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In search of the common good : the ethics of disclosing personal information held in public archives MacNeil, Heather Marie 1987

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IN SEARCH OF THE COMMON GOOD: THE ETHICS OF DISCLOSING PERSONAL INFORMATION HELD IN PUBLIC ARCHIVES By HEATHER MARIE MACNEIL M.A., Simon^Fraser  U n i v e r s i t y , 1985  A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHIVAL STUDIES in THE FACULTY OF ARTS A d m i n i s t e r e d by S c h o o l of L i b r a r y , A r c h i v a l and I n f o r m a t i o n S t u d i e s and Department o f H i s t o r y  We a c c e p t t h i s t h e s i s as c o n f o r m i n g to the required  standard:  THE UNIVERSITY OF BRITISH COLUMBIA AUGUST 1987 © Heather M a r i e  MacNeil  In  presenting  degree freely  at  this  the  available  copying  of  department publication  of  in  partial  fulfilment  University  of  British  Columbia,  for  this or  thesis  reference  thesis by  this  for  his thesis  and  study.  scholarly  or for  her  of I  I further  purposes  gain  shall  requirements  agree  that  agree  may  representatives.  financial  the  be  It not  that  the  be  Library  an  advanced  shall  permission for  granted  is  for  by  understood allowed  the that  without  The University of British C o l u m b i a 1956 Main Mall Vancouver, Canada V6T 1Y3  DE-6(3/81)  of  copying my  SCHOOL OF LIBRARY, ARCHIVAL AND INFORMATION STUDIES  it  extensive  head  permission.  Department of  make  my or  written  ABSTRACT The  right  to  privacy  is  determine, w i t h i n reasonable known  to  others.  increase  in  Over  the  maintained  in  increasing  public  technology use  of  massive  social  the  government  to which they  are  twenty  of  personal  data  banks,  years  w e l l as  Automated record-keeping  a  capability  from  has  led  to  Computer  preservation  h i g h l y " d e t a i l e d personal  information  citizens  privacy.  collection,  as  enormous  on  systems  information  to the  the  information  a  and  information  a broad  range  systems  permit  wide  which, c i v i l  social  contract  underlying  relations  variety  of  libertarians  between  the s t a t e r e q u i r e s t h a t i n d i v i d u a l s surrender  privacy far  the extent  i s v u l n e r a b l e to abuse. The  and  to  characteristics  transactions.  linking  fear,  for  of  individual  individuals  personal  concern  bodies  last  of  record-keeping  has"contributed  documenting of  of  goyernment  right  limits,  the  amount  the  in return  f o r p h y s i c a l and  does t h a t c o n t r a c t extend?  implicitly,  social  Does the  some measure of  protection.  social  governs the c o l l e c t i o n of p e r s o n a l  archivists,  government  permit  subsequent  official uses  a d m i n i s t r a t i v e u s e f u l n e s s has Social  researchers,  keepers of  that  of  information  which,  entitle  records, once  to  its  been exhausted?  including social  a f f i r m a t i v e p o s i t i o n , arguing  how  i n f o r m a t i o n i n the  benefits, also  the  But  contract  i n t e r e s t s of a d m i n i s t e r i n g v a r i o u s s o c i a l as  citizens  historians,  that the c l o s u r e of i i  records  take  an  containing  personal  of  of  freedom  information  enquiry  or  the  communicate knowledge i n the The  question  value  as  values  the  will  right  to  address for  information  the  and  these and  competing moral c l a i m s  concludes  that,  in a  the  In  right  to  the  principle  pursue  possess the  and  questions  by  examining uses  r o l e the a r c h i v i s t f o r p r i v a c y and  democratic  same moral  moral duty  research  of  right  two The  ethical  personal  in  access.  s o c i e t y , the  lie?  the  plays  to  good.  s i t u a t i o n s where the  archivist's  against  social  of  i n t e r e s t of a g r e a t e r s o c i e t a l  privacy?  where does  justifications  the  scholar's  i s , does freedom of enquiry  conflict,  thesis  is a violation  mediating  The  thesis  to  privacy  supersedes the s c h o l a r ' s freedom of e n q u i r y .  In s i t u a t i o n s where  the  two  public  the  r e c o r d , must a c t on  right  values  conflict,  archivists,  behalf  as  the  trustees  of that p u b l i c to ensure t h a t  to p r i v a c y i s not v i o l a t e d .  of the  TABLE OF CONTENTS  ABSTRACT  i i  CHAPTER I PRIVACY AND HISTORICAL RESEARCH: MAPPING THE MORAL TERRITORY  1  CHAPTER II THE EVOLUTION OF PRIVACY AS CONCEPT AND RIGHT  14  CHAPTER I I I HISTORY FROM THE BOTTOM UP: TRENDS IN HISTORICAL RESEARCH SINCE WORLD WAR  II  60  CHAPTER IV PRIVACY DILEMMAS  IN HISTORICAL RESEARCH  87  CHAPTER V NEGOTIATING FOR THE COMMON GOOD: THE SOCIAL RESPONSIBILITY OF ARCHIVISTS  117  CONCLUSION  159  BIBLIOGRAPHY  164  iv  I  PRIVACY AND  HISTORICAL RESEARCH: MAPPING THE  MORAL TERRITORY  H i s mind of man, a s e c r e t makes I meet him with a s t a r t He c a r r i e s a c i r c u m f e r e n c e In which I have no p a r t . Emily  In Right the on  1890,  Samuel  to P r i v a c y "  case f o r the the  exposure  be  their  to p r o t e c t private  to mental  inflicted  evolved  by  defamation  and  laws,  still  In  pain  and  The  1  their  based  right  believed,  consent,  "subjected  d i s t r e s s , far greater  to  2  The  legal  to  tended  such  as  issues With  personality  than  to  theft,  the  has  could  focus  has on  trespass,  exception  largely  an [an  system that  however, has  rights. to  "The  i t , they argued  r i g h t to p r i v a c y  without  Brandeis  recognition,  injury  published  i n d i v i d u a l s against u n j u s t i f i a b l e  affairs  squatters'  comprehensive l e g a l If  and  rights, relating  copyright  Review.  mere b o d i l y agony."  from t h a t  property  Brandeis  "inviolate personality."  exposure which, Warren individual]  Louis  r e c o g n i t i o n of a g e n e r a l  intended  of  and  i n the Harvard Law  p r i n c i p l e of  p r i v a c y was  Warren  Dickinson  of  escaped  definition.  a comprehensive  definition  of  privacy  p o s s i b l e to i d e n t i f y the u n d e r l y i n g 1  escapes us,  notions  of  i t is  privacy.  Defence against one  i n t r u s i o n — i n t o one's home or  such n o t i o n ; a n o t h e r  third  n o t i o n , and  privacy  of  the  i s defence  one  information.  against  personal  life—is  surveillance.  A  most p e r t i n e n t t o t h i s d i s c u s s i o n , i s In The  P o l i t i c s of P r i v a c y , James Rule  argues t h a t , i n the l a s t twenty y e a r s , c o n c e r n s over p r i v a c y have mainly power:  t o do w i t h i n v a s i o n of p r i v a c y by t h o s e a t the c e n t e r s "that  information entities," In  a  3  i s , they by  r e s u l t from  powerful  but  the  more  demands  or  less  for  of  personal  distant  social  A u s t r a l i a n Law  Reform  governments, f o r example. 1978  report  on  privacy,  the  Commission d e f i n e d the c o n c e p t of i n f o r m a t i o n p r i v a c y  as:  ....the need f o r p r o p e r r e s p e c t f o r the autonomy of the individual. To deny t h e i n d i v i d u a l t h e a b i l i t y t o c o n t r o l , t o an a p p r o p r i a t e e x t e n t , h i s r e l a t i o n s h i p s w i t h o t h e r s i n the community i s t o compromise h i s autonomy. In the c o n t e x t of p e r s o n a l i n f o r m a t i o n , the i n d i v i d u a l ' s c l a i m to privacy i s therefore a c l a i m to c o n t r o l , t o an a p p r o p r i a t e e x t e n t , the way t h a t o t h e r s i n the community p e r c e i v e him. The way t h a t p e r s o n a l i n f o r m a t i o n about i n d i v i d u a l s i s c o l l e c t e d , u s e d and d i s c l o s e d i s a matter f o r p r i v a c y c o n c e r n . 4  One  manifestation  of  the  threat  to  information  privacy  benign s u r v e i l l a n c e power a f f o r d e d by the maintenance of records  by government i n s t i t u t i o n s and  agencies.  is  the  personal  Record-keeping  has been, f o r c e n t u r i e s , a t o o l of p u b l i c a d m i n i s t r a t i o n , and i t s p r i m a r y purpose has social of  and  political  a l w a y s been t o p r o v i d e c o n t r o l of  the modern w e l f a r e  state  individual  i n the  behaviour.  1930s b r o u g h t  enormous i n c r e a s e i n the amount of p e r s o n a l 2  a mechanism f o r The with  the rise  i t an  information available  i n p u b l i c r e c o r d - k e e p i n g systems. urban and hold,  anonymous, and  record  personal  keeping  revolution  computer  the  most  involves  conventional  written  machine-readable collection,  detailed  fundamental  changes  recorded.  in  the  or p r i n t e d form  form.  information  aspect form  Information  Computer  preservation  characteristics,  and  began  such  as  that  was  to to  take store  the  computer  nature once  of  in  i s i n c r e a s i n g l y recorded  in  has  contributed  of massive bodies of  that  describing  political  data banks c o u l d ,  i n d i v i d u a l members of  individual  bank, c o n t r o l over  access  enormous amount  society  information  i s immediately  argues Jean Tener i n " A c c e s s i b i l i t y and  in  i s stored  attenuated.  private  in a  Archives:"  developments such as t h i s pose a p o t e n t i a l l y privacy.  3  data  Moreover,  5  r i g h t to  of  computerized  T e c h n i c a l s o p h i s t i c a t i o n e n a b l e s 'the c e n t r a l i z e d p r o c e s s i n g and storage of l a r g e bodies of d a t a ' from which ' h i g h l y d e t a i l e d a n a l y s i s would reveal r e l a t i o n s h i p s and p e r m i t t h e d r a w i n g of inferences about people not p o s s i b l e before the computer.  s e r i o u s t h r e a t to the  the  processes.  p o t e n t i a l l y , make communications about  l e s s c o n f i d e n t i a l . Once  to  highly  r e c o r d i n g human t r a n s a c t i o n s , or documenting  'about  Technological  the  recorded  t e c h n o l o g i c a l c a p a b i l i t y to s t o r e an  information  of  and  technology  use  elements of s o c i a l , economic and  things  technologies  systems expanded i n t h e i r c a p a c i t y  information  The  s o c i e t y became i n c r e a s i n g l y  information.  Perhaps  the  as  As  The rather  right  than  an a b s o l u t e  the  issue  is,  the extent  choose  that  of p r i v a c y  that  others  who  the  public  this  community so  benefit  should  physical  cannot  when  them  from  i n some c a s e s  should  control  an  access  about  to  inalienable  i t may  i t .  to  there are  n o t be i n  Proponents of  interest requires  its affairs  that  exercising  to control  be c o n s i d e r e d  the p u b l i c  t o conduct  d e b a t e s on  be, e n t i t l e d  lives  t o prevent  know a s much a s p o s s i b l e  history  and s o c i a l  underlying  social  defined  explain  that  facie  of t h e r i g h t t o p r i v a c y ,  individuals  they  of c u r r e n t  of their  goes,  a prima  every  that the  individual  more e f f i c i e n t l y  f o r the  of a l l , i n c l u d i n g the i n d i v i d u a l .  contract  is  of  themselves  i n t e r e s t that  Throughout  This  part  t h e argument  a s t o be a b l e  for  right  p o s i t i o n maintain  considered  a r e , or should  t o be e n t i t l e d  about  because,  people  i n some  The  information  the extent  t o which  claim  i s generally  r i g h t ; the subject  is  state  choice.  right  to privacy  contract by J.W.  protection  r e l a t i o n s between  and l i m i t s  h a s been  c i t i z e n s and government. of t h e s t a t e , and  of p o l i t i c a l  of the duty  obligation, to  of a l l e g i a n c e  t o t h e s t a t e , a n d o f t h e r i g h t on t h e p a r t  i t s government  to control  on  the f a c t  "every  that  requires,  recognition  the l i v e s  civilized  i n order  that  o f r i g h t s on t h e p a r t  4  traded  the terms of the s o c i a l  i s the p h i l o s o p h i c a l basis  or  community  of privacy  under  Gough a s "a t h e o r y  the nature  subjects  some measure  owed by  of the s t a t e  of i t s c i t i z e n s . " 6  community, i t may  exist  perhaps  any  at a l l , a  o f i t s members, w h i c h  Based real  mutual  isa  tacit contract," and  s o c i a l contract  7  responsibilities  with  the  return,  governing  and  a  that can  only be  In the  to  guarantee  collect  and  government  the  parties  for  that  communicated  they  are  often  a  combination information  and  trust  receive  from  not  parties  in  external  provided.  