients and fragile
newborns. The ability to extend life created difficult bioethical questions
regarding the allocation of decision-making authority about matters of life and
death among patients, health care providers, family members, and insurers.
Conceptions of privacy and autonomy were adduced by some
ethicists as relevant to the assignment of authority and responsibility.
Medical advances in the 1960s and 1970s also enabled women and their physicians
to prevent and safely terminate pregnancy. Access to birth control and
abortions was defended in the courts, legislatures, and on college campuses,
and championed as a matter of women's privacy rights.
The AIDS epidemic and the Human Genome Project have also increased interest in
the use and abuse of medical information (Allen, 1997).
These developments put privacy
on the radar screen. Further changes have kept it there. One is the popularity
of the Internet as a social and commercial setting that
exposes us to privacy losses. Another development is the
aggressive, sensational, and confessional television journalism that gained in
popularity after 1990 and that has raised concerns about the privacy
that is stolen and the privacy that is given away.
The sexual revolution, the feminist movement, and the
entry of women into the workforce and the academy resulted in a greater
emphasis in public life and the media on what were traditionally private
matters. After Congressman Wilbur Mill's altercation with an exotic dancer in
the Washington, D.C., tidal basin, the media no longer turned a blind eye to
the personal lives of public officials (Allen, 1999b). The Watergate scandal
had established investigative journalism as a major political force within
American life. After Watergate, however, the scope of investigative journalism
broadened and took on a more commercial slant. Journalists engaged in
made-for-prime-time undercover efforts to reveal corporate and professional
wrongdoing. Camera-bearing journalists rode along with law enforcers and
medical rescue personnel. In addition, daily television shows aimed at women
during which guests reveal family problems, medical concerns, and personal
relationships gained in popularity. These spawned evening programming aimed at
men and women in which ordinary people confront one another about unresolved
interpersonal conflicts.
Other popular television programs featured the personal
challenges and conflicts of children at camp and adults living together in
communal houses. A number of programs based on European models appeared in
2000, in which people lived in isolated settings with cameras trained on them
24 hours a day for extended periods. Thanks to television, events, including
the Clarence Thomas hearings, the O. J. Simpson murder trial, the impeachment
trial of President William J. Clinton, and the deaths of Princess Diana and
John F. Kennedy, Jr., made the intimate lives of public figures and public
officials everyone's business. Important ethical issues about the value of privacy and celebrity were raised by these developments.
I began teaching and writing about privacy
15 years ago, before the Internet was in our homes and before privacy
was a household world. At that time my main concern was how best to address the
unequal distribution of privacy and autonomy in our
society. Women, I thought, had too little of the privacy
and private choice they needed to live up to their potential as the equals of
men (Allen, 1988).
The current obsession with privacy
and its twin obsession with the private have led me to two principal queries.
First, is the taste for privacy declining to intolerable
limits? Should the liberal and civil libertarian even care? My view is that
both the unwanted gaze lamented by Jeffrey Rosen (2000) and the wanted gaze are
problems for any brand of liberalism that takes privacy--the
experience of it, not just the choice to experience it--as essential for the
independence of mind and spirit called for by a robust democracy. Second,
granted that privacy is important, is accountability not
important too, as Amitai Etzioni (1999) has stressed (though on grounds and in
contexts with which one might take issue)? For all the talk about privacy, we are in fact held accountable for nearly every
aspect of private life--if not by the general public or our employers, then by
our families, friends, and ethnic and religious groups. The justifications for
accountability for personal life merit further study. In the meantime the
obsession with privacy and the private continues.
REFERENCES
Agre, Philip E. and Marc Rotenberg, eds. Technology and
Privacy: The New Landscape. Cambridge: MIT Press, 1997.
Alderman, Ellen and Caroline Kennedy. The Right to Privacy. New York: Random House, 1995.
Allen, Anita L. Uneasy Access: Privacy
for Women in a Free Society. Totowa, N.J.: Rowman and Littiefield, 1988.
Allen, Anita L. "Genetic Privacy:
Emerging Concepts and Values." Genetic Secrets. Ed. Mark Rothstein. New
Haven: Yale University Press, 1997.
Allen, Anita L. "Coercing Privacy."
William and Mary Law Review 40:3 (March 1999a): 723-57.
Allen, Anita L. "Privacy
and the Public Official: Talking About Sex as a Dilemma for Democracy." George
Washington Law Review 67:5/6 (June/August 1999b): 1165-82.
Allen, Anita L. "Gender, Privacy
and Cyberspace." Stanford Law Review 52:2 (May 2000): 1175-1200.
Etzioni, Amitai. The Limits of Privacy.
New York: Basic Books, 1999.
Rosen, Jeffrey. The Unwanted Gaze. New York: Random
House, 2000.
Schwartz, Paul M., and Joel R. Reidenberg. Data Privacy Law. Charlottesville, VA.: Michie, 1996.
Warren, Samuel and Louis D. Brandeis. "The Right
to Privacy." Harvard Law Review 4 (1890): 193-220.
Westin, Alan. Privacy and
Freedom. New York: Atheneum, 1967.
IS PRIVACY STILL
POSSIBLE IN THE TWENTY-FIRST CENTURY?
JERRY BERMAN AND PAUIA BRUENING
Is privacy a realistic
possibility in the twenty-first century? Will the "Digital Age" be one
in which individuals maintain, lose, or gain control over information about
themselves? Will it be possible to preserve a protected sphere from
unreasonable government and private sector intrusion?
Without question, the growth of government and commercial
transactions and the increase in technological developments over the last 50
years have heightened threats to privacy. Today the
Internet accelerates the trend toward increased information collection and
facilitates unprecedented flows of personal information. Cellular telephones
and other wireless communication technologies generate information about an
individual's location and movements in a manner not possible until now.
Electronic communication systems generate vast quantities of transactional data
that can be readily collected and analyzed. And law enforcement agencies,
particularly at the federal level, place increasing emphasis on electronic
surveillance.
Confronted by these challenges, there are still grounds
for optimism. While dangers to privacy capture our
attention, they sometimes lead us to understate the unprecedented gains in privacy protection that have also been achieved over the last
half of the twentieth century. In many cases the legal system has laid a
foundation for privacy protection through court
decisions, state and federal legislation, and self-regulation. For example:
* tapping personal telephone calls without a warrant
was not considered unconstitutional until 1967;
* national security surveillance gained considerable
oversight in the post-Watergate era; during the Vietnam era millions of
citizens were watched by federal authorities;
* important privacy protections
were provided for electronic communications in 1986; and
* although records have never been given constitutional
protections, Congress has stepped in to protect privacy
by passing legislation that includes the Fair Credit Reporting Act, the Privacy Act, and the Video Privacy
Protection Act.
In many instances, users of new technologies have taken
their privacy into their own hands. They have demanded
and availed themselves of powerful new technologies to protect their privacy. And individuals have found--and used--the avenues
afforded them by new communications media to make vocal their demands for privacy. New technologies and standards that enable users to
protect their privacy are on the way.