ways i s a  be  able  have  of  bank, vast  little  For  the  remains  quantities  of  on c i t i z e n s c u r r e n t l y h e l d 5  to  disclosure  of  to  the  to  basic for  about them i s control  government if  over since  personal  government  that  threat  example,  information  services  a c c e s s to  there  the  not,  determine  information  and  serious  to  is  for  i s contrary  i n t r i n s i c a l l y p r i v a t e or  data  not,  obliged  government's  citizens  The  i s invaded by  benefits  others  about  purposes.  Individuals  The  personal  to what extent  privacy  permit  Even i f nothing in  citizens  r i g h t does  disseminate  third  denied  is  unspecified  stored  to  their  d i s s e m i n a t e or  This  to  others.  not  in  individual rights, rights  information  i n d i v i d u a l s should  to  information  in  placed  s o c i a l c o n t r a c t , c i t i z e n s are  one.  information  or  benefits  selected  unspecified  themselves when, how  whether  of  store  permit  principle  the  and  a c e r t a i n amount of t h e i r p r i v a c y .  unlimited  personal  citizens  r e l i n q u i s h e d with the consent of the i n d i v i d u a l .  however, an  third  s p e c i f i e s the p r i v i l e g e s  good government, p r o t e c t i o n  i n t e r e s t of the  to surrender  by  agency and  f o r example,  threat,  right  foregone  theory  then,  information  for  to use  individual privacy.  improperly  derogatory i s  some c o n c e r n ostensibly  that  the  innocuous  i n data banks, and  the  technological result  capacity  that  exists  i n a l e s s spontaneous and,  Over  the  past  administrative countries define,  decade,  abuses  of  have developed  legislatively,  main  of  personal data  categories  legislation. wealth  and  activity;  of  These  statistical  information  the  government  Act  In  above,  create  a  duty  information  of  be  and  the  private  professional  has  basic  obtained  is  enshrined  the P r i v a c y A c t . 9  added,  "any  of  The  personal  identifying  individual."10 i s that  i n d i v i d u a l s must  to  the  with  the  with any  held  health;  information  categories  the  data p r o t e c t i o n l e g i s l a t i o n  to  a  non-disclosure.  about  Act and  and  privacy  r e l i g i o u s opinions;  p a r t i c u l a r to an  in connection  most  Canada, data p r o t e c t i o n  to  they r e l a t e  Duchein o u t l i n e s  c r i m i n a l proceedings;  incorporates  information  should  as  filiation;  p r i n c i p l e underlying  government  life  s t a t u s and  outlined  personal  western  include: c i v i l  number, symbol or other The  Michel  p h i l o s o p h i c a l and  over  to the Access, Use  documents; p o l i c e documents; and  Privacy  most  by  j o i n t Access t o Information  Canadian  concerns  protected  on promise of s e c r e c y . 8 i n the  society.  information  and  will  laws which attempt  of p r i v a t e  In O b s t a c l e s  linking  less free  information,  in Archives,  income; penal political,  bank  to p u b l i c  protection  categories  Information  ultimately,  i n response  to r e c o r d - k e e p i n g p r a c t i c e s . Transfer  f o r data  of  our  trust The  transactions  r e l a t i o n s h i p and collection  i n d i v i d u a l s by  the  t h e o r e t i c a l l y , p r o h i b i t e d where i n d i v i d u a l s do 6  disclose  of  should  personal  government  not have the  is, right  of  access  that  might  to that  be p r e j u d i c i a l  c o n t r o l over The of  information,  t o rebut  and have no o p p o r t u n i t y  data  to exercise  i t s dissemination.  development  some concern  constraints research.  lack o p p o r t u n i t y  within  such Herbert  particularly  of data  protection legislation  the research  legislation Kelman  social  community  could,  argues  researchers  i s a matter  because  potentially,  that  asking  to leave  of the  place  on  researchers,  certain  r e g i o n s of  p r i v a c y untouched would hamper r e s e a r c h s e v e r e l y : a blanket prohibition o f r e s e a r c h t h a t might c o n c e i v a b l y t o u c h on s u c h a r e a s [ o n e s t h a t w o u l d v i o l a t e p r i v a t e s p a c e ] - - w h i c h would i n c l u d e , among o t h e r s , t h e t o p i c s of s e x , p e r s o n a l h e a l t h , d e a t h , r e l i g i o n , e t h n i c i t y , p o l i t i c s , money, and p a r e n t - c h i l d r e l a t i o n s — would d e s t r o y or t r i v i a l i z e social research. 1 1  H i s t o r i a n s such as Reg Whittaker  defend  r e s e a r c h uses of p e r s o n a l  i n f o r m a t i o n on the grounds t h a t the r e s e a r c h e r ' s i n t e n t i o n i s not to  expose  reveal  a particular  individual  to public  the a p p l i c a t i o n of government p o l i c y  period.  Whittaker  acknowledgement government's information. In  scientific  that  of t h e s c h o l a r l y  handling  of  in a particular  time  there  i s not  enough  research  process  i n the  research  requests  for personal  1 2  making  personal  argues  s c r u t i n y but t o  their  claim  information, o r academic  f o r access  to records  h i s t o r i a n s invoke freedom, 7  that  containing  the p r i n c i p l e  i s , the s c h o l a r ' s  of  freedom  (some would say r i g h t ) t o pursue and t o communicate knowledge. To  the extent  impossible the  that  right  understanding.  the p r i n c i p l e  of t h e r i g h t  freedom of i n f o r m a t i o n Freedom recognition principle  of  regions  of human  of academic  and t h e  freedom  as l e g i s l a t i v e l y d e f i n e d i n  laws.  information  that  i n f r i n g e on  from the  represents "right  the s e c u r i t y  a  constitutional  t o know."  "a democracy works best  information  restrictions  however, t o d i s t i n g u i s h  t o know  of the p u b l i c ' s  that  would make some s t u d i e s  t o i l l u m i n a t e unknown  I t i s important,  between  principle  the  restrictions  t o perform, they argue, those  scholar's  outset  privacy  Based  on t h e  when the people have a l l  of the n a t i o n  permits,"  1 3  freedom of i n f o r m a t i o n means that the c i t i z e n who pays the taxes which right  finance  to s c r u t i n i z e  linked,  with  the right  information.  sovereignty  have  contract.  1 4  articulated  The r i g h t  t h e emergence claimed,  of the concept  derives  have the r i g h t  chosen  information  has the  t o know i s  of the p r i n c i p l e of on behalf of n a t u r a l  of c r i t i c i s m and, t h e r e f o r e , of knowledge—  the r e - b i r t h  consequently, they  of government  natural r i g h t s — V o l t a i r e  freedom,  which  that  h i s t o r i c a l l y , with  individual  and  the gathering  t o govern  from  of democracy, a c c o r d i n g t o  the people,  and t h e  to c o n t r o l the a c t i o n of the l e a d e r s them under  the terms of the s o c i a l  The acceptance of the people's r i g h t by Enlightenment  people,  to rule,  t h i n k e r s and e n s h r i n e d  i n both the  French D e c l a r a t i o n of the R i g h t s of Man and of the C i t i z e n 8  first  (1789)  and  the American B i l l  of R i g h t s  (1791), i m p l i e d  the s t a t e ' s  o b l i g a t i o n to make a v a i l a b l e the r e c o r d s of i t s own a c t i v i t i e s i n the  i n t e r e s t of keeping government  Democracy principle  i n America, of the r i g h t  r i g h t of every c i t i z e n  Alexis  drawn."  i n terms  require  inaccessible  facts  from  judgement  a l l specialized,  information  may be  about  public  of knowledge  things  ... 6 nl  i s a value  t o surrender  common good.  private,  and  relatively  I t demands,  f a c t s necessary  for public  Freedom of enquiry  i n i t s own r i g h t .  rather,  i n the  It i s  not,  r i g h t t o know as we have come  term.  s o c i a l contract  s o c i a l contract,  of c i t i z e n s h i p and  be 'made p u b l i c '  have a c c e s s t o those  to understand t h a t  the  inferences  then, the r i g h t t o know i s  of the requirements  however, i d e n t i c a l with the p u b l i c  citizens  which  and t o  " v i n d i c a t i n g the 'people's r i g h t t o know,' does  that  the p u b l i c  The  t o choose  of h i s c o n t e m p o r a r i e s  and p h i l o s o p h i c a l l y  p o l i t i c a l action:  pursuit  "when the  15  justified  that  defended the  be presumed t o t o be a b l e  opinions  the d i f f e r e n t  Historically  not  de T o c q u e v i l i e  In  to a share i n the government of s o c i e t y i s  the various  appreciate  and r e s p o n s i b l e .  to know on the grounds t h a t ,  acknowledged, everyone must between  visible  implies  an o b l i g a t i o n  some degree of p r i v a c y  But how much ought  on the p a r t of  i n the i n t e r e s t s of  we t o surrender? Does the  under which we g i v e the government p e r m i s s i o n to  know us i n v a r i o u s  private  ways, a l s o e n t i t l e a r c h i v i s t s , as the 9  official  keepers of government r e c o r d s ,  of  information  that  administrative  f o r the purposes  usefulness,  been exhausted?  t o permit subsequent uses  that  of r e s e a r c h  i s , i t s original  In i t s formal  definition  once i t s  i n t e n t i o n , has  of an a r c h i v i s t , t h e  S o c i e t y of American A r c h i v i s t s m a i n t a i n s that a r c h i v i s t s "share a unifying belief  i n the value  of h i s t o r i c a l  records."  1 7  A crucial  p a r t of the a r c h i v a l mandate, i t i s widely argued, i s t o promote access  to records  to the f u l l e s t  Canadian  A r c h i v i s t s has warned  personal  records  extent.  that  The A s s o c i a t i o n of  large-scale  c l o s u r e s of  would cause a s e r i o u s d e t e r i o r a t i o n of p u b l i c a t i o n s on the development of Canadian s o c i e t y . For example, the p r o d u c t i o n of s c h o l a r l y works c u r r e n t l y being w r i t t e n on the settlement of the West, the d e p r e s s i o n , World War I I , immigration and e t h n i c communities, which r e l y h e a v i l y on c o r r e s p o n d e n c e f r o m a n d concerning i n d i v i d u a l s w o u l d be s e r i o u s l y c u r t a i l e d and t h e a b i l i t y to i n c r e a s e our knowledge i n understanding our Canadian c u l t u r e would be s e r i o u s l y impaired.^8 The to  e t h i c a l dilemma posed by r e s e a r c h e r s '  records  containing  conflict  between  enquiry,  values  the  personal  the competing  information values  claims  f o r access  a r i s e s out of the  of autonomy  and  social  which, Edward S h i l s b e l i e v e s , a r e both rooted i n  i n d i v i d u a l i s t premises of modern l i b e r a l  society:  The r e s p e c t f o r p r i v a c y r e s t s on the a p p r e c i a t i o n of human d i g n i t y , with i t s h i g h e v a l u a t i o n of i n d i v i d u a l s e l f - d e t e r m i n a t i o n , f r e e from the bonds of p r e j u d i c e , p a s s i o n and s u p e r s t i t i o n . In t h i s , t h e r e s p e c t f o r human d i g n i t y and i n d i v i d u a l i t y shares an h i s t o r i c a l comradeship with t h e freedom of s c i e n t i f i c i n q u i r y , w h i c h i s e q u a l l y p r e c i o u s t o modern l i b e r a l i s m . The  10  t e n s i o n between t h e s e v a l u e s , so e s s e n t i a l t o each other i n so many p r o f o u n d l y i m p o r t a n t ways, i s one o f t h e antinomies of modern l i b e r a l i s m . 1 9 The the  q u e s t i o n i s , does freedom of  same m o r a l  where the duty  two  lie?  and  values What  "reasonable" next  value  as  the  right  to privacy?  c o n f l i c t , where does the  criteria  access?  s c i e n t i f i c inquiry  should  be  These q u e s t i o n s  be  situations  archivist's  applied will  In  in  of  p r i v a c y ; trends  examined  t h r e a t e n the r i g h t against  in s o c i o - h i s t o r i c a l  to p r i v a c y ; the e t h i c a l  r e s e a r c h uses of p e r s o n a l  r o l e of the a r c h i v i s t p r i v a c y and  i n mediating  access.  11  moral  determining  four c h a p t e r s with r e f e r e n c e to the e v o l u t i o n of the right  possess  in  the  concept  research  that  j u s t i f i c a t i o n s f o r and  i n f o r m a t i o n ; and,  finally,  the  the competing moral c l a i m s f o r  CHAPTER I ENDNOTES 1. Samuel D. Warren and L o u i s D. B r a n d e i s , "The Right t o P r i v a c y , " Harvard Law Review 4 .5 (1890) 193-220, r e p r i n t e d i n P h i l o s o p h i c a l D i m e n s i o n s o f P r i v a c y , e d . F e r d i n a n d Schoeman (Cambridge: Cambridge U n i v e r s i t y P r e s s , 1984) 82. 2. Warren and Brandeis 77. 3. James Rule, Douglas McAdam, L i n d a S t e a r n s , David Uglow, The P o l i t i c s of P r i v a c y : P l a n n i n g f o r P e r s o n a l Data Systems as Powerful T e c h n o l o g i e s (New York: E l s e v i e r , 1980) 23. 4. [ A u s t r a l i a n ] Law Reform Commission Report No. 22 P r i v a c y V o l . 2, c i t e d i n G. F i n l a y , " P r o t e c t i o n of P r i v a c y and t h e Government A r c h i v e s O r g a n i s a t i o n , " paper presented a t the X X I I I r d I n t e r n a t i o n Conference of the Round T a b l e on A r c h i v e s , A u s t i n Texas, 24-28 October 1985. 5. J e a n T e n e r , (Summer 1978): 28.  "Accessibility  6. J.W. G o u g h , T h e S o c i a l Clarendon P r e s s , 1957) 244. 7. R.L. N e t t l e s h i p , c i t e d  and A r c h i v e s , " A r c h i v a r i a 6 Contract  2nd e d .  (Oxford:  i n Gough 245.  8. M i c h e l Duchein, O b s t a c l e s t o the Access, Use and T r a n s f e r o f I n f o r m a t i o n from A r c h i v e s : A RAMP Study w i t h g u i d e l i n e s ( P a r i s : Unesco, 1983) 20-22. 9. S.C. 1980-83, c. I l l ,  Schedules  I and I I .  10. For a l l the c a t e g o r i e s of p e r s o n a l i n f o r m a t i o n covered under the l e g i s l a t i o n , see s e c t i o n 3 of t h e P r i v a c y Act. 11. Herbert Kelman, "Research, B e h a v i o u r a l , " E n c y c l o p e d i a of Bioethics (New York: MacMillan Co., 1978) 4: 1470-81. 12. Reg Whittaker, "Access t o I n f o r m a t i o n : The H i s t o r i a n ' s Perspective," paper p r e s e n t e d a t the Toronto Area A r c h i v i s t s Group Access t o Information Forum, 15 November 1986.  12  13. Memorandum of the U.S. A t t o r n e y G e n e r a l , 1967, c i t e d i n Duchein, O b s t a c l e s 11. 14. Duchein 3. 15. A l e x i s de T o c q u e v i l l e , Democracy i n America York: V i n t a g e Books, 1945) 1: 190.  2 v o l s . (New  16. P e t e r D e n n i s B a t h o r y and W i l s o n C a r e y M c W i l l i a m s , " P o l i t i c a l T h e o r y and t h e P e o p l e ' s R i g h t t o Know," Government S e c r e c y i n Democracies, ed. Itzhak Galnoor (New York: New York U n i v e r s i t y P r e s s , 1977) 8. 17. 1984).  " A r c h i v i s t : A D e f i n i t i o n , " S.A.A. N e w s l e t t e r  (January  18. "Submission of the Canadian A s s o c i a t i o n of A r c h i v i s t s t o the P a r l i a m e n t a r y Committee on J u s t i c e and L e g a l A f f a i r s w i t h Respect t o B i l l C43," n.d. 12. 19. Edward S h i l s , " S o c i a l I n q u i r y and the Autonomy of the I n d i v i d u a l , " S o c i a l Research E t h i c s , ed. M a r t i n Bulmer (New York: Holmes and Meier, 1982) 130.  13  II  THE  EVOLUTION OF PRIVACY AS CONCEPT AND RIGHT  Each person, withdrawn i n t o h i m s e l f , behaves as though he i s a s t r a n g e r t o the d e s t i n y of a l l the o t h e r s . H i s c h i l d r e n and h i s good f r i e n d s c o n s t i t u t e f o r him t h e whole o f t h e human s p e c i e s . As f o r h i s t r a n s a c t i o n s with f e l l o w c i t i z e n s , he may mix among them, but he sees them not; he touches them, but does not f e e l them; he e x i s t s o n l y i n h i m s e l f and f o r h i m s e l f a l o n e . And i f on these terms there remains i n h i s mind a sense of f a m i l y , there no longer remains a sense of s o c i e t y . A l e x i s de T o c q u e v i l l e  When de T o c q u e v i l l e deepest were  reservations  directed  wrote Democracy  concerning  the American  have  citizenship, the  on  the emotional  ability  and p e r s o n a l  to defend  system  t e n d e n c i e s of  e f f e c t such t e n d e n c i e s  i n d i v i d u a l r i g h t s and, u l t i m a t e l y ,  public's  i n 1835 h i s  political  a t the c e n t r a l i z i n g and c o n f o r m i s t  government bureaucracy and the a t t e n u a t i n g could  i n America  f o u n d a t i o n s of their  i t spolitical  e f f e c t on  rights.  He  p r e d i c t e d t h a t American democracy would i n e v i t a b l y be c o n s t r a i n e d by  what he c a l l e d  level  things  oppression  "the tyranny of the m a j o r i t y , "  down t o a common  standard.  Out o f  the d e s i r e t o majoritarian  would emerge a power t h a t , de T o c q u e v i l l e warned:  ...does not d e s t r o y , but p r e v e n t s e x i s t e n c e ...does not t y r a n n i z e but ...compresses, enervates, extinguishes and s t u p e f i e s a people, t i l l each n a t i o n i s reduced t o n o t h i n g b e t t e r than a f l o c k of t i m i d and i n d u s t r i o u s animals of which the government i s the s h e p h e r d . 1  14  Tocqueville's  nightmare v i s i o n of a t o t a l l y c o n f o r m i s t s o c i e t y i n  which no p u b l i c e x i s t s i n any meaningful sense comes d i s t u r b i n g l y c l o s e to the s i t u a t i o n we f i n d o u r s e l v e s i n as we near the end of the to  twentieth century. the d e t e r i o r a t i o n  The roots of what  sphere and the a b s o r p t i o n  of the nightmare can be t r a c e d  used  t o be known a s the p u b l i c  of the t r a d i t i o n a l p r i v a t e  sphere  into  what we c a l l today mass s o c i e t y . In c l a s s i c a l private--between related  Greek thought, the d i v i s i o n between p u b l i c and activities  political  assumption. activity  w e l f a r e ; the p r i v a t e  of  t o a common world  and those  t o the maintenance of l i f e — s t o o d as a s e l f - e v i d e n t and  axiomatic  family  related  2  The p u b l i c  which  directed  itself  toward  the p u b l i c  sphere was synonymous with the household or  realm and i t r e v o l v e d  life--food,  sphere was the realm of common  clothing  around  the fundamental maintenance  and s h e l t e r .  Today  the d i s t i n c t i o n  between the p r i v a t e and the p u b l i c , once c o n s i d e r e d e s s e n t i a l , no longer corresponds t o the r e l a t i o n s h i p between the i n d i v i d u a l and the  state. M i c h e l F o u c a u l t has t r a c e d  conceptual  shift  Renaissance. that  in political  I t was a r o u n d  the beginnings of the change t o a thinking  that  occurred  t h i s time, a c c o r d i n g  the household and i t s method of o r g a n i z a t i o n  s c r u t i n y of p o l i t i c a l  during the  to Foucault,  came under the  t h e o r i s t s and t r e a t i s e w r i t e r s who found i n  it  both a u s e f u l metaphor and an adaptable model f o r a new form  of  political  power:  the state.  New  l i n k s between  the s t a t e —  which  formed  itself  arose  i n Europe  around  from the  individual—whose  the great fragments  spiritual  t e r r i t o r i a l monarchies of  feudal  w e l f a r e became a p o l i t i c a l  the Reformation and C o u n t e r - R e f o r m a t i o n — g a v e of p o l i t i c a l  the middle  on  treatises the most  the  introduced,  and  order,  life.  of  convent,  religious  activity,  a  sixteenth  government"  f o r the f i r s t  The  extended  to appear.  time, d e t a i l e d  type  children,  a  family,"  and  or  meaning  at the top down through a l l  souls,  order,  Such  a n a l y s e s on  government,  referred  household,  a  to embrace v i r t u a l l y  directly  to the  province,  a  political  every aspect of human  "from the s m a l l e s t s t i r r i n g s of the s o u l to the l a r g e s t  order t o determine  could  to a new  treatises  m i l i t a r y manoeuvers of the army." in  issue in  c e n t u r y , a s e r i e s of  began  introducing  from the s t a t e  "governing  reflection  the  means of  a s p e c t s of s o c i a l  a  of  " a r t of  efficient  economy  rise  the  reflection.3  Around treatises  e s t a t e s — and  that  be c a r r i e d out.  the most  4  Each a c t i v i t y was  e c o n o m i c a l method  scrutinized by  which i t  "The a r t of government," F o u c a u l t argues,  [was] concerned w i t h how to i n t r o d u c e economy that i s the c o r r e c t manner of managing i n d i v i d u a l s , goods and w e a l t h w i t h i n t h e f a m i l y , ...how t o i n t r o d u c e t h i s m e t i c u l o u s a t t e n t i o n of the f a t h e r towards h i s f a m i l y , i n t o the management of the s t a t e . 5  Within  this  new  paradigm  r e l a t i o n s h i p of men in  of  political  and t h i n g s was  which:  16  thinking,  a  complex  given p r i o r i t y , a r e l a t i o n s h i p  the t h i n g s which the government [was] t o be concerned about a r e men, but men i n t h e i r r e l a t i o n s , t h e i r l i n k s , t h e i r i m b r i c a t i o n w i t h t h o s e o t h e r t h i n g s which a r e wealth, r e s o u r c e s , means of s u b s i s t e n c e , the t e r r i t o r y with i t s s p e c i f i c q u a l i t i e s , climate, irrigation, ...men i n t h e i r r e l a t i o n t o other kinds of t h i n g s which are customs, h a b i t s , ways of doing and t h i n k i n g , e t c . ; l a s t l y , men i n t h e i r r e l a t i o n t o t h a t o t h e r k i n d of t h i n g s which a r e a c c i d e n t s and m i s f o r t u n e s such as famine, epidemics, death, etc.6 These academic t r e a t i s e s on the a r t of government can be to  the r i s e  and growth  of c e n t r a l i z e d s t a t e  administrative  apparatuses from the middle of the s i x t e e n t h c e n t u r y seventeenth  century,  birth  to " s t a t i s t i c s " ,  "'the  different  power.'" As  process  h a s termed  "brought  life  transformation  fused  around body.  in history, fertility,  became the o b j e c t intervention."  regime  itself of  became a  power--what  instituted.  i n t o the realm  knowledge-power  of human l i f e . " 8  a n d t h e human  population,  and  "bio-power"--was  a n d made  bio-power  time  a new  and i t s mechanisms  calculations  first  had given  of the s t a t e , which measured  of the p o p u l a t i o n  of the s t a t e ,  Foucault  species  the s c i e n c e  rationality  By the  7  concern  century,  new p o l i t i c a l  on.  elements, dimensions and f a c t o r s of the s t a t e ' s  the l i f e  central  this  linked  an  Bio-power of  explicit  agent  of t h e  i n the middle t o l a t e  eighteenth  two d i s t i n c t  t h e human  According  scientific  and so f o r t h ) ,  of s y s t e m a t i c ,  poles:  to Foucault,  categories  " f o r the  (species,  r a t h e r than j u r i d i c a l  sustained  political  ones,  attention  At the same time, the human body began t o be 17  approached "as an o b j e c t to be manipulated and Around  this  o b j e c t i f i c a t ion  of  the  controlled."9  body  emerged  a  new  " d i s c i p l i n a r y technology," a set of procedures t h a t were d i r e c t e d toward the molding of "a d o c i l e body t h a t may transformed  and  improved. " "  Adopted  lu  be s u b j e c t e d , in  a  variety  i n s t i t u t i o n a l s e t t i n g s — w o r k s h o p s , s c h o o l s , p r i s o n s and for  example—this  training,  the  disciplinary  technology  used,  hospitals  used d r i l l s ,  s t a n d a r d i z i n g of a c t i o n s over time and  of  physical  the  control  of p h y s i c a l space to accomplish i t s ends. The  "Panopticon," c o n c e i v e d  by Jeremy Bentham i n 1791  as  model f o r a " s c i e n t i f i c " p r i s o n i s a s i g n i f i c a n t m a n i f e s t a t i o n disciplinary P u n i s h : The  technology as  theory  and  praxis.  B i r t h of the P r i s o n , F o u c a u l t  on which the Panopticon was  In D i s c i p l i n e  d e s c r i b e s the  ...at t h e p e r i p h e r y , an a n n u l a r b u i l d i n g ; a t the c e n t r e , a t o w e r ; t h i s tower i s p i e r c e d w i t h w i d e windows t h a t open onto the inner s i d e of the r i n g ; the p e r i p h e r i c b u i l d i n g i s d i v i d e d i n t o c e l l s , e a c h of w h i c h e x t e n d s the whole w i d t h of the b u i l d i n g ; they have two windows, one on the i n s i d e , corresponding to the windows of the tower; the o t h e r , on the o u t s i d e , a l l o w s the l i g h t to c r o s s the c e l l from one end to the other. A l l t h a t i s needed, then, i s to place a s u p e r v i s o r i n a c e n t r a l tower and to shut up i n e a c h c e l l a madman, a p a t i e n t , a condemned man, a worker or a schoolboy. By the e f f e c t of b a c k l i g h t i n g , one can observe from the tower, standing out p r e c i s e l y a g a i n s t the l i g h t , the s m a l l c a p t i v e shadows i n the c e l l s of the p e r i p h e r y . ...Each i n d i v i d u a l , i n h i s p l a c e , i s s e c u r e l y c o n f i n e d to a c e l l from which he i s seen from the f r o n t by the s u p e r v i s o r ; but the s i d e w a l l s prevent him from coming i n t o c o n t a c t with h i s companions. He i s s e e n , but he does not s e e ; he i s the o b j e c t of i n f o r m a t i o n , never a s u b j e c t i n communication. *  18  of and  principle  based:  1  the  The  Panopticon  sensibility point,  is a  that  useful  permeated  expressed  metaphor  the  between the  observer  the  permanently  visible  surveillance.  