These privacy gains can be
augmented and many threats to privacy can be overcome if
citizens band together for reform and enlightened policy. The hope for
progress, in sum, lies in the hands of engaged citizens who avail themselves of
the legal, technological, and political opportunities to act in the marketplace
and the political arena. Advocates, committed to reform, must communicate that
promise to the public. To do otherwise risks convincing individuals that they
are powerless in the face of the rise of digital technology and that their only
choice in the era of information is to do nothing. Recent history,
technological developments, and the action of an informed public make the case
for something different: given the necessary legal and technological tools and
a clear voice, citizens can demand and achieve good privacy
protection. The answer to whether privacy can still be
protected is an emphatic yes. What is critical in making privacy
a reality in the twenty-first century is the conviction of citizens that privacy is possible.
WHAT DO WE TALK ABOUT WHEN WE TALK ABOUT PRIVACY?
In the United States, the concept of privacy
has evolved since it was first articulated by Justice Brandeis in 1898. His
definition of privacy--"The right to be let
alone" (Brandeis and Warren, 1890)--has been influential for nearly a
century. In the 1960s, 1970s, and 1980s, the proliferation of information
technology (and concurrent developments in the law of reproductive and sexual
liberties) prompted further and more sophisticated legal inquiry into the
meaning of privacy. Justice Brandeis's vision of being
"let alone" no longer suffices to define the concept of privacy in today's digital environment, where personal
information can be transported and distributed around the world in seconds.
At the end of 2000, ideas about privacy
are more complex, reflecting the rapid and remarkable advances in computing
that have made possible both unprecedented monitoring and the unprecedented
collection, storage, manipulation, and sharing of data.
Today, when we talk about privacy,
we are often talking about personal autonomy as it relates to information about
an individual. Privacy entails an individual's right to
control the collection and use of his or her personal information, even after
he or she discloses it to others. When individuals provide information to a
doctor, a merchant, or a bank, they expect that those professionals or
companies will collect the information they need to deliver a service and use
it for that sole purpose. Individuals expect that they have the right to object
to any further use. Implementation of principles of fair information
practices--notice, choice, access, security, and enforcement--is key to
preserving this autonomy by ensuring that an individual's privacy
interests in his or her personal information are protected.(FN1)
Privacy today also refers to
protection from government surveillance. The Fourth Amendment, originally
intended to protect citizens from physical searches and seizures, establishes
an expectation of privacy in communications as well. New
technologies that enhance the ability of law enforcement to monitor
communications and compile an array of information about an individual test the
limits of Fourth Amendment protections and require that we revisit and redefine
our established ideas about this constitutional protection.
THREATS TO PRIVACY
Advances in communications technologies over the last
half century significantly challenge individual privacy.
Deployment of rapid and powerful computing technologies has vastly enhanced the
ability to collect, store, link, and share personal information. This ability
to manipulate information has played a critical role in reshaping the American
economy, making it possible to predict consumer demand, manage inventories,
serve individual consumer requirements, and tailor marketing techniques. But to
do this successfully, businesses require and use information about individuals,
which means that the demand for personal information, and business efforts to
acquire it from customers, constantly increase.
Undoubtedly, the Internet has made this kind of data
collection and analysis easier and more efficient. Rather than rely on
secondary sources of consumer information, or engage in cumbersome telephone
and mail-in information collection practices, companies can collect data
online, through registration and as a transaction is carried out. Technologies
such as "cookies," written directly onto a user's hard drive, enable
websites to collect information about online activities and store it for future
use. Using cookies, companies can track a consumer's online activities,
creating a wealth of behavioral and preference information. This information
can be collected over multiple websites, potentially creating a rich dossier
about consumers, including their preferences and their online behavior.
Cellular networks generate data by collecting information
about the cell site and location of the person making or receiving a call.
Location information may be captured when the phone is merely on--that is, even
if it is not handling a call. Both government and the private sector are
interested in this location information. While the government seeks to build
added surveillance features into the network and ensure that it can access the
increasingly detailed data the network captures, the private sector is using
this new information to provide emergency "911" services and is
considering its potential for advertising.
Enhancements to law enforcement surveillance
capabilities also raise serious privacy concerns.
Wireless services provide phones that are readily tapped at central switches.
Wireless phone location information generated when a person makes or receives a
call can be obtained by law enforcement by subpoena or court order. Email
messages are in some respects easier to intercept than regular mail. Technology
has freed law enforcement intercepts from the constraints of geography,
allowing intercepted communications to be transported hundreds or thousands of
miles to a monitoring facility. And computer analysis allows agencies to review
vast amounts of information about personal communications patterns far more
easily.
A LOOK AT HISTORY
Although threats to privacy have
loomed large in recent decades, advances in privacy have
also been significant. If, when we talk about privacy,
we mean personal autonomy and protection against unwarranted government
surveillance, recent history gives us reason to be hopeful about the future of privacy.
LIMITS ON ELECTRONIC SURVEILLANCE
In the landmark Berger v. New York (1967) and Katz v. United
States (1967) cases, the Supreme Court ruled that electronic surveillance
constituted search and seizure and was covered by the privacy
protections of the Fourth Amendment. In Berger, the court condemned lengthy,
continuous, or indiscriminate electronic surveillance,(FN2) but in Katz, the
court indicated that a short surveillance, narrowly focused on interception of
a few conversations, was constitutionally acceptable if approved by a judge in
advance and based on a special showing of need. Congress responded to these
rulings by regulating wiretapping, establishing a system of protections
intended to compensate for the intrusive aspects of electronic surveillance.
According to the Senate report, the legislation had "as its dual purpose
(1) protecting the privacy of wire and oral
communications, and (2) delineating on a uniform basis the circumstances and
conditions under which the interception of wire and oral communications may be
authorized" (U.S. Senate, 1968: 66).
In 1972, the government took first steps to address the
collection and storage of information through computer technologies. Elliot L.
Richardson, secretary of the Department of Health Education and Welfare,
appointed an Advisory Committee on Automated Personal Data Systems to explore the
impact of computerized record keeping on individuals. In the committee's
report, published a year later, the advisory committee proposed a code of fair
information practices. These principles form the basis of the Privacy
Act of 1974, a response to privacy concerns raised by
Watergate-era abuses that addressed collection of information by the federal
government. Creating the principles of fair information practices proved to be
seminal work; they have formed the basis for all subsequent codes and laws related
to information collection at the state and federal level and in international
agreements and treaties.
Congress acted to regulate wiretapping in national
security cases in 1978 through another statute, the Foreign Intelligence
Surveillance Act (FISA). In 1986 Congress addressed the challenges to privacy presented by the emergence of wireless services and
the digital era with the adoption of the Electronic Communications Privacy Act (ECPA). ECPA addressed wireless voice
communications and electronic communications of a nonvoice nature, such as
email or other computer-to-computer transmissions. ECPA was intended to
reestablish the balance between privacy and law
enforcement, which had been tipped by the development of communications and
computer technology and changes in the structure of the communications
industry.