The  gradual  discipline  embodied  exposed and  power  was the  through  to  i n the  only  the  profound  p r o c e s s e s that  behaviourist Its essential  effect  observed  a  and  of  the  mechanisms  of  powerless  are  the  aspect  spread throughout  of  the s o c i a l  eighteenth centuries,  render  generalized  relentless invisible  most v i s i b l e  radical  to  i t s schema of  extension  lies  them--is  and  and  Reason.  in panopticism—where  studies  seventeenth  of  architecturally,  separation latter  Age  f o r the  processes  gaze  which  various body that  more  i n the altered  f o r e v e r t h e . r e l a t i o n s h i p between the p r i v a t e and the p u b l i c . Hannah Arendt  has  argued  e l e v a t i o n of the concerns, of the household the  private  that  activities  sphere the  to  which  traditional  f a m i l y u n i t d e c l i n e d as  corresponding  middle  such  From  social  of  to assume the contours  human  family  this  "normalize"  devices  hitherto  century  i t gradually  became  1 2  And  a  s  society  of a g i g a n t i c household, affairs  from  the  the  absorbed grew a  and  super-  i t s members, to make them behave.  the  members  I t embodied  of codes and conventions  19  on,  were a d m i n i s t e r e d by  i n c r e a s i n g l y , t o expect  i n a wide range  had  sixteenth  " f a m i l y " a c e r t a i n kind of behaviour.  expectation to  whose everyday  1 3  i t began,  new  organizational  activities  the  groups.  began  state,  and  society—the  to the p u b l i c s p h e r e — o c c u r r e d at the expense of  belonged.  into  the emergence of  that  of  that  sought  "Whether  the  framework happens to be a c t u a l the  eighteenth century,  nineteenth," individual  such  with  [or]  codes  his  rank i n the h a l f - f e u d a l s o c i e t y title  and  rank  i n the  conventions  within  the  matters i s [the] equation with s o c i a l This  same e x p e c t a t i o n  behaviour  i s apparent  of  i n the  i t s foremost  the p e r f e c t of  According character  the What  1 4  the  codes  of  modern s c i e n c e  of  r i s e of  tool, statistics,  d i d not  to Arendt, only  unanimously f o l l o w e d who  equate  society.  Armed  economics became  embodiment of the p h i l o s o p h i c a l p r i n c i p l e s of the  Reason.  scientific  technical  the  to c l e a r - c u t  of  w i t h the  of  framework.  status."  evolution  society  "always  social  conformity  economics whose b i r t h c o i n c i d e d with  class  of  "economics  when men  had  c e r t a i n patterns  keep the  rules could  be  ...could  Age  achieve  become s o c i a l beings  of behaviour, so that considered  to be  a and  those  asocial  or  abnormal."15 The  r i s e of s o c i e t y and  accompanied  i t changed  i n d i v i d u a l and old borderlines  the  a man  who  human. function was  irrevocably  s t a t e and,  the  r e l a t i o n s h i p between  i n the p r o c e s s , b l u r r e d  between p u b l i c  the p r i v a t i v e t r a i t a s t a t e of  the entrenchment of s t a t e power t h a t  of p r i v a c y  But  a private  around the  the  and  private.  In a n c i e n t  feeling,  was  emphasized, i t meant  literally  being d e p r i v e d of something. l i v e d only  forever  the  l i f e could  A r i s t o t l e i n s i s t e d that not  be c o n s i d e r e d  fully  time of the Enlightenment, the t r a d i t i o n a l  of the p r i v a t e — t h e  transformed. P r i v a c y  p h y s i c a l maintenance of  became  synonymous  with  family what  we  life, call  today, the to  the  "sphere of  first  Rousseau,  intimacy." Its d e c i s i v e  a r t i c u l a t e explorer  was  to  shelter  c o n s i o u s n e s s , which u n t i l from the and  oppressive  then had  i n t r u s i o n of  s o c i e t y or to l i v e o u t s i d e the  this was  directed  a  and  the  against  regions  needed no  special  inability  of  his  against  society's  of  Nobody,"  domination in  1 7  which  human  protection,  either  to be  at home i n  h i s ever-changing moods life  was  born  r e b e l l i o n against  the  levelling  demand that one  characterized  of  modern i n d i v i d u a l  emotional  The  enormous f a m i l y p o s s e s s i n g only form  "the  according  Jean-Jacques  interior  society,  heart."16  primarily  intimacy,  i t altogether,  r a d i c a l subjectivism  r e b e l l i o n of  state, one  the  h i s endless c o n f l i c t s , h i s  and  of  function,  by  demands of  and  Arendt  government  society the  i t s members behave  opinion  is  as,  one  as  interest;  "the  replaced  in  rule by  by  pure  administration. If at  the  thrust  devouring  tendency  of  the  of  society  old  realms  mass s o c i e t y  more r e c e n t l y  in e a r l i e r of  the  sphere  enormous growth of technology, the  elimination  a fairly  than  did  community bonds and  has  of  and  was  directed  private,  been to devour  intimacy.  the  by  the  same s o c i e t y which c r e a t e d  the  also created  Aided  the  the means to make i t s  simple matter.  Some h i s t o r i a n s privacy  public  i n t h i s c e n t u r y has  established  modern demand f o r p r i v a c y  centuries  have  previous  argued  that  we  generations. ** 1  experience The  greater  weakening  moral norms, the anonymity of urban l i f e , 21  of and  the  increased c u l t u r a l  achievement  are c i t e d  individual  privacy  emphasis  on i n d i v i d u a l  f r e q u e n t l y as f a c t o r s  a s p i r a t i o n and  that have  enhanced  significantly.19  B u t , as A r t h u r  Schaefer  impact  factors  argues,  the s o c i a l  profound  as t h a t caused  of these  has n o t been so  by such c o u n t e r v a i l i n g h i s t o r i c a l  as the h i g h e r p o p u l a t i o n d e n s i t y of urban environments; factors, need  such as the widespread  for credit  technological which permit  ratings;  use of c r e d i t  and, perhaps  breakthroughs  most  trends  business  with the r e s u l t a n t s i g n i f i c a n t l y , the  i n computerization  e x t e n s i v e government and b u s i n e s s  and m o n i t o r i n g , s u r v e i l l a n c e of  p r i v a t e a f f a i r s and communication. Today, i n f o r m a t i o n about a l l major p e r s o n a l c h a r a c t e r i s t i c s -vital  statistics,  social  income, e d u c a t i o n , p o l i t i c a l o r g a n i z e d and d i s s e m i n a t e d of  this,  harmless  according (because  and g e o g r a p h i c affiliations—can  i n machine-readable  to Arthur  mobility,  Schaefer,  s c a t t e r e d ) data  wealth,  be e a s i l y form.  has been that  stored,  One r e s u l t otherwise  c a n be t r a n s f o r m e d  into  p o t e n t i a l l y harmful d o s s i e r s : A d v a n c e d t e c h n o l o g y has made e x t e n s i v e s u r v e i l l a n c e r e l a t i v e l y easy and i n e x p e n s i v e . At the same time, the i n c r e a s i n g l y b u r e a u c r a t i c o r g a n i z a t i o n of s o c i a l i n s t i t u t i o n s (a f e a t u r e s h a r e d by g o v e r n m e n t s a n d m u l t i - n a t i o n a l c o r p o r a t i o n s ) h a s made e x t e n s i v e s u r v e i l l a n c e a n d m o n i t o r i n g o f i n d i v i d u a l s seem i n e v i t a b l e and d e s i r a b l e , a t l e a s t t o those whose power and other i n t e r e s t s a r e enhanced by the r e s u l t . 2 0 A 1972 Report Justice,  of the Department of Communications/Department of  P r i v a c y and Computers, 22  concluded  that  "more p e r s o n a l  information suspect,  i s being  The  supposed."  potentially  governments,  starting  the p r o c e s s  information  Number);  by l a r g e s o c i a l  i s a t the heart  point  a number  concerning  Such  of f a c t u a l  to personal that  identifiers  references  debates premises  i n c l u d i n g : that  considered violations  socially  information  acceptable,  a  and made  body  accessible  (usually a Social  by a g e n c i e s ;  that  of data  that  and s t o r e d i n t h a t the use of  f o r secondary  f o r example,  Insurance  c a n be made t o  by o t h e r s ;  purposes i s  in dealing  the i n f o r m a t i o n containing  i s not n e c e s s a r i l y exhausted  use.  record-keeping  i s u s u a l l y organized  of i n f o r m a t i o n  from  that  records maintained  of the law; and, f i n a l l y ,  be d e r i v e d  f o r example, t o  and c r o s s - r e f e r e n c e s  i n f o r m a t i o n gathered  categories  purpose,  maintained  a form which can be used subsequently  original  of debates  employment;  arranged,  i d e n t i f i a b l e people i n other  can  organizations,  information.  for a specific  or t o seek  are often  according  than  documentation i s  of i n f o r m a t i o n c o l l e c t i o n ,  agencies  a pension  systems  certain  probably  i s s u p p l i e d by i n d i v i d u a l s about themselves or o t h e r s  government  personal  Canadians  i n which  i n v a s i v e uses of p e r s o n a l  as t h e i r  concerning  context  s t o r e d and dissemina t e d  particularly  obtain  most  21  administrative  collected,  to  than  and i s made a v a i l a b l e to a l a r g e r number of users  i s probably  take  collected  with that  personal  a t the time  of  its  2 2  Today, v a r i o u s data banks can be l i n k e d that w i l l allow bank 23  records, c r e d i t card f i l e s , to  be assembled i n t o one  matching" matching  involves of  comparison identical,  can  particular data.  or  be  numbers, addresses, matching  has  assets,  duplicate  been  made or  by  has  or  files  to d e t e c t  to b e n e f i t s , and A  linkage  defined  to  whether  social  security  identifiers."23  Computer  names,  unreported  income,  unreported  identification  recipients,  survey that  "the  i n them.  inappropriate  service providers b i l l i n g  i n 1984-85 r e v e a l e d  or  appears  i n c o r r e c t personal  special  as  determine  information  ineligible  "Computer  record  been  personal  benefits,  of  It  matching  other  used  same a c t i v i t y .  Secretariat  lists  type  conflicting  overpayments,  entitlements the  a  different  similar,  Comparisons  numbers,  large electronic dossier.  personal of  tax payment i n f o r m a t i o n and much more  by  the  twice  Treasury  a considerable  for  Board  amount  of  computer matching i s c a r r i e d out by government i n s t i t u t i o n s . 2 4 53 separate the  computer matching programs were d i s c o v e r e d  l a r g e r departments and  agencies;  c e r t a i n l y more widespread than the Treasury  Board  since  only  12  and  the  i n some of  p r a c t i c e i s almost  53 programs documented by  departments were  the  included  in  the  r e g u l a r l y defended  on  the  present,  the  survey. Computer grounds on Canadian explicit  matching  their Privacy  programs are  e f f e c t i v e n e s s and Act  2 5  terms although  does not  efficiency.  deal  with  At  computer  matching i n  i t does e s t a b l i s h i n s e c t i o n  basic p r i n c i p l e that personal  information 24  7(a)  the  should only be used f o r  the purpose with  that  f o r which  i t was c o l l e c t e d ,  purpose.  comparison  Since  of p e r s o n a l  computer  matching  information  collected  purposes, the p r a c t i c e c l e a r l y Act. only  Federal an  Privacy  contravenes t h i s  Commissioner  unacceptably  or f o r a use c o n s i s t e n t  broad  John  involves  the  for different  provision  Grace  of the  has argued  interpretation  of  " c o n s i s t e n t use" c o u l d be used t o j u s t i f y computer  the  that  words  matching as i t  i s c u r r e n t l y understood: ...computer-matching t u r n s the t r a d i t i o n a l presumption of i n n o c e n c e i n t o a p r e s u m p t i o n o f g u i l t . . . I n matching, even where t h e r e i s no i n d i c a t i o n of wrongdoing, i n d i v i d u a l s are subject to high t e c h n o l o g y search and s e i z u r e . Once the p r i n c i p l e of matching i s accepted, a s o c i a l f o r c e of u n y i e l d i n g and p e r v a s i v e magnitude i s put i n place.26 Whether  the i n t e n t i o n  that  malign,  the f a c t  information  that  feeds the p r a c t i c e collected  i s innocent or  f o r one purpose can  be used f o r a n o t h e r — c a n be used, i n f a c t , t o compile d o s s i e r s on private c i t i z e n s — i s  a s e r i o u s problem because the p r o t e c t i o n of  personal  i s one of the few defences the i n d i v i d u a l  information  has a g a i n s t government In  Canada,  abuse.  much of the concern over computer  d o s s i e r b u i l d i n g has focused on the i n c r e a s i n g of  the S o c i a l  (SIN) It  I n s u r a n c e Number.  i s the most common p e r s o n a l  was developed i n the e a r l y  numerical  identification  facilitating  the e f f i c i e n t  and m u l t i p l e  The S o c i a l identifier  matching, or uses  Insurance Number  i n use i n C a n a d a .  