LEGISLATIVE ADVANCES IN INFORMATION PRIVACY
While gains in privacy
protection in the 1970s focused on limiting government surveillance, the rapid
advances in computing and in Internet communications and commerce have turned
the focus toward information privacy. In the late 1990s,
individuals achieved new gains in the privacy of
personal information. More work toward legislative protection remains to be
done.
Medical Information. In the early 1990s society
witnessed tremendous changes in both the collection and the use of health
information. The transition from fee-for-service health care to managed care
led to demand for unprecedented depth and breadth of personal information. At the
same time the environment for information began to move rapidly from paper
forms to electronic media, giving organizations a greater ability to tie
formerly distinct information together and send it easily through different
sources. To address theses concerns, the Clinton administration issued new
rules under the 1996 Health Insurance Portability and Accountability Act to
protect the privacy of medical records. This set the
first comprehensive federal standards for transactions that, until then, were
regulated by a patchwork of state laws.
Children. Congress passed the Children's Online Privacy Protection Act (COPPA) to protect children's personal
information from its collection and misuse by commercial websites.(FN3) COPPA,
which went into effect on April 21, 2000, requires commercial websites and
other online services directed at children 12 and under, or that collect
information regarding users' ages, to provide parents with notice of their
information practices and obtain parental consent prior to the collection of
personal information from children.
Consumer Information. The late 1990s brought the first
steps toward protection of information collected from consumers online. Efforts
on the part of government and business to require that companies doing business
online comply with fair information practices represent an unprecedented step
toward empowering consumers to protect the privacy of
their personal information. In the past, information collected from consumers
online or offline was not subject to fair information practices--consumers
received no notice about a company's information policy, were afforded no
choice about how the information might be used, and had no recourse when the privacy of their information was not respected. Importantly,
consumers had no avenue for redress when information about them had been used
improperly. The advent of the Internet brought a new focus on information
collection practices and new self regulatory oversight.
As the debate continues about protecting consumer
information, growing effort is being directed toward baseline legislation
requiring companies to comply with fair information practices and to submit to
a dispute resolution process. For the first time, we are on the way to
investing individuals with rights in their information and with an avenue of
recourse for privacy violations.
THE PROMISE OF TECHNOLOGICAL TOOLS FOR PRIVACY
Progress in law is only one area in which privacy has been enhanced in the last century. Applications of
technology that limit the collection of transactional information that can be
tied to individuals has proliferated, giving individuals tools to protect their
own privacy. From anonymous mailers and web browsers
that allow individuals to interact anonymously to encryption programs that
protect email messages as they pass through the network, individuals can
harness the technology to promote their privacy.
Some tools developed to protect privacy
exploit the decentralized and open nature of the Internet. These tools may
limit the disclosure of information likely to reveal identity, or decouple this
identity from other information. Others create cashlike payment mechanisms that
provide anonymity to individual users, vastly reducing the need to collect and
reveal identity information.
Encryption. Encryption tools provide an easy and
inexpensive way for a sender to protect information by encoding information so
that only a recipient with the proper key can decode it.
Encryption is particularly important because of the
inherent difficulties of securing the new digital media. The open decentralized
architecture that is the Internet's greatest strength also makes it hard to
secure. Internet communications often travel "in the clear" over many
different computers in an unpredictable path, leaving them open for
interception. An email message from Washington to Geneva might pass through New
York one day or Nairobi the next--making it susceptible to interception in any
country where lax privacy standards leave it
unprotected. Encryption provides one of the only ways for computer users to
guarantee that their sensitive data remains secure regardless of what
network--or what country--it might pass through.
The recent relaxation of export laws in the United
States should ensure that stronger encryption technologies will be built into
commercial products. As this begins to occur, it will be important to educate
consumers on how they can protect themselves using these tools.
The Platform for Privacy
Preferences. Developed by the World Wide Web Consortium, the Platform for Privacy Preferences (P3P) is emerging as an industry standard
that provides a simple, automated way for users to gain more control over the
use of personal information on websites they visit. P3P-enabled websites make
information about a site's privacy policies available in
a standard, machine-readable format. The P3P standard is designed to
automatically communicate to users a website's stated privacy
policies and how they compare with the user's own policy preferences. Users are
then able to make choices about whether to visit a website on the basis of the
site's privacy policy.
P3P does not set minimum standards for privacy,
nor can it monitor whether sites adhere to their own stated procedures. However,
P3P technologies give control to web users who want to decide whether and under
what circumstances to disclose personal information.
THE VOICE OF EMPOWERED INDIVIDUALS
Equally important to the strides in privacy
is the voice of individuals.
Using email, websites, listservers, and newsgroups,
individuals connected to the Internet are able to quickly respond to perceived
threats to privacy. Individuals protested when Internet
advertising company DoubleClick's plan to link personally identifiable information
collected offline with that collected online was revealed. Negative media
coverage, coupled with plummeting stock prices, forced DoubleClick to pull back
from its plan. Similarly, when Intel released its Pentium III microprocessor
with technology that facilitates the tracking of individuals across the World
Wide Web, outcry in the Internet community prompted Intel not only to install a
software patch that disabled the technology but also to discontinue its
installation in the next model, Pentium IV. Clearly the Internet provides users
with a wide forum for discussion and a powerful platform from which to spread
their message. Through the Internet and other media, the active vigilance of
individuals can and does force the government and the private sector to reckon
with a growing and vocal privacy constituency.
CONCLUSION
Recent history has presented enormous threats to privacy, but the public has also made significant gains in privacy protection through legislation, technological tools,
and action in the marketplace and the political arena. Privacy
is a work in progress, and more work remains to be done. In particular,
baseline legislation to address the collection of consumer data is a critical
resource that would assure individuals consistent application of principles of
fair information practices and an effective redress mechanism. Industry must
continue to develop and refine privacy-enhancing
software so that they keep pace with new business models and new technologies.
In the debate about privacy, individuals must continue
to use the Internet and new communications technologies to make their views
clearly heard and understood.
Is privacy something we can
reasonably hope for in the twenty-first century? If recent history is any
indicator, it is. But whether or not we achieve the kind of privacy
we want ultimately depends on whether citizens are willing to organize and act
as they have in the past. That will happen only if the public believes privacy is possible.
Equally important is the newfound voice of individuals.
Through the use of email, web sites, listservers, and newsgroups, individuals
on the Internet can quickly respond to perceived threats to privacy.
Whether it is a proposal before the Federal Reserve Board requiring banks to "Know
Your Customers," or the release of a product like Intel's Pentium III that
could facilitate the tracking of individuals across the World Wide Web,
Internet users have a forum for discussion, and a platform from which to spread
their message. This active vigilance can and does force the government and the
private sector to contend with a growing and vocal privacy
constituency.