1960s i n response t o the need f o r of  individuals  use of mainframe 25  as  a  means  computers;  of that  technological introduced pension  imperative continues  f o r purposes of  p l a n s i n 1964,  uses of t h i s burgeoning Hansen  new  t o d r i v e i t s use.  federal  unemployment  SINs were  insurance  but no c o n t r o l s were p l a c e d on  numbering  system.  In  1981,  additional  i n response  uses of the SIN, the f i r s t P r i v a c y Commissioner  recommended  the  c r e a t i o n of  a  new  and  criminal  to  Inger  offence  "against  the p r i v a c y of a n o t h e r "  i n order to regulate i t s u s e  but  recommendation  fell  deaf  Commissioner  heard  her  Privacy  complaining  on  ears.  f r o m more  In  than  about some o r g a n i z a t i o n s ' use  of  1985-86,  100  2 7  the  individuals  social  insurance  numbers or s e e k i n g c l a r i f i c a t i o n about the requirement  to provide  a SIN.28 Today, almost  every  o r g a n i z a t i o n s — they  could  b u s i n e s s — r e q u i r e s the formal  element  t r a n s a c t i o n between c i t i z e n s and be  governmental,  i n c l u s i o n of the SIN  in that  transaction.  In  social  educational  as an e s s e n t i a l the  Report  of  or and the  S t a n d i n g Committee on J u s t i c e and S o l i c i t o r G e n e r a l r e v i e w i n g the Access  to Information Act  and  the  members c i t e a number of a g e n c i e s c e r t a i n p o l i c e departments who their  emergency  deceased's  who  Committee  abuse the SIN,  including:  r e q u i r e a SIN from persons  to  obtain  a  burial  a u t h o r i t i e s ; i n s u r a n c e companies who  bureaus, who  the  number; some f u n e r a l homes who  number  to d i v u l g e t h e i r  Privacy Act,  permit  calling  require  from  the  municipal  r e g u l a r l y ask p o l i c y h o l d e r s  S I N s when m a k i n g p o l i c y  c l a i m s ; and  credit  use the SIN as a p r i m a r y means of l i n k i n g p i e c e s of 26  i n f o r m a t i o n about a s p e c i f i c Grace maintains SIN  t h a t , " u n c o n t r o l l e d and  establishes a  ominous and  person.29  de  facto  de-humanizing  national  g e n e r a l use of  identifier  implications."  3 0  The  with  disparate  sources.  Circumstantial  p o t e n t i a l l y , be put  together  of  or  their  aspect  reading  of  their  government private that  the  data  uneasiness  because  by  we  the  consider  broad  governments were not  large  i s very  generated credit risks; grained  by  against  which,  information  James  interest the  of  in  the  extensive. is a  unless  The  source  of  use  Moreover, there  gathering the  i t i s checked,  Rule  information  i n the  desire  to  suggests  that  private lives  c o n t r o l deviant  is a  organizations,  or consented t o , a t the time of  Sociologist organizational  every  i t becomes c l e a r  organizations  f o r example, w i l l  intended,  kept  range  activity  citizens, us  virtually broad  of  as c i t i z e n s , a r e , l a r g e l y , d e f e n c e l e s s . that  could,  i t c o n s t i t u t e s a form of s u r v e i l l a n c e , a k i n d  t e c h n o l o g i c a l voyeurism  concern  on  the  range  concerning  large  evidence  interests,  individual  documentary world of  we,  and  sector a f f e c t i n g  gathering  of  If  citizens  i n d i v i d u a l s , t r a c e s c o u l d be  educational  lives.  programs  on  a l l its  p r a c t i c e makes i t  much e a s i e r to compile a wide range of i n f o r m a t i o n about from  the  of  i n ways t h a t collection. much  of  the  individuals is  behaviour,  through  systems t h a t attempt to minimize the number of poor c r e d i t and  by  "the  bureaucratic  [need]...to  document  obligations." 27  3 1  The  and  define  ...fine-  enormous q u a n t i t y  of  p e r s o n a l documentation r e q u i r e d benefits,  f o r medical  insurance or  welfare  f o r example, serves mainly to e s t a b l i s h e l i g i b i l i t y  those s e r v i c e s .  Moreover, Rule p o i n t s  for  out:  People . . . p r o t e s t what t h e y c o n s i d e r "unfair s u r v e i l l a n c e " — o f t e n i n the same b r e a t h with which they demand more v i g o r o u s s u r v e i l l a n c e f o r p u r p o s e s w h i c h they support. Nearly a l l people can p o i n t to some form of s u r v e i l l a n c e w i t h w h i c h t h e y a r e unhappy, e i t h e r b e c a u s e t h e y d i s a p p r o v e of the ends a t which i t i s d i r e c t e d , or because i t i s i n e f f i c i e n t i n the p u r s u i t of these ends. But most people remain quick to demand s u r v e i l l a n c e , whenever i t seems to p r o m i s e e f f e c t i v e p u r s u i t of ends which they deem d e s i r a b l e . P u b l i c and p r i v a t e b u r e a u c r a c i e s are u s u a l l y only too w i l l i n g to accommodate these demands. 32  Clearly,  public  demand  for  effective protection  against  evaders, dangerous d r i v e r s , or w e l f a r e f r a u d s i s at responsible  f o r the growth of s u r v e i l l a n c e .  make s y s t e m a t i c m o n i t o r i n g the  efficiency  surveillance, inevitably, surveillance  criterion  the  increase. and  no  a t t r a c t bureaucratic deeply costs  sensitive of  result kinds social  to  control  remains  pressures  against  possible; in  area  of  an  information care;  limit  data,  control,  the  they may  reveal  possibilities  to  as  justify will,  to the growth of too  private  as  one  equally  to  of  the  sensitive  a claim.  3 3  The  between p a r t i c u l a r  for various  demands f o r more p e r s o n a l 28  long  privacy  to medical p e r s o n n e l  insurance companies when f i l i n g  o f f e r i n g new  so  People d i s c l o s e a l l manner of  i s t h a t as c o r r e l a t i o n s are e s t a b l i s h e d of  uncertainties  effect  individual's l i f e  surveillance.  least partly  and  personal  There i s no n a t u r a l  modern medical  information  and  Social  tax  data  kinds  of  inevitably  follow.34 All  of  these  d e v e 1 o p m e n t s - - s o c i a 1,  t e c h n o l o g i c a l — have ability  of  effectively  generated  i n d i v i d u a l s and against  well-founded groups  unwarranted  to  economic  fears  protect  intrusions into  l a s t twenty y e a r s  cracks  appear.  the  Since  i n the c u l t u r a l  late  1 9 6 0 s , what  personal  i s o l a t i o n and  a l o o f , enigmatic  and  v a r i o u s p o l i t i c a l and sixties  was  life.  drove  the  freedom  speak  a l s o not  adopted  the  only  right  some  to  form  of  by  because  the  concept  s t r u c t u r e s t h a t were  c o n t r o l i n a l l phases  same c o n s c i o u s n e s s  movement, c i t i z e n s for privacy  T o d a y , most w e s t e r n data  protection  of a " r i g h t  i s s u e of  and  the  need  w h i l e the p r i n c i p l e the  of the  right  but  of  legislation to p r i v a c y .  29  have in But, easy  p r o t e c t i o n remains a problem  resists  do we d e f i n e p r i v a t e a f f a i r s ?  to  their  countries  coherent  legislative  d e f i n i t i o n . What c o n s t i t u t e s an unwarranted i n v a s i o n of How  that  began  to p r i v a c y , " i s r e l a t i v e l y  privacy  itself  become a  the  the p r i n c i p l e  defend,  Theodor  movents t h a t took shape d u r i n g  acknowledgement of  to  the  the  their  i t .  w o r l d " has  characteristic  information of  over  demand of  Animated of  and  private  the p h i l o s o p h e r  of s o c i a l  for greater p a r t i c i p a t i o n  of c o l l e c t i v e  legitimate  student  themselves  A g a i n s t the p e r v a s i v e sense of  passivity, unwieldy,  the  hegemony have begun t o  Adorno once r e f e r r e d t o as the " a d m i n i s t e r e d battleground for s o c i a l struggle.  about  their  a f f a i r s . Such i n t r u s i o n s have not gone u n c h a l l e n g e d  and  privacy?  The  obstacles  t o d e f i n i n g p r i v a c y , as summarized  i n the the  Younger Committee R e p o r t , a r e t w o - f o l d : f i r s t , many of the 3 5  things others  we  feel  are feelings,  essentially determined and  beliefs,  irrational; largely  t o p r e s e r v e , from or m a t t e r s  and s e c o n d ,  Report  concluded  satisfactorily  pessimistic  the prying  eyes of  of conduct  that a r e  t h e scope  of p r i v a c y i s  by the standards and mores of a given s o c i e t y  these standards a r e s u b j e c t  Committee be  t h e need  that  defined,"  conclusions  t o c o n s t a n t change.  The Younger  "the concept of p r i v a c y  citing,  cannot  i n support, the e q u a l l y  reached by an e a r l i e r  British  Justice  Committee on P r i v a c y which were: ..... that no purpose would be served by our making y e t a n o t h e r a t t e m p t a t d e v e l o p i n g an i n t e l l e c t u a l l y r i g o r o u s a n a l y s i s ...At any g i v e n time, t h e r e w i l l be c e r t a i n t h i n g s which almost everyone w i l l agree ought to be p a r t of the " p r i v a t e " area which people should be a l l o w e d t o p r e s e r v e from t h e i n t r u s i o n of o t h e r s , s u b j e c t o n l y t o the o v e r r i d i n g i n t e r e s t of the community as a whole where t h i s p l a i n l y outweighs the p r i v a t e r i g h t . Surrounding t h i s a r e a t h e r e w i l l always be a "grey a r e a " on which o p i n i o n s w i l l d i f f e r , and the e x t e n t of t h i s grey a r e a , as a l s o t h a t of the c e n t r a l one, i s bound t o vary from time t o t i m e . ^ 3  Clearly,  the range  of p r i v a c y  concerns  i s remarkably  wide  and d i v e r s e , a f a c t that has l e d some c r i t i c s t o assume a m o r a l l y skeptical position  with respect to i t s v a l u e .  3 7  Privacy  r e v o l v e around two i s s u e s c o n c e r n i n g the r e d u c i b i l i t y  debates  of p r i v a c y  to o t h e r i n t e r e s t s or r i g h t s , commonly termed the "coherence" and "distinctiveness" integrated  issues.  and unique  First,  about  i s t h e r e something  the concerns commonly  30  fundamental, grouped  under  the heading  " p r i v a c y i s s u e s " or a r e those concerns  associated? privacy  Second, i s there something m o r a l l y d i s t i n c t i v e about  or can p r i v a c y c l a i m s  be d e f e n d e d  p r i n c i p l e s on which we base our defence The let  most c o n c i s e d e f i n i t i o n  alone,"38  "negative  only randomly  according  liberty".  by t h e same moral  of other  values?  of p r i v a c y i s "the r i g h t  t o which  The e q u a t i o n  privacy  t o be  i s synonymous  has some v a l i d i t y  with  since the  standard cases of " i n v a s i o n of p r i v a c y " commonly take the form of c o e r c i v e i n t r u s i o n s upon the i n d i v i d u a l and r e l a t e t o such i s s u e s as t h e f t , t r e s p a s s , c o p y r i g h t and defamation definition  i s flawed,  distinctiveness than  necessary  a conclusory  almost  however,  "The r i g h t  any c o n c e i v a b l e complaint  many examples described negative  of not l e t t i n g  as  invasions  liberty  inasmuch  f o r the phrase  sense.  of c h a r a c t e r . Such a as  i t l a c k s the  t o be u s e f u l i n more  t o be l e t a l o n e "  covers  a c i t i z e n c o u l d make and a great people  alone  of p r i v a c y .  attaching to t h i s  cannot  In some  definition  readily  be  i n s t a n c e s the  may even  conflict  with the r i g h t t o p r i v a c y . 3 9 The  definition  i s , a t the same time,  possible  to v i o l a t e  a person's  interference kinds  with  can take  place  computer-matching suffer not  a loss  coerced  freedom  are just  p r i v a c y without  of a c t i o n .  without  too narrow s i n c e i t i s any c o e r c i o n o r  S u r v e i l l a n c e of v a r i o u s  our knowledge — w i r e t a p p i n g  two examples; and i n each case  of p r i v a c y , n o t w i t h s t a n d i n g and our freedom of a c t i o n , 31  the f a c t  thought,  that  or we  we a r e  and e x p r e s s i o n  has  not been i n t e r f e r e d with. A  related  Warren  theory  of p r i v a c y ,  and L o u i s  Brandeis  respect  for privacy  between  first  a r t i c u l a t e d by Samuel  i n 1890 s t r e s s e s and r e s p e c t  the r e l a t i o n s h i p  for individual dignity  generally.  Privacy  itself  with  values,  i n c l u d i n g the r i g h t t o be l e t alone  other  respect  i s not d e f i n e d ;  rather  i t i s connected and the  due an i n d i v i d u a l ' s " i n v i o l a t e i n d i v i d u a l p e r s o n a l i t y . " 0 4  According  to this  profound  way w i t h  "inviolate  theory  privacy  the r e c o g n i t i o n  personality"  d i g n i t y , personal  i s connected  embraces  i n a s p e c i f i c and  of human  moral  individual  uniqueness, and p e r s o n a l  character;  integrity  and  autonomy.  