FOOTNOTES
1 Under principles of fair information practice, an individual must first
receive adequate notice about what information is being collected about him and
how it is to be used. Second, the individual must be able to make choices about
the use of information collected about him. Third, the individual must be
allowed reasonable access to information maintained about her. Fourth,
information about an individual must be secured, so that its accuracy and
integrity is maintained. Finally, collectors of information must be subject to
an enforcement mechanism that assures their compliance with fair information
practices and provides individuals with a means of recourse when their rights
in their data have not been respected.
2 See Berger v. New York 388 U.S. 59 (1967); Katz v. United States, 389 U.S.
354-59 (1967).
3 The Federal Trade Commission promulgated the Children's Online Privacy Protection Rule in 1998.
REFERENCES
Brandeis, Louis D. and Samuel D. Warren. "The
Right to Privacy." Harvard Law Review 4 (1890).
U.S. Senate. Omnibus Crime Control and Safe Streets
Act. Rept. No. 90-1097 (1968).
THE NECESSITY OF PRIVACY
JEAN L. COHEN
My answer to the question posed to participants in the
round-table discussion as to whether privacy is now
possible, was and remains "Yes." This "yes" is not naive:
it is proclaimed in full awareness of the theoretical difficulties plaguing
attempts to articulate a coherent and normatively compelling concept of privacy and to justify constitutional protection for a right to
privacy in the current epoch. My affirmative is also
intended to stand up to a range of serious critiques of the oppressive effects
(past, present, and potential) of privacy discourse.
My work on privacy has been in
the area of intimate association: indeed I have just finished a book to be
published by Princeton University Press entitled Sex, Privacy
and the Constitution: Dilemmas of Regulating Intimacy. There my concern is not
the threats to informational privacy posed by recent
technological innovations. Rather, I focus on the implications of profound
cultural and social changes in the understanding of sex,
gender, and sexuality that have informed the development of the new line of
constitutional privacy analysis discussed by David
Garrow in his contribution to this issue of Social
Research. It is these developments that are behind the intense controversies
over how to regulate intimacy that we see erupting in a variety of
areas--ranging from reproductive rights and the legitimacy of homosexual relationships
to sexual harassment.
To put it simply, for the first time in history women
are being recognized as full legal persons and equal citizens. They are also
beginning to insist on their own agency and happiness in the domain of intimacy
and elsewhere. Shifts in the cultural imaginary regarding the meaning of gender
and sexuality inform and follow from these developments, as does contestation
over gendered roles, the appropriate forms of intimate relations, the ethics
and responsibilities of intimacy, and the gendered division of labor.
Indeed, the rights revolution begun in the 1960s
vis-ý-vis race and class has had its impact in the area of sex/gender and
intimate association. National legislation and the constitutionalization of key
rights protecting the privacy and equality of
individuals in the "domain of intimacy," both hotly contested, are
the expression of this trend. Just how intimate relationships at home and at
work are to be regulated by law has become a key stake in the culture wars of
the late twentieth century.
Privacy analysis has long been
suspect in this domain, not only because the legal decisions have been poorly
reasoned (as Garrow points out), but also because privacy
discourse has been used to shield unjust gendered power relations in the family
and elsewhere. I argue that privacy is nevertheless an
important value for much the same reasons as Charles Nesson articulated in his
keynote address, and that the idea of a general constitutional right to privacy remains a good one. Garrow is certainly right about
the strategic choices behind the development of constitutional privacy
analysis in this country. But this genesis does not ipso facto have to mean
that justifications for a constitutional right to privacy
covering key aspects of intimate association must be arbitrary, flawed, or
incoherent.(FN1) Rather, it means that the theoretical and legal reasoning
behind privacy analysis needs to be carefully rethought.
A right to privacy accords decisional autonomy, control
over access, and freedom from public judgment to the rights holder: it neither
requires secrecy nor involves shame. Privacy rights do
not silence; instead they protect communicative liberty: the freedom to choose
whether, when, and with whom one will discuss intimate matters. Moreover, such
a right absolves the person from having to justify, in terms that everyone can
accept, the actions and decisions covered by such a right. Instead, it protects
difference--ethical, evaluative, aesthetic--while providing space for creativity
and experimentation in the domain of intimacy.
As we all know, privacy is an
enabling condition for intimacy. A constitutional right to privacy
covering intimate association and decisions is meant to position the rights'
holder as an ethically competent person and to shield her intimate decisions
and relationships from arbitrary regulation (public power) and from oppressive
restrictions in the exercise of her rights (whether they stem from private or
public power). One can of course openly follow one's sexual orientation and
discuss intimate choices with others, provided this does not violate the trust
of intimate associates. The choice to do so, or not to do so, is what a privacy right protects.
Yet constitutional privacy
rights shielding intimate relationships involve conceptions of privacy
and of legitimate intimate association and decision making that can shift over
time. We are in the midst of one of these seismic shifts: disputes over the
reach and function of privacy protection (i.e., over
which intimate relationships and decisions are to be covered) imply that the
formerly hegemonic conception of privacy has been
destabilized.
It is no longer possible to restrict privacy
protection to a "conjugal family" construed as an entity constituting
the "domestic sphere" deemed off limits to legal intrusion within it.
Nor has the corollary of this conventional approach remained acceptable: state
"morals" legislation aimed at controlling non- or extramarital
intimacies through prohibition or direct regulation on the assumption that they
are, by definition, immoral. The naturalness of the old private/public
dichotomy along with the gender assumptions that informed previous strategies
of regulation have collapsed. So have some of the theoretical understandings of
the presuppositions of privacy analysis.
It had long been assumed by legal and political
theorists that privacy analysis must perforce operate
with an essentialist understanding of what is intrinsically private and that it
posits a prepolitical natural domain of liberty in which the state must not
intervene. The two dominant approaches to the regulation of intimacy share this
assumption, although their assessments of privacy
analysis differ. The classical liberal insists that intimate relations should
be a matter of personal choice protected by privacy
rights (see Richards, 1998: 233-287; Tribe, 1988: 1302-1435). Intimate
relationships involving sexuality are construed as central to any contemporary
conception of what privacy must cover. Provided there is
no force or fraud, the less state regulation and legal interference in this
domain, the better.(FN2)
Feminist criticism has, however, shown that intimate
association is pervaded by power relations and that sexual intimacy can be a medium
of injustice. The "sex equality" approach thus rejects privacy analysis for allegedly entailing the idea of a
power-free domain of personal autonomy immune to the demands of justice. Direct
substantive regulation of intimate association to protect equality should
replace privacy claims that shield injustice within the
family. Legal regulation of sexual expression at work or at school is also
required to prevent the use of sexualization to perpetuate gender hierarchy and
gendered exclusions.
Thus, when the law enters to protect women from
injustice in order to secure their equality (be it in the form of regulating
domestic violence or sexual harassment in the workplace or in schools), it
seems that privacy has to be sacrificed. Accordingly, privacy and legal regulation to ensure equality and to protect
against injustice seems to be in a zero-sum relationship. Either privacy entails nonregulation, including the absence of any
valid claim to state support, or regulations for the purpose of protecting equality
involve intrusive intervention and the sacrifice of privacy.