Edward B l o u s t e i n has suggested that the coherence of p r i v a c y lies  i n the f a c t  human d i g n i t y . and  4 1  that a l l i n v a s i o n s  There a r e , however, v i o l a t i o n s of human d i g n i t y  p e r s o n a l i t y that  stand  have nothing  t o do with p r i v a c y :  having to  i n l i n e a t a foodbank, f o r example, i s a s e r i o u s a f f r o n t to  human d i g n i t y but i t has nothing The the  of p r i v a c y a r e v i o l a t i o n s of  r i g h t t o make p e r s o n a l  state  constitutes  privacy  as the r i g h t  concept  of p r i v a c y  liberty  of a c t i o n s  intimate  aspects  concept  of p r i v a c y  to do w i t h p r i v a c y . d e c i s i o n s without i n t e r f e r e n c e by  yet another  v a r i a t i o n on t h e theme of  t o be l e t a l o n e .  i s extended  4 2  to protect  j  n  such cases, the  the i n d i v i d u a l ' s  and autonomy from s t a t e r e g u l a t i o n of c e r t a i n  of t h e i r  life.  i s that  claim f o r non-interference  The f i r s t  the t y p i c a l  problem  privacy  claim  with  this  i s not a  by the s t a t e , but, r a t h e r , a c l a i m f o r  32  state  interference  individuals. nothing  to  i n the  Secondly,  4 3  do  individual's  form of  with  l e g a l protection against  i t excludes  highly  personal  unwillingness  to  be  a l l claims  decisions,  "on  file"  i s to  important action,  restrict  issues  issues  the  relating  that  may  context  to  be  umbrella concept of " l i b e r t y of a c t i o n . " The one  most popular  which  takes  interference definition  as  of  institutions extent most study  to determine  control  type  privacy  as  defines  i t as  cited has  control "the and  individual's  ability 4  when people  of  currently  rather  than  Alan  i s that resist  include  over  who  control  to The  Richard  senses we  have  M i l l e r , who control  the  Westin's  and  us;  4 5  over  i s the on  the  proponents of  the  Parker, 4 7  or  to what  i t s influence Other  4  is  non-  i n d i v i d u a l s , groups,  and  been enormous. ^  Arthur  r e l a t i n g to h i m . " ^ privacy  control"  regard  the  4 4  defining privacy  claim  about  addressed under  f o r themselves when, how,  in this  definition  ourselves;" **  of  "the  speak  about them i s communicated to o t h e r s "  privacy  4  as  an  with i n d i v i d u a l  its essential characteristic.  privacy  frequently  to  "information  information  of  approach  as  with p r i v a t e  can  interference  more e f f e c t i v e l y  have  i n a c e n t r a l data  i n which we  state  that such  bank. T h i r d l y , to d e f i n e p r i v a c y as n o n - i n t e r f e r e n c e actions  other  Charles  who  defines  Fried,  information  about  i d e n t i f i e s p r i v a c y as circulation  of  who  "the  information  advantage of the c o n t r o l type d e f i n i t i o n  i t identifies  clearly  s u r v e i l l a n c e or  33  the  monitoring  interest  involved  of  affairs,  their  that  interest  disclose  being  the  what they are  desire  doing on  of  individuals  t h e i r own  and  terms and  groups  to  to whom they  choose.50 There are, of p r i v a c y . sense"  nevertheless, serious  A c c o r d i n g to one  d e f i n i t i o n of  involve  loss  considered Control  an  over  control  of  exercise the  over in  this  definition  of  control  because  to  the  person  a  disclose  voluntary who  of  privacy  whether to d i s c l o s e information  and  discloses  d i s s e m i n a t i n g the  because  access  i n d i v i d u a l s can  o t h e r s have to  much because i t may  of  of such l o s s .  individuals  themselves does not others control  (through  to  definitions  of  than  as  a  the  not  the  loss  of  power  to  a  over  control  the  when there is.  flow  of  with  information in  fact  the  about  known  means)..  A  more  serious  concern  privacy  is  that  control  situates  34  as  other hand, c l a i m s  a l o s s of p r i v a c y  the  is  sense"  sufficient  Moreover, to equate p r i v a c y  control  have  have c o n t r o l  yet  e s t a b l i s h whether they are  other  rather  them through other means.  too  indicate  it.51  information.  i s not  p e r s o n a l i n f o r m a t i o n and  be  of  "strong  loses  not  would  loss  disclosure  strong sense d e f i n i t i o n of c o n t r o l , on  right  than a  other,  The  only a t h r e a t  disclosure  "weak  does  others a c t u a l l y  weak sense d e f i n i t i o n of c o n t r o l  description  disclosure  information,  information  sees  d e f i n i t i o n , the  rather  d e f i n i t i o n . The  prevent o t h e r s from f u r t h e r The  such  control,  amount of  emphasized  control  of  the  a voluntary  because  decision  the  sense of  control,  privacy  l i m i t a t i o n s to t h i s concept  by  with the  essence of p r i v a c y choice  i s respected;  than  the  way  preempting are  i n the the  i n which  questions  undesirable.  ability power of  concerning  There are  to do  it.  If privacy  from  criticizing  choose i t — i s Ruth define  when and  i s defined how  privacy  has  to us.  Our  others;  access to u s . "  it  suggests  elements: element can area  about us,  of  of the  a t t e n t i o n ; and  identify  that,  be  privacy  of  that have value  nothing  privacy  in fact  may  chosen  i t prohibits or  us  not  to  rather  attempt  to  losses  of  others  gain  access  l o s s of p r i v a c y t r a n s l a t e i n t o  extent  i s , "the  to which we  extent  privacy  complex  secrecy, function  privacy  loss  extent are  to which  we  subject  of  the  to which others  the  have p h y s i c a l  G a r v i n ' s n e u t r a l concept of p r i v a c y enables  5 4  a  the  argues, occurs as  a t t e n t i o n to us, or  i t , that  the  than  more u s e f u l to d e f i n e  pay  concerns r e g a r d i n g  to  losses  c o n t r o l — t o choose p r i v a c y  i t may  useful definition  others'  rather thereby  i n d i v i d u a l has  A l o s s of p r i v a c y , Garvin  5 3  known to  why  the  exercised,  form of c o n t r o l  suggested  itself,  information  are  that  be  the reasons we  a  that  exercised.52  obtain  most  as  see  i s emphasized  l o s s e s of p r i v a c y  with whether an  Garvin  of p r i v a c y .  choice  such power should  to do with l o s s e s of c o n t r o l and have nothing  to choose i t and  of  distinctly  three  anonymity,  the  and  concept  and  solitude. i t s own  because  irreducible  Although  each  self-contained  coheres because  elements are p a r t of the same n o t i o n of 35  coherently  independent  independently w i t h i n  concern,  and  us  accessibility.  all 5 5  three  The  concern  about an  for secrecy,  individual,  covering  or the amount of  r e l a t e s to  s i t u a t i o n s ignored  information  by  information  gathering p r a c t i c e s ,  traditional  i n t e r p r e t a t i o n s of  " i n v a s i o n of p r i v a c y " : i n t r u s i o n , t r e s p a s s and concern refers  f o r anonymity, or to  subject  losses  of  others'  observation. concern  of  The  for  the  privacy  result  attention, either  third  falsification.  attention paid that  element  known  to an  when  by  individual,  we  become  direct  in Garvin's  indirect  privacy  concept,  s o l i t u d e , r e l a t e s to p h y s i c a l a c c e s s ;  more a t t e n t i o n has  aloneness" The  has  the  concern  of  entering letters,  those in  of  p r i v a c y , as gathering,  typical and  but  that  our  "spatial  expressed  a t t e n t i o n , and  claim privacy  three  physical  of  privacy  computerization  of  information;  about  individuals;  contexts  differ  i n each of  these  as  intruding  eavesdropping, w i r e t a p p i n g ,  r e q u i r e d t e s t i n g of i n d i v i d u a l s and Though the  i n the  invasions  information  private places,  information. which we  such  storage,  dissemination  of  information  covers  collection,  to us  reading  lives:  relations, appears  and  to be  the  promotion  the  maintenance  a cultural  value  of of  widely,  the  free  or of  similar;  autonomy, society.  i n a l l known human  36  the  reasons f o r  s i t u a t i o n s are  liberty, a  the  f o r c e d d i s c l o s u r e of  reasons are connected to the p o s i t i v e f u n c t i o n s p r i v a c y  our  nor  been encroached on.56  n e u t r a l concept  elements access,  been drawn  the  or  embodied here i s not t h a t more i n f o r m a t i o n has been o b t a i n e d , that  The  has  human Privacy  communities  although their  the  case  forms  i t assumes  f o r the  Warren and  recognition  vary of  Brandeis argued that  widely.  a  general  "the  In e s t a b l i s h i n g  5 7  right  i n t e n s i t y and  to  privacy,  complexity  life  ...have rendered necessary some r e t r e a t from the world  that  solitude  individual." The  and  a  need to p r o t e c t the  democratic  hinder  the  society traces  have  privacy  requirements  the  to case  utilitarian  become more e s s e n t i a l to  the  i s rooted  the  society;  of  i f we  i n d i v i d u a l attainment  has  ...so  5 8  i n d i v i d u a l and of  privacy  of  be  liberal  and  for assigning  principles first  i n our  selfhood want  of  a  the  and,  high  i n our  society  that  of  concept will  above mentioned  pluralistic. a  notion  value  espoused by  Arthur to  goals, Schaefer  privacy  John S t u a r t  not  to  Mill  the  in  On  Liberty; As M i l l p o i n t s o u t , t h e r e i s a c l o s e c o r r e l a t i o n between the a v a i l a b i l i t y of a p r o t e c t e d zone of p r i v a c y and the i n d i v i d u a l ' s a b i l i t y f r e e l y t o d e v e l o p h i s i n d i v i d u a l i t y and c r e a t i v i t y . In a s o c i e t y w h i c h i s f r e q u e n t l y i n t o l e r a n t of or h o s t i l e to non-conformity, freedom from constant s u r v e i l l a n c e i s an important prec o n d i t i o n f o r t h e d e v e l o p m e n t of i n d e p e n d e n t and critically-minded individuals. D i v e r s i t y and nonc o n f o r m i t y w i l l , i n t u r n , promote t h e v i t a l i t y and progress of s o c i e t y and c o n t r i b u t e thereby to long-run utility. 5 9  The  important  "protected scientists,  zone"  has  a l l of  e x p e r i e n c e d need and are  profound.  psychological been whom that  Erving  utility  explored agree  the  by  that  a  of  number  privacy  consequences of  Goffman's 37  privacy  analysis  is  denying of  as  a,  of  social  a  deeply  this  such  need  "total  institutions" importance  as  p r i s o n s and  mental  of p r i v a c y f o r the  institutions  development  and  confirms  the  p r e s e r v a t i o n of  p e r s o n a l i d e n t i t y by i l l u m i n a t i n g the e f f e c t s of i t s n e g a t i o n : ...beginning w i t h a d m i s s i o n a k i n d of c o n t a m i n a t i v e exposure occurs. On the o u t s i d e , the i n d i v i d u a l can h o l d o b j e c t s of s e l f - f e e l i n g - - s u c h as h i s body, h i s i m m e d i a t e a c t i o n s , h i s t h o u g h t s and some of h i s possessions--c1ear of c o n t a c t w i t h a l i e n and contaminating t h i n g s . But i n t o t a l i n s t i t u t i o n s these t e r r i t o r i e s of s e l f are v i o l a t e d ; the boundary t h a t the i n d i v i d u a l p l a c e s between h i s being and the environment i s invaded and the embodiments of s e l f profaned.&® A number  of  privacy  contend  individual, that  we  philosophical that  privacy,  c r e a t e s the  consider  arguments  necessary  essential.  concerning  by  limiting  context Jeffrey  the  value  access  for other Reiman,  to  and  individuals  feelings,  and  to d i s t i n g u i s h  for  those  of  between t h e i r  others.61  an  activities example,  b e l i e v e s t h a t p r i v a c y enables the development of i n d i v i d u a l i t y allowing  of  own  in related  by  thoughts  arguments,  C h a r l e s F r i e d and James Rachels argue^2 t h a t p r i v a c y p r o v i d e s the necessary  context  friendship  because,  sometimes  including  cannot the  control  kinds  Privacy  of  is a  the  for  the  " i f we and  relations  control  sometimes  with  necessary  act d i f f e r e n t l y  cannot  i f we  other  trust,  who  has  we  people  precondition kinds of s o c i a l b e l i e v e we 38  of  excluding  p a t t e r n s of behaviour  maintenance of d i f f e r e n t "we  development  access  people,  the  will  and  to then  need to adopt  that we  for  love  are being observed.  we  ...or  have."63  creation  relationships,  us,  and  because, If  we  can  never  listened  be s u r e  whether  o r n o t we  t o , a l l our a c t i o n s  will  a r e being  be a l t e r e d  watched and  and our  very  i n c l u d i n g freedom  from  c h a r a c t e r w i l l change."64 Privacy censure  serves  many d i v e r s e  and r i d i c u l e  and t h e p r o m o t i o n  autonomy, and human growth. and  intimacy  promoting First, effects  these  values,  of s o c i a l  privacy  us from  life.  t o have the o p p o r t u n i t y  and  pressing  opportunity,  t o concentrate  range  the  early  stages  any  failures  shrink  would  to the p r e d i c t a b l e  of  has a l r e a d y  this  diligent  difficult actions  that  necessary  accumulation  among them  f r e e d o m and  r i d i c u l e and censure i n  t o take  ones and f i e l d s  and t h e known.  r e s u l t e d from  from d i s t r a c t i o n s  and e x p e r i m e n t a t i o n . 6 5  Edward. Long d e c r i e s , the d e c l i n e that  inhibiting  i n s o l i t u d e i s present  we would be l e s s l i k e l y be p u b l i c  and  ways.  forms of c r e a t i v i t y .  p r o t e c t s us a g a i n s t  of g r o p i n g  absence of p r i v a c y  in specific  o f human a c t i v i t i e s ,  to providing  privacy  functions  the d i s t r a c t i n g  l e a r n i n g , w r i t i n g and most other addition  health,  of human r e l a t i o n s h i p s . In  The need t o be f r e e  and  i n a wide  of mental  P r i v a c y a l s o permits the r e l a x a t i o n  e s s e n t i a l t o many kinds  i t insulates  In  values,  the e r o s i o n  risks  since  of enquiry  would  In The  in spontaneity  i n the  Intruders,  within  society  of p r i v a c y :  "because  of f a c t s about  each of us, i t  is  t o speak or a c t today without wondering i f the words or  will  reappear  l i n k e d p r i v a c y with  'on the record'."66  mental h e a l t h  by arguing  Sidney J o u r a r d ^ that  7  has  the p r e s s u r e s  to conform for or  to society's expectations  some i n d i v i d u a l s . acts  can l e a d t o mental  By p r o v i d i n g a s h e l t e r t o s e c r e t  of disobedience,  privacy  eases  the s t r a i n  illness thoughts  of p u b l i c  obedience. Second, p r i v a c y  promotes  liberty  i n d i v i d u a l ' s conduct from o t h e r s ' so doing,  privacy  pressures  t o conform and other  promotion related  and an  critical  links  foremost  relations.  coercion functions maintain edit  evaluation  of t h e i r  various  worth."68  Even i n  openness and t o l e r a n c e ,  t o h o s t i l e treatment.  to enable  and e s t a b l i s h t h e i r from  an  t o promote different  liberty  kinds  opinions  of human attachments; selves  reason  interference or  public. allow  from  or a group, t o  without  i n ways t h a t  our d i f f e r e n t  For t h i s  individual,  a potentially hostile  and p r e s e n t  function  autonomy and  or groups who behave i n a manner that d e v i a t e s  i s needed  deliberate  them,  obedience based on  norms a r e s u b j e c t  privacy  t o a v a r i e t y of  acceptance of s o c i a l norms, with  s o c i e t i e s t h a t p r i d e themselves on t h e i r  certain  This  i s "the r e f l e c t i v e  moral  Moral  among  interference,  reaction.  privacy  In  autonomy  independent  individuals  against  forms of h o s t i l e  of a c t i o n  i n d i v i d u a l goals, human  knowledge of t h a t conduct.  f u n c t i o n s as a safeguard  of l i b e r t y  meaningful  of a c t i o n by s h i e l d i n g an  Privacy  also  us t o form and i t enables us t o  to the w o r l d .  This  i s c r u c i a l because we p r o j e c t our i d e n t i t y through these s e l v e s and i t i s through such images of s e l f  r e l a t i o n s a r e c r e a t e d and maintained.69  40  that  human  Privacy  i s derived  p r i v a c y t o the extent desirable.  from  that  the l i b e r t y  creating require privacy,  and  intimacy.  i n contexts  learning, practising  as do c e r t a i n forms of r e l a x a t i o n  i n which  are involved.  i s r e q u i r e d , too,  have few or no norms;  freedom of e x p r e s s i o n  Because  the e x i s t e n c e  and r a c i a l  o f freedom of  or a n t i - d i s c r i m i n a t i o n laws does not guarantee  individuals  or g r o u p s  will  n o t be s u b j e c t  pressures  t o conform,  respect  tolerance  of o t h e r s .  The f a c t  for privacy i s , that  to p r i v a c y  i s accepted  as a n e c e s s a r y  i s also required  consensus  although  compromise  i n contexts  laws  in  some A m e r i c a n  ever,  enforced  states;  i s an  7 2  individuals interest  Privacy  that  information  of r e h a b i l i t a t i o n  d i s c r i m i n a t i o n of v a r i o u s  between t h e  nature. ^ 7  is still  i s no  norms.  7 1  illegal  the law i s r a r e l y , i f the privacy  of  such  t o p r o t e c t the p a r t i c i p a n t s from l e g a l  i s a l s o allowed  to withhold  The r i g h t  of c e r t a i n  adults  indication that  r e l a t i o n s h i p s i s permitted sanctions.  the f a c t  c a n be  i n which there  as t o t h e d e s i r a b i l i t y  Homosexual r e l a t i o n s between c o n s e n t i n g  or  i s a way of e n f o r c i n g  i d e a l s of s o c i a l harmony and the l i m i t s of human Privacy  that  to p r e j u d i c e  d e l i b e r a t e l y and c o n s c i o u s l y changed, m o r a l i t y cannot.  clear  t o allow  i t promotes i s c o n s i d e r e d  i n which we b e l i e v e we should  expression  we tend  The l i b e r t y promoted by p r i v a c y  example, c o n t e x t s  tolerance  i n that  As the above a n a l y s i s suggests,  and  for  liberty  t o promote the l i b e r t y of about  or to p r o t e c t  kinds. 41  their  past  themselves  i n the against  P r i v a c y f u n c t i o n s i n both these  case  to  norms  ease by  tensions  suspending  questionable  privacy  their  meaningful  the  personal  enforcement  is  mental  human  necessary  health  relations.  In  promotes a more p l u r a l i s t i c  the  extent  rule  and  should and  privacy  f o r democracy the  right  participate  keep p r i v a t e  If  is  their  they  The are  fullest  their  movements a l l r e q u i r e  affairs,  movements,  "...unless test  governments,  the  police  precondition  for  an  destroyed." A  with  it  the  effective  and  a  respect  citizens  judgements  exercise  their right  discussions,  variety Schaefer  to  their  groups have wide intrusive  general  and  of  for  life, other  calls  "a  internal scope  to  surveillance  by  public,  democratic  is  majority  organizational  what A r t h u r  and  to  p r i n c i p l e holds true  their  t h e i r ideas without or  for  to  political  unions  individuals  formulate and  privacy  e x t e n t , they must have the  protect  privacy"  develop  autonomy,  forming  to  And,  assumption t h a t  are  groups  nutritive  the  to  society.  for  citizens  protest  of  morally  goals,  justification  same democratic to  and  tolerant  by  ideological  kind  social  individuals  such  decisions  If  votes,  enable  important  to vote r e s t s on  choices.  their associations.  and  and  certain  promoting  because the  l i b e r t y to the  groups.  of  autonomy  and  in p o l i t i c a l  establishing  political to  that  to  and  also  important  preferences  standards.  Clearly, maintain  between  an  society  essential will  be  7 3  certain  sphere of  privacy 42  has  had  legal  protection  from  the  earliest  protected  times.  Anglo-Saxon  the p r i v a c y that attached  l a w a n d German  o f f e r e d compensation f o r damage t o p r o p e r t y ,  and  t h e mere a c t of i n t r u s i o n .  search,  detain  prohibition legal  or e n t e r ,  strict  norms o f c o n f i d e n c e ,  i s inadequate  the l e g a l p r o t e c t i o n of p r i v a c y  the level  of p r i v a c y  i t once  when  i t comes t o  storage,  i n the technology  and r e t r i e v a l  impossible  secured  i s no  same l e v e l of p r i v a c y t h a t was once e n j o y e d . number o f p e o p l e whose p r o f e s s i o n people's  activities,  publishable enables  information  to protect the  The i n c r e a s e i n t h e  activity  and t h e c h a n g e s  and p u b l i s h e d  protection  identified  i n some form.  f o r Economic  i n the development  significant  of that  t h a t e v e n t s and  Development's (OECD) Committee f o r I n f o r m a t i o n ,  Communications P o l i c y  i n search  i n t h e equipment  s u c h e n t e r p r i s e s make i t more l i k e l y  c o n s u l t a n t ' s Report t o t h e O r g a n i z a t i o n and  i t either  i t i s t o observe and r e p o r t on  the i n t e n s i f i e d  i n f o r m a t i o n w i l l be r e c o r d e d  7 5  recording,  have made  for individuals  longer  secured."  of s u r v e i l l a n c e ,  of i n f o r m a t i o n  or extremely c o s t l y  According  i s inadequate, "not  s u f f i c i e n t , but because t h a t l e v e l can no l o n g e r be Advances  and  The t r a d i t i o n of  7 4  t h e modern c o n c e r n w i t h l o s s e s of p r i v a c y .  to Garvin,  i n the  on t h e power o f government o f f i c i a l s t o  p r o t e c t i o n , however,  because  i n s u l t i n g word,  Additional protections  of e a v e s d r o p p i n g emerged l a t e r .  addressing  law  t o e v e r y freeman's d w e l l i n g ,  and  form of r e s t r i c t i o n s  tribal  A 1986  Co-operation Computer and  problems f o r d a t a  o f t h e f o l l o w i n g f o r m s o f new 43  technology:  expert  bases; o p t i c a l manual  s y s t e m s u s e d on  character  records;  personal  information  r e c o g n i t i o n methods of  d i s t r i b u t e d data  processing  computerizing  and  communication; two-way e l e c t r o n i c s e r v i c e s ; and  ad  hoc  data  electronic mail.  Other emerging t h r e a t s t o i n d i v i d u a l p r i v a c y a r e t r a n s b o r d e r f l o w s and  v a s t l y increased  undeclared  numbers of microcomputers  c o l l e c t i o n s of p e r s o n a l  Theoretically, Canadian Law  the  i n the  p r o t e c t i o n of  form of  the A c t , a r t i c u l a t e d  information.  the  i n s e c t i o n 2,  by  fact, the  a government i n s t i t u t i o n  a data-protection  t h r e a t s posed t o  storage,  and  legislation, code of " f a i r the  heads  of  of  the  date,  and  i s t o " p r o t e c t the p r i v a c y  of  i n f o r m a t i o n about t h e m s e l v e s  ...".  The  P r i v a c y Act  sense t h a t by  incorporated  in sections  4 to  9,  i s , in  i t deals  with  collection,  use,  At the c o r e of  the  the  data.  i s the  standard  i n f o r m a t i o n p r a c t i c e s . " Under s e c t i o n 4 of the institutions  are  t o ensure t h a t p e r s o n a l  "relates directly  data  t o an  directly to  44  have  i n f o r m a t i o n which i s program or  activity  required  the purposes of  kept as a c c u r a t e ,  Subject  to  Act,  to  i n d i v i d u a l s concerned,  them of  must be  possible.  required  i n s t i t u t i o n s are  from the  inform  Such i n f o r m a t i o n  complete as  operating  Government  p o s s i b l e , and  collection.  of  of p e r s o n a l  personal  wherever  main g o a l  individual privacy  institution."  collect  7 6  The  dissemination  procedures i n place collected  maintaining  in  s t a t u t e i n the  government  data  i s enshrined  Privacy Act.  i n d i v i d u a l s with respect to personal held  privacy  data  to various  data  up-to-  conditions,  information  may  collected  for a  be  or  disclosed  principle  only  be  for  consistent  without  the  is qualified  thirteen  used  purposes  the  use.  Personal  consent  somewhat  purpose  of  by  the  which  it  information  8(2),  was  may  individual.  section  f o r which p e r s o n a l  for  not  The  which  last  describes  information  may  be  disclosed  Committee  on  Justice  and  Information  Act  to t h i r d p a r t i e s . In  March  Solicitor and  General  the  and  The  Committee  The  Act's the  the  establish  found  published  a  of  the  personal  u n d e r any  Privacy  of  computer  Number  Individuals  in  who  given  denial  about  them.  7 7  Act  in  data  banks  to  sections  nor The  21  for access  confirmation Canadian  of  files  to the  problems  misuses  of  discussed.  A  exempt in  banks.  Council  concerning  22 an  to  obtain the  a l l of which c o n s i s t  of  international  and  the  exempt  investigation Privacy  bank  existence  P o l i c e Information  45  of  enforcement  and  the  the  been  respects.  