We are left with the following paradox: legal regulation of sexual expression
and intimate personal interactions in the name of justice can undermine the
personal autonomy and privacy that is constitutive of
intimate relationship and thus interfere with the pursuit of happiness, which
is its purpose. Yet nonregulation permits injustice to go undeterred and
unpunished.
This paradox appears inexorable in two key areas of
innovative jurisprudence: the development of constitutional privacy
analysis covering intimate personal decisions regarding reproductive rights,
and the development of sexual harassment law out of civil rights legislation
oriented by the constitutional principles of equal protection and
nondiscrimination on the basis of sex. In both, liberty and equality values
seem to clash and an unattractive choice between legal regulation or
nonregulation appears unavoidable. Let me briefly explain.
Initiated by the landmark decision in Griswold v.
Connecticut in 1965, in which the Supreme Court explicitly recognized a
constitutional right to personal privacy for the first
time (covering the use of contraception), what is referred to as the "new privacy jurisprudence" has developed around matters of
reproductive rights, abortion, and intimate personal relationships
generally.(FN3) What is new in this jurisprudence is not the application of the
concept of privacy to the marital relationship or to the
family as construed as an entity. The innovation lies in the court's
articulation of the constitutional grounds for protecting the personal privacy and decisional autonomy of individuals vis-ý-vis
"intimate" personal concerns whether or not these arise within the
marriage.
Previously the common law doctrine of family privacy protected the authority of the (male) head of
household over everyone within the family unit against outside interference.
Two assumptions underlay this jurisprudence: state legislation could not
violate "natural orderings" of intimate relationships in the
"private" sphere; and the regulatory police powers of states were
limited to matters involving an accepted public purpose in the public
interest.(FN4) This model of regulating intimacy had a clear logic: the public
purpose was to promote reproductive sexuality within heterosexual monogamous
marriage, and to shield the family unit constituted by it. This meant that
"privacy" protection was limited to the
nuclear family. States had wide latitude to regulate non- or extramarital
intimacies or "public morals."
The new privacy jurisprudence
turns this approach on its head. It articulates the concept of a constitutional
right to personal privacy as an individual right of
ethical autonomy (to pursue one's conception of the good) along with a
conception of individual privacy that now applies to
important aspects of the domain of "morals" formerly the special
preserve of state regulation. A trend has thus emerged toward the
individualization and constitutionalization of matters that in the past had
fallen under the rubric of "family law" and morals legislation by the
states. The recognition of the full legal personality and civic equality of
women informs this trend. Pluralization of the acceptable forms of intimate
association is one of its effects. The certainty that there is one morally
correct way to pursue intimate relationships has been undermined along with the
raison d'ýtre of a large part of the states' "morals" legislation.
The constitutionalization of individualized privacy
rights construed as "fundamental" in the domain of intimacy ascribes
to the intimate associates themselves the competence to choose the forms in
which they pursue happiness and attempt to realize their conceptions of the
good life. The value of personal autonomy in the domain of intimate association
has been acknowledged, as has the necessity of fostering and shielding the
diverse purposes of intimacy: happiness and experimentation on the one side,
solidarity, mutual care, and responsibility on the other.
But the "discovery" of
"fundamental" privacy rights in the
"domain" of intimacy raises important philosophical, sociological,
and legal-constitutional issues and it certainly has not gone uncontested.
Indeed, it seems paradoxical that privacy and autonomy
rights are being asserted as "fundamental" just when the foundational
philosophical arguments that served in the past to justify such ideas have lost
their ability to convince.(FN5) Notions of natural rights or natural liberty
antecedent to and that limit government have an antiquated air to them after
the linguistic turn in philosophy. The argument that there are essentially
private matters that constitute a domain beyond justice is hard to defend. So
is the sociological image of a natural, private, prepolitical sphere in the age
of the interventionist state. Constitutional privacy
analysis seems to entail a shift of large areas of what was once the province
of state-controlled family law and a state-regulated status regime to private
contractual ordering. Yet many argue that contractualization of intimate
association involves a pernicious form of privatization in which those with
less social power than others are bound to lose when the
norms of intimate association are violated or when that association breaks
down. Fears of this sort lead some to argue against fundamental constitutional privacy rights altogether. They claim that since the state
legally constitutes the domains of action subject to its regulatory power, even
the decision not to regulate a particular activity is a political decision, not
the expression of a fundamental right. The autonomy or privacy
the law claims to recognize is its own creation. The entire discourse of
nonintervention, of fundamental privacy rights
protecting the individual and her negative liberty against the state, seems
anachronistic.
A similar conundrum pervades the area of sexual
harassment law. Here too it seems that regulation aimed at deterring gender
injustice in the workplace that occurs through the medium of sexual expression
entails the sacrifice of privacy (both of harassee and
harasser) and autonomy. Sexual harassment itself violates the privacy
and autonomy of the harassee by imposing unwanted intimacy on her and by
sexualizing her while blocking her equality. Yet rules regulating harassment
claims in private corporations and in lawsuits often force people to submit to
invasive questioning about their sexual past, to risk public exposure of the
intimate details of their lives, to accept censorship of erotic expression, and
intrusive regulation of consensual as well as unwanted relationships between
coworkers. Here, too, freedom and privacy seem to be
traded off for equality.
If one rethinks the assumptions informing the various
legal paradigms orienting the regulation of intimacy, it is possible to avoid
many of the paradoxes and to break out of the dichotomy I have
articulated.(FN6) The first step involves disassociation of the concept of a privacy rights from false assumptions about what it allegedly
entails: the positing of natural liberty, essentialist conceptions of privacy, the idea of natural, private orderings, the
opposition between legal regulation and personal liberty; the positing of a
sphere beyond justice, a shift from status to contract. These are artifacts not
of privacy rights per se, but of the liberal paradigm of
law.(FN7)
In other words, one can concede that privacy
is socially, culturally, and legally constructed without abandoning the notion
of a right to privacy. We may argue and fight about
where the boundary line should be drawn between the zone of intimacy and other
aspects of life, but we do have to draw such a boundary. One can find ways to
protect personal autonomy and control over access as well as the freedom for
imagination and creativity that privacy symbolizes and
shields while ensuring equal liberty. What is needed is not only a cogent
conception of privacy that is cognizant of the political
dimensions of various constructions of it, but also awareness of the effects of
particular forms of legal regulation on people, values, and behavior.
It is possible to answer both the feminist and
jurisprudential critiques of privacy analysis. The
solution is not heavy-handed state regulation typical of what is called the
welfare paradigm of law.(FN8) Instead, the shift away from the old oppressive
and inegalitarian status regime governing intimacy must involve the recognition
of the need to publicly regulate new forms of self-regulation. Constitutional privacy analysis ought not and need not entail a wholesale
delivery of the "domain of intimacy" to private contractualist
orderings. Rather, if one reasons from the standpoint of a reflexive legal
paradigm, one can acknowledge a pluralism of legal forms, become aware of the
diverse effects of forms of legal regulation, and allow for reflection on the
appropriate form for each domain. In short, reflexivity toward forms of legal
regulation allows one to take a nuanced approach to these matters.
"Reflexive law" is a form of law that regulates self-regulation by
articulating standards, procedures, and principles that cannot be violated by
private ordering, yet it refrains from prescribing outcomes. The reflexive
paradigm lets one choose among liberal, welfare, and reflexive legal forms.
Those areas of intimate association that should be protected by classic liberal
negative liberties, left to private ordering, or shielded by privacy
rights need not be construed as beyond justice but as subject to the regulation
of self-regulation when necessary.(FN9) Privacy and
autonomy can be protected without resuscitating the anachronistic assumptions
of the liberal legal paradigm. I cannot go into detail here but will close by
saying that it is well worth the effort to try to rethink the normative and
theoretical importance of privacy rights in the domain
of intimacy and to develop a nuanced analysis of the legal forms that would be
required to protect everyone's liberty and privacy
equally. I hope to have contributed to this project.
FOOTNOTES
1 Garrow argues that it was not possible to invoke substantive due process
because it was discredited in the aftermath of the New Deal. Thus the court had
to find another way to protect the right to use contraception and it came up
with privacy. This analysis is correct so far as it
goes. I would argue, however, that turning to privacy
was not as arbitrary as it seems because privacy has
taken on rich symbolic meaning formerly attached to property, which, after the
New Deal, became a purely economic concept.
2 For a libertarian argument along these lines, see Posner (1992). See Fineman
(1995) for an argument in favor of the de-legalization of marriage.
3 See David Garrow's essay in this issue of Social
Research.
4 See Gillman (1993) for a general and excellent discussion.
5 See Habermas (1981: 1-143, 339-403; 1987: 294-327). See also Foucault (1974).
6 A legal paradigm is a set of cognitive and normative background assumptions
informing legislative and jurisprudential interpretations of the appropriate
relationship the law should establish between state and society. For a
discussion see Habermas (1996: 398-446).
7 The liberal legal paradigm sees threats to freedom as coming from the state
and its intrusive jurisprudence. One is free where one is not subject to law.
Accordingly, negative liberty--freedom from regulation--is the heart of
liberty. On this approach, the state should guarantee the negative liberties of
everyone equally, including their privacy. People should
be restricted as little as possible. Law must be formal, general, and limited
to the function of defining the abstract spheres of action for the autonomous
pursuit of interests.
8 See Habermas (1996). Among feminist equality theorists, Catharine MacKinnon
is the most noteworthy example of this orientation.
9 There are also areas of intimacy that do require direct substantive legal
regulation. Laws against marital violence or rape are a good example.
REFERENCES
Fineman, Martha. The Neutered Mother, the Sexual
Family, and Other Twentieth-Century Tragedies. New York: Routledge, 1995.
Foucault, Michel. The Order of Things. New York:
Pantheon, 1971.
Gillman, Howard. The Constitution Besieged: The Rise
and Demise of Locher-Era Police Powers Jurisprudence. Durham, N.C.: Duke
University Press, 1993.
Habermas, Jýrgen. Theory of Communicative Action, Vol.
I. Boston: Beacon Press, 1981.
Habermas, Jýrgen. "An Alternative Way Out of the
Philosophy of the Subject." In The Philosophical Discourse of Modernity.
Cambridge: MIT Press, 1987.
Habermas, Jýrgen. Between Facts and Norms. Cambridge,
England: Polity Press: 1996.
Posner, Richard A. Sex and Reason. Cambridge: Harvard
University Press, 1992.
Richards, David A.J. Women, Gays, and the Constitution.
Chicago: University of Chicago Press, 1998.
Tribe, Lawrence. "Rights of Privacy
and Personhood." In American Constitutional Law. 2d ed. Mineola, N.Y.:
Foundation Press, 1988.
IS PRIVACY NOW
POSSIBLE?
THERESA M. MCGOVERN
Most of my legal work over the last decade has involved
violations of medical privacy. As the founder and, for
more than ten years, executive director of the HIV Law Project, I have
witnessed the violent impact of medical privacy
violations on an extremely vulnerable client population. When health or social services personnel, family members, neighbors, or acquaintances
inappropriately revealed a client's HIV status, the disclosure often led to
domestic violence, eviction from housing, or a multitude of other types of
abuse for my gravely ill patients.
In the late '80s early '90s, I represented many children
who faced discrimination because their teachers had revealed their HIV status
to other staff and parents. There were instances in which very young children
were prevented from attending classes with other HIV-negative children. In one
case, all the parents removed their children from a preschool swimming class
because the facility had revealed the three-year-old's HIV status.
I also represented many tenants who were dying of AIDS
but facing eviction because a landlord had learned that they had AIDS. Perhaps
most sadly, I worked with many HIV-positive individuals who faced severe abuse
and even eviction by family members who had learned of their HIV status. The
source of the unauthorized disclosure was often a social
services or health-care provider or a neighbor who had spotted the client on
the AIDS wing of the local hospital. The great majority of my clients lived in
constant fear of having their illness discovered.
But through the early years of this epidemic, public
health officials made a concerted effort to avoid such disclosures. However,
the importance of privacy diminished as the demographics
of affected populations shifted. In the early public health literature
responding to the emerging AIDS epidemic, privacy and
confidentiality were considered the cornerstone of the fight against the
epidernic. But as the years passed and the numbers of women of color, injection
drug users, and gay men of color infected with HIV continued to rise, the
emphasis on privacy was replaced by a trend toward
mandatory testing and partner notification methods as well as criminalization
of HIV transmission.
So, to return to the original question, "Is Privacy Now Possible?" I would have to answer
"no"--at least not for pregnant women who are HIV positive in New
York State or for anyone living with HIV in New York State.
MANDATORY HIV TESTING OF NEWBORNS AND
MOTHERS
On February 1, 1997, New York became the first state in
the nation to institute a controversial mandatory HIV newborn-testing program.
The law was opposed by a broad coalition of medical providers, advocates for
HIV-affected populations, and women and civil liberties groups. To pass this
law, the New York State legislature amended a long-standing HIV confidentiality
law prohibiting an HIV test without the written informed consent of the
recipient except women giving birth from its protection (Public Health Law
2500-f).
While at first glance the legislators' action may seem
quite reasonable, close analysis shows this policy to be suspect. The HIV test
of the newborn is only an HIV test of the mother. An infant who tests HIV
positive at birth has been exposed to HIV but the mother is HIV positive. All
infants born to HIV-positive mothers will test HIV positive at birth because
they are born with the mother's HIV antibodies. Without any medical
intervention at all, however, two-thirds of these infants will convert to
HIV-negative status in the first 18 months of their lives. Thus, the mandatory
test of the infant is a mandatory test of the mother and simply an exposure
screen for the newborn. The test does not constitute lifesaving treatment for
the infant.
DISMISSING THE PRIVACY
RIGHTS OF MOTHERS
The context of this legislation is fascinating. For
years providers had failed to offer HIV counseling and testing to affected
women. I examined the medical records of hundreds of women who had never been
offered an HIV test, despite strong evidence of immunocompromise. These women
had visited city hospitals for years and had never been offered an HIV test. I
represented many mothers with children who learned of their own HIV status when
their child became sick. Again, despite constant visits to healthcare
providers, they had never been offered an HIV test. I never encountered a
refusal to test among any of my female clients.
For years advocates had been asking the Department of
Health for regulations requiring prenatal counseling and an offer of HIV
testing, but to no avail. In fact, a regulation requiring prenatal HIV
counseling and testing was only implemented after litigation by several
advocacy groups representing women with HIV (Chanele Mathews et al. v. Pataki,
Index No. 107912/96).
The focus on testing newborns was strange for a number
of reasons. In fact, various regimens administered during pregnancy had been
found to reduce the likelihood of HIV transmission by the mother to the infant
by one-third. In the late 1990s, it was discovered that administering
medication to the infant immediately after birth could also reduce the
likelihood of transmission. But when New York State implemented its
newborn-testing law, the state did not return HIV positive infants' test
results for approximately a month. Representing women who had never been
offered a prenatal HIV test and had breast-fed for a month only to learn that
the baby had tested HIV positive, we went to court to demand that this
so-called infant lifesaving mandatory testing scheme have some medical
significance (R. Z. v. Pataki, Index No. 97-112960). We argued that the
mother's privacy right to medical decision making for
herself and her child could not be overridden if the state failed to provide
lifesaving information or treatment for an infant tested pursuant to this
scheme. In this instance the constitutional intrusion on the mother's right to privacy would be justified only if the information were
delivered in time to affect the medical outcome. In response to the litigation,
the state was forced to implement a rapid HIV-testing scheme as part of the mandatory
HIV newborn-screening program (R. Z. v. Pataki, Index No. 97-112960).
CONSEQUENCES OF MANDATORY HIV TESTING
By all accounts, prenatal therapy is the best route for
the reduction of mother-to-infant HIV transmission. Because the newborn-testing
scheme was implemented before all hospitals and providers had begun to
routinely offer prenatal testing and counseling, many women who were tested
through their infants without consent asked why they had not been offered
prenatal testing. Other mothers were informed of the positive newborn screen in
crowded clinical settings. In one case, hospital staff informed a mother's
partner, placing this mother and child in imminent danger.
No independent mechanism is in place to monitor testing
and privacy abuses related to mandatory newborn testing.
In this instance the state of New York decided that the medical privacy of the mother and the right to make medical decisions
for herself and her child were outweighed by the need to identify HIV-exposed
infants.
The legislative and media debates surrounding this
controversial policy demonized opponents of the mandatory testing law.
Proponents of mandatory testing characterized opponents as crazed civil
libertarians who valued a mother's right to privacy over
the infant's right to live.
PARTNER NOTIFICATION
As of June 1, 2000, when an individual tests positive
for HIV or has a laboratory result that indicates the presence of HIV, his or
her name and the names of all contacts, sexual partners, needle-sharing partners,
or those who may have been exposed in an occupational setting during the last
ten years who are known to your physician, lab, health provider, or blood bank
are reported to the Department of Health (Chapter 163 of the Laws of 1998
amended, PHL Article 21; 10 NY Code Rules and Regulations, Part 63).
Health-care providers are mandated to report such names. The provider must ask
you for names and if you refuse or even if you comply, the provider can search
your medical records for evidence of such contacts. A doctor must also inform
the HIV-positive patient of his or her options for notification. A public
official can do the notification or the individual can do it as long as such
notice is verifiable. The health-care provider is not supposed to reveal your
identity and he or she is supposed to determine if the disclosure may create a
risk of violence. The counseling does not tell you that you have a right not to
disclose the names. Again, the state Department of Health deemed privacy of HIV-positive individuals less important than any
partner's right to be informed of exposure. And although this may seem to be a
sound policy at first glance, the potential for abuse is great for many
individuals infected by the very individuals who are now being notified about
exposure (Chapter 163 of the Laws of 1998 amended, PHL Article 21; 10 NY Code
Rules and Regulations, Part 63).
CONCLUSION
We have moved from the protection of privacy
as a key component in the control of this epidemic to the enactment of laws
that emphasize tracing and tracking of transmission. The efficacy of these new
laws remains unproved. At this time no independent mechanisms have been set up
in New York State to track related privacy abuses. In
fact, when one advocacy group attempted to set up a hotline where women could
report abuses related to mandatory newborn testing, the state Department of
Health refused to allow the posting of the hotline number in its HIV clinics.
This allows proponents of such measures to claim that there are no negative
consequences to such approaches. Many would argue that the enactment of such
measures and the devaluation of the medical privacy of
HIV-positive individuals is tied to the demographic shift and the relative
political power of affected communities.
SECRETS FOR SALE
MAGGIE SCARF
The answer to the question being addressed at this
conference--"Is Privacy Now Possible?"--would
surely be a resounding "Yes" if the general public were fully alerted
to the range of threats posed to every man, woman, and child in this nation by
the increasing ease of access to our personal medical information. This is not
an abstract issue--it's an "in-your-face" issue--but too few people
are as knowledgeable about it, and therefore as concerned, as they ought to be.
If this frightening genie does fully escape the bottle, we will surely never
get it back inside again.
Why should anyone want to see our medical records? The
answer is that the information they contain is (like our credit information) a
very marketable commodity. A long struggle has been taking place to make this
information legally available to those who want to sell it. Indeed, immense
profits can be reaped from aggregated medical records, and a number of computer
database companies (Equifax, the huge credit-reporting agency, is at the
forefront) have been moving relentlessly forward to stake their claim to this
highly lucrative data.
How would this personal information be used? An
advertising agency handling a pharmaceutical company's account might be
interested in knowing the ages, ethnicity, and economic backgrounds of the
users of a certain antidepressant. Or an employer might want to know the
medical and psychiatric status of a present or future employee. Insurers could
make use of detailed mental health records to exclude especially vulnerable
applicants from their pool. Once such information is online, and accessible, it
can be obtained (for a price) at the touch of a button.
Let me pause here to say a word about medical privacy, something we all take for granted. What is it? It is
the ability of a person to go into a doctor's office and talk about his or her
most personal, private matters--matters such as sexual concerns, spousal abuse,
a teenage child's use of drugs. These may be problems that we wouldn't discuss
with our closest friends, so do we want them freely accessible to people other
than our physicians--perhaps without our consent, or even our knowledge? Would
we be able to trust in the confidentiality of the medical encounter, which is
so deeply ingrained in us now (it has existed throughout the history of
medicine), or would we come to see our physicians as potential informants and
therefore censor what we told them?
Let me cite a famous example of what can happen in
situations where gross privacy loopholes exist. This is
the case of Ann Linehan, a Boston woman in her early sixties who went to her
health maintenance organization for routine treatment of a urinary tract
infection. The doctor she saw that day (someone she had never met before),
glanced over her medical file, then said flippantly, "I can certainly help
you with your medical problems, but I can't help you with your mental problems."
At the time Linehan was being treated for a stress disorder that had erupted in
the midst of a wild family dispute--a legal battle to gain access to an
out-of-wedlock grandchild--and she believed her talks with her psychiatrist to
be completely confidential.
To Linehan's dismay, she discovered that detailed notes
on every session had been stored in a computerized medical record that was
accessible to anyone--doctors, nurses, clerks, assistants--within the huge
health plan to which she belonged. This incident reached the desk of a Boston
Globe reporter, who began to write about this and other privacy
violations; the ensuing series of articles raised a storm of controversy in
that city. The upshot was that the Massachusetts legislature enacted more
stringent and effective privacy laws--which is the
outcome one would like to see at a national level.
But unless the public becomes sufficiently aroused,
events are likely to keep moving in the opposite direction; our medical data is
likely to be stored in an electronic library where an awful lot of people have
legal access to a library card. This will be particularly true if some federal
regulations the Clinton administration floated should ever become the law of
the land.
These regulations, which were an eleventh-hour
amendment to the popular Kennedy-Kassebaum health care law (The Health
Insurance Portability and Accountability Act of 1996), upheld a Supreme Court
ruling that psychotherapy records are privileged information. Under the terms
of the 1996 bill, Secretary of Health and Human Services Donna Shalala was
ordered to submit to Congress within one year "detailed recommendations on
standards with respect to the privacy of individually
identifiable health information." She was also mandated by the provision to
issue regulations that were to become law if Congress had not passed
satisfactory legislation protecting medical confidentiality by August 21, 1999.
If Congress had not acted by then (at the time, approximately five or six
different privacy bills were being floated on Capitol
Hill, but the issues involved were so contentious that none had gathered
sufficient steam to move forward), Shalala would have six months in which to
draw up federal directives regarding the electronic transmission of medical
data. As a result, by February 2000, she would have been empowered to enact
important federal regulations regarding patient privacy
protections by default.
The institutional machinery was certainly in place for
her to do so; but for privacy advocates, the prospect
did not prove to be a heartening one. In September 1997, Shalala sent an
initial, 90-page report to Congress. In the report she did "talk the
talk"--she asserted that there exists an "age-old right to medical privacy" upon which the quality of health care is highly
dependent--but when it came time to "walk the walk" in terms of solid
pro-privacy legislative recommendations, Shalala and her
advisory committee put forth some proposals that sounded downright alarming.
Their report proposed that "the traditional
control on use and disclosure of information, the patient's written
authorization, be replaced [my italics] by comprehensive statutory controls on
all who get information for health care and payment purposes." In other
words, Shalala and her committee (which was dominated by members of the health
information industry) simply dumped our historic, long-held ethical views
regarding informed patient consent.
Indeed, they advocated making everyone's personally
identifiable medical data available "for health care and payment
purposes." This would create a situation in which we would not necessarily
know if and when someone was accessing our intimate health information for
"health care and payment purposes." The information could be used 1.)
for banking and payment processes; 2.) for research where there has been a
waiver of patient consent by a designated "privacy
board" (whatever happened to informed consent?); 3.) for public health
functions as authorized by law; and 4.) for judicial and administrative
proceedings in response to an order from a court or administrative tribunal as
authorized by law. These are but four of the thirteen important
"exceptions" to the rules purported to secure our confidential
medical information. The bottom line is that many people--perhaps your local
dogcatcher included--will have legal access to information you may have told
your physician in the strictest of medical confidence.
Another scary piece of legislation lurking in this late
amendment to the Kennedy-Kassebaum Act is the "unique health
identifier," which is a record, from "sperm to worm," of any
contact with a health care provider--whether paid for out of pocket or through
a health plan--that an individual has throughout his or her lifetime. This
personal identifier has been dubbed the "national tattoo." If use of
this identifier ever becomes mandated by federal law, the days of back-alley
abortions will be gone; instead, there will be back-alley medical appointments!
At the time that this new provision was reported on in
the newspapers, I should note, the reaction of the public was immediate and
indignant; Vice President Al Gore called for a moratorium on the development of
the unique public health identifier until such time as strong patient-privacy legislation was securely in place. Congress, not to be
outdone, put real teeth in the recommendation by cutting off all resources for
the implementation of the unique health identifier until the close of the
fiscal year. At present, the idea is still in limbo, but the concerted
corporate push for a "personal identifier" has by no means been
abandoned.
Yet another privacy concern that
has recently arisen is known as OASIS: not the pure lagoon in the desert, but
the "Outcome and Assessment Information Set." This is an effort
sponsored by the Health Care Financing Administration to gather personal,
invasive information--answers to some 80 questions--about individuals receiving
home-health care. At first the intent was to force the nurses sent to
residences by home-health care agencies to fill out this questionnaire for
everyone who received such care (even daily bed baths). "However, after an
article about this enterprise appeared in the Washington Post, there was such
an outcry that the effort was scaled back; at present it is only Medicare
patients who are required to answer the questionnaire.
It must be said that some of the questions included in
the OASIS questionnaire are really off the wall. Does the patient use
profanity? Does the patient have thoughts of suicide? Does the patient make
sexual references? Does the government need to know these things to cut the
cost or improve the quality of care?
We have recently also seen the emergence of a new breed
called "pharmacy benefits managers." These are people who study which
medications we are taking (who said they could look at them?) in the interest
of turning a profit. Here is an example of why this kind of intrusion should
cause concern. A short while ago a local doctor with whom I chatted at a dinner
party told me that he had received a list of his patients who were using a
certain antidepressant. The pharmacy benefits manager who had sent the letter
was trying to get this physician to switch these people to a newer
antidepressant, sold by his own company. It's a hell of a nerve in any case,
but in fact several of the patients who were on the list were not among this
physician's clientele! I should add that we live in a small university city,
and the doctor did know several of these individuals socially. These people are
completely unaware that their privacy was violated.
Privacy experts tell me that
much more secure confidentiality safeguards could be put in place were it not
for the money to be made from our medical information. As things stand, a lot
of corporate interests are slavering to gain legal access to our personal and
identifiable medical data. This is just a rough idea of the scope of the privacy problem that we, as a society, face. I think that at
some level many of us are denying and avoiding this problem because we respect
and trust our doctors, and we want them to make us better! However, unless
we're watchful, the government could force them into the role of informers, a
kind of internal Stasi. "Above all, do no harm" is a part of the
Hippocratic oath; but this situation can do us and the medical profession a
huge amount of damage. Privacy will only be possible if
we insist upon it.