i n d i v i d u a l s cannot  information" law  and  the  acts.  section s t i p u l a t e s that  "contain  and  Act  on  privacy  programs,  Governor  which This  and  concept  the  report  in several  already  the  authorizes  apply  wanting  matching  Act  personal  to  comprehensive  have  inheres  n a t i o n a l defence,  described  Access  p r o v i s i o n i n the  in question  of  the  f e d e r a l access  circumstances.  banks  predominantly  the  the  Insurance  of  information  as  of  operations  limitation 18  affairs,  Review  " c o n s i s t e n t use"  further  access  Standing  the  Act  oversight  Social  Section  the  on  Privacy  provisions  with  1987  of  Centre,  are  Act.  neither  information one  of  the  most s e n s i t i v e data bases maintained fall  w i t h i n the mandate of the A c t .  by the  government, does not  I t i s operated  by  the  Royal  Canadian Mounted P o l i c e as a c e n t r a l i z e d automated index to l o c a l police  records,  at  the  expense  of  the  federal  government  on  behalf of p o l i c e f o r c e s a c r o s s Canada. The  Act  does  not  mention  the  s e c u r i t y for personal information. of a  need  to  maintain  In November 1986,  an employee  Revenue Canada, T a x a t i o n removed 2,000 m i c r o f i c h e records from locked  These  reading  records  Number, an spouse  of  quickly  room  employment 16  million  recovered  but  of the g e n e r a l  the  current  Taxation  name, a d d r e s s ,  Social  last  year,  tax  security  filing  taxpayers.  incident  The  7 8  demonstrated  procedures  and  Office.  Insurance  and  name of  records  a  were  significant  intensified  the  public.  remedies f o r wrongful i n f o r m a t i o n ; nor  collection,  use,  and  d i s c l o s u r e of  do Canadians have an e s t a b l i s h e d r i g h t  sue the f e d e r a l government f o r i n v a s i o n of t h e i r p r i v a c y s i n c e tort  level. the  code,  District  i t stands c u r r e n t l y , the P r i v a c y Act does not p r o v i d e f o r  personal to  the  the  concerns  civil  Toronto  individual  with  As  i n the  contained  problem  7 9  of  i n v a s i o n of p r i v a c y does not  There  i s , moreover; no  Canadian C h a r t e r  of R i g h t s  explicit and  exist  right  at  the  federal  to p r i v a c y under  Freedoms; the  inclusion  proposed but defeated by a vote of f o u r t e e n to t e n . of  adequate  The  was  absence  a common-law and/or Charter based r i g h t to p e r s o n a l p r i v a c y i n i  Canada  is a  significant  impediment 46  to  the  p r o t e c t i o n of  individual Canada  rights.  played  Guidelines Personal  a  significant  on the P r o t e c t i o n  to develop  p r o t e c t i o n codes  absence  includes and  t h e most  and  glaring  in drafting  although  t h e 1984  OECD  and Transborder Flows of  " t o encourage p r i v a t e  implement  voluntary  sector  privacy  has been made t o d i s c h a r g e  omission  i n the Canadian  Privacy  i s endemic i n p r i v a c y l e g i s l a t i o n g e n e r a l l y , i s  of a d e f i n i t i o n  a definition  a lengthy  itself  that,  8 0  Act, and one that the  role  ...no v i s i b l e e f f o r t  obligation." Perhaps  Committee noted  of P r i v a c y  Data, and committed  corporations  this  The Standing  list  of p r i v a c y .  Section  3 of the A c t  of the meaning of "personal  information"  of what c o n s t i t u t e s p e r s o n a l  purposes of the l e g i s l a t i o n ;  information f o r  but nowhere does i t d e f i n e  the term  "privacy." The privacy  foregoing  I n some  instances,  are necessary  interests  that  begin with,  aware of i t , s i n c e others  are reading  from  require  p r o t e c t i o n of  the i m p o r t a n c e of  of the law i n p r o t e c t i n g t h e law's  losses  commitment t o  of p r i v a c y ,  s u c h as  and the needs of law enforcement.  are, however, s u b t l e r o b s t a c l e s need t o be c r i t i c a l l y  the l e g a l  adequately,  limits  and stem  sometimes  freedom of e x p r e s s i o n  To  that  does not always r e f l e c t ,  privacy. privacy  makes c l e a r  to the p r o t e c t i o n of p r i v a c y  There that  examined. our p r i v a c y can be invaded without our being i t is difficult  our d o s s i e r .  This 47  t o know,  f o r example, i f  absence of awareness i s a  serious  problem  in  a  legal  system  c o m p l a i n t s i n i t i a t e d by v i c t i m s . problem  may  be  privacy  i s the  misconduct victims  information  that  the  invasions  of  invasion no  has  victims privacy  i n d i c a t i o n that  have  undesirable  been  are  The  invaded  be  out  of  of own  i n which  because  the  about them i s used i n a p u b l i c example.82  able  of  the  ignorance  privacy  consequences.  In  do  fact,  not  i  n  information  to complain  about  that  absence of complaints  invasions  its  cases  on "the  invader  in exposing  i s no need to use  not  simply  occurred.  p o i n t s out,  E l l s b e r g i s a notable  will  primarily  a major  There  has  been a c q u i r e d  most s i t u a t i o n s , however, there and  that  interest  privacy  case of D a n i e l  publicly,  fact  uncertain."81  their  that has  the  by  relies  As Ruth G a r v i n  government, whose  i s always  learn  trial;  aggravated  that  the  such  an  i s , therefore,  e x i s t or  do  Ruth G a r v i n  not  argues,  "because deterrence  depends at l e a s t p a r t l y on the p r o b a b i l i t y of  detection,  problems  these  of  awareness  may  encourage  such  invasions."83 Even i n those cases where i n v a s i o n of p r i v a c y can for  example,  proceedings additional areas we  invasion are  losses  i n which we  seek  freedom  of  lengthy, of  privacy  through  c o s t l y and,  privacy.  more  Privacy  is  the  inhibiting  importantly, important  e f f e c t s of  cause  to  s e l f - r e s p e c t , t r u s t , and, 48  involve in  social  of p r i v a c y are h u r t f u l because they expose us; lose  legal  those  to conform, where  Invasions us  proved,  publication,  want a refuge from pressures from  be  in  the  life.  they end,  may our  capacity one  of  t o have m e a n i n g f u l r e l a t i o n s w i t h o t h e r s . the  completely  most p u b l i c out  of p l a c e  m e c h a n i s m s s o c i e t y has i n most of the c o n t e x t s  The  law,  as  developed,  is  i n which p r i v a c y  i s deemed v a l u a b l e : " f o r the genuine v i c t i m of a l o s s of damages and  even i n j u n c t i o n s a r e remedies of d e s p a i r . " 8 4  Garvin the  b e l i e v e s t h a t what c u r r e n t l y p r o t e c t s p r i v a c y  difficulty  interest  of  of  invading  others  to  anonymity a l l o w s us does  become  obtained  do  i t , but  the  s o . 8 5 The  lack  of  protection  is  not  motive  our  and  relative  i s q u i c k l y l o s t , however, the moment someone  interested,  from a h o s t  invaded,  i t can  permanent  ways t h a n  protect  privacy,  be  of  since  data  invaded ever  information  banks. today  before.  p r i v a c y r i g h t s i f we  And,  about  us  i f our  can  be  privacy  is  i n more  serious  We  an  have  and  more  obligation  to  want a s o c i e t y t h a t i s committed t o  p r o m o t i n g the g o a l s of a d e m o c r a t i c s o c i e t y . We  have  a  p a r t i c u l a r o b l i g a t i o n to  alert  those  whose  occupations involve systematic  b r e a c h e s of o t h e r s ' p r i v a c y , among  them,  scientists  journalists,  h i s t o r i a n s — t o the are  and,  years,  the the  invader  research  i t s research  more  f a c t t h a t , a l t h o u g h some i n v a s i o n s  i n e v i t a b l e , a c a v a l i e r a t t i t u d e toward  corrupt  of  social  as  w e l l as  harm the  community has  p r a c t i c e s i n the  over p o t e n t i a l i n v a s i o n s  of  research  generally  methodologies  such  of  been f o r c e d  privacy  losses  v i c t i m . "86  i  n  "may recent  t o re-examine some  f a c e of growing p u b l i c c o n c e r n  individual privacy.  49  recently,  and  The  nature  socio-historical  of  research  specifically,  and  the  reasons  these  have  become a  matter  concern i n p r i v a c y debates w i l l be e x p l o r e d i n the next chapter  50  CHAPTER II ENDNOTES  (New of  1. A l e x i s de T o c q u e v i l l e , Democracy York: V i n t a g e , 1945) 1: 337.  i n America,  2. Hannah Arendt, The Human C o n d i t i o n (Chicago: Chicago P r e s s , 1958) 24.  2 vols.  University  3. M i c h e l F o u c a u l t , "On G o v e r n m e n t a l i t y , " q u o t e d i n The F o u c a u l t R e a d e r , e d . P a u l Rabinow (New York: Pantheon Books, 1984) 14-15. 4. F o u c a u l t , "On Governmentality"  15.  5. F o u c a u l t , "On  Governmentality"  15.  6. F o u c a u l t , "On  Governmentality"  16.  7. F o u c a u l t , "On  Governmentality"  16.  8. F o u c a u l t , "On  Governmentality"  17.  9. F o u c a u l t , "On  Governmentality"  17.  10. Michel. F o u c a u l t , D i s c i p l i n e and Punish: The B i r t h of the P r i s o n (New York: V i n t a g e Books, 1979) 198. 11. F o u c a u l t , D i s c i p l i n e and Punish 200. 12. Arendt, The Human C o n d i t i o n 38-40. 13. A c c o r d i n g t o A r e n d t , " t h e s c i e n t i f i c thought that c o r r e s p o n d s t o t h i s d e v e l o p m e n t i s . . . ' n a t i o n a l economy' or ' s o c i a l economy' or V o l k s w i r t s c h a f t , a l l of which i n d i c a t e a kind of 'collective housekeeping'; the c o l l e c t i v e of f a m i l i e s e c o n o m i c a l l y o r g a n i z e d i n t o t h e f a c s i m i l e o f one super-human f a m i l y i s what we c a l l ' s o c i e t y , ' and i t s p o l i t i c a l form of 51  organization 29.  is called  ' n a t i o n . ' Arendt, The Human C o n d i t i o n 28-  14. Arendt 41. 15. Arendt 42. 16. In Arendt 39. A c c o r d i n g t o Arendt, the a u t h e n t i c i t y of Rousseau's d i s c o v e r y i s apparent i n the f l o w e r i n g of p o e t r y and music, as w e l l as the r i s e of the n o v e l , from the middle of the e i g h t e e n t h c e n t u r y on. In Home; A Short H i s t o r y of an Idea, Witold Rybczynski provides further v e r i f i c a t i o n of t h e h i s t o r i c a l t r a n s f o r m a t i o n of p r i v a c y i n t o a p r o t e c t e d realm of intimacy when he d e s c r i b e s the concept of p r i v a c y as one of the g r e a t a r c h i t e c t u r a l d i s c o v e r i e s o f t h e b o u r g e o i s a g e . See R y b c z y n s k i , Home; A Short H i s t o r y of An Idea (New York: V i k i n g Penguin, 1986) 26-28, 77, 107-108, 221-222. 17. A r e n d t w a r n s t h a t , " t h i s nobody, t h i s assumed one i n t e r e s t of s o c i e t y as a whole ...does n o t c e a s e t o r u l e f o r having l o s t i t s personality. As we know from the most s o c i a l form of government, t h a t i s , from b u r e a u c r a c y . . . t h e r u l e by nobody i s not n e c e s s a r i l y n o - r u l e , i t may indeed, under c e r t a i n c i r c u m s t a n c e s , even t u r n out t o be one of i t s c r u e l l e s t and most t y r a n n i c a l v e r s i o n s . " The Human C o n d i t i o n 40. 18. S e e , f o r e x a m p l e , D a v i d H. F l a h e r t y , C o l o n i a l New E n g l a n d ( C h a r l o t t e s v i l l e : U n i v e r s i t y P r e s s , 1972).  Privacy in of V i r g i n i a  19. See A r t h u r S c h a e f e r , " P r i v a c y : A P h i l o s o p h i c a l Overview," Aspects of P r i v a c y Law: Essays i n Honour of John M. S h a r p , e d . D a l e G i b s o n ( T o r o n t o : B u t t e r w o r t h s , 1980) 2; and F e r d i n a n d Schoeman, " P r i v a c y : P h i l o s o p h i c a l Dimensions of the L i t e r a t u r e , " P h i l o s o p h i c a l Dimensions of P r i v a c y , ed. F e r d i n a n d Schoeman (Cambridge: Cambridge U n i v e r s i t y P r e s s , 1984) 1-2. 20. A r t h u r Schaefer 2. 21. Quoted i n Schaefer 3-4. 22. See G. F i n l a y , " P r o t e c t i o n of P r i v a c y and the Government A r c h i v e s O r g a n i s a t i o n , " paper p r e s e n t e d at t h e X X I I I r d I n t e r n a t i o n a l Conference of the Round Table on A r c h i v e s , A u s t i n , Texas, 24-28 Oct. 1985. 2 3. O v e r s i g h t o f Computer M a t c h i n g t o D e t e c t F r a u d M i s m a n a g e m e n t i n G o v e r n m e n t Programs, H e a r i n g s b e f o r e Subcommittee on O v e r s i g h t o f Government Management o f Committee on G o v e r n m e n t a l A f f a i r s , U n i t e d S t a t e s Senate, 52  and the the 97th  C o n g r e s s , 2nd S e s s i o n , 15-16 December Government P r i n t i n g O f f i c e , 1983) 1-2.  1982 (Washington  D.C:  24. T r e a s u r y Board Canada, Report on Data Matching, May 3, 1985, Report p r e s e n t e d i n Hearings b e f o r e the Standing Committee on J u s t i c e and S o l i c i t o r General on the Review of the Access to Information Act and the P r i v a c y A c t . 25. S.C. 1980-83, c . I l l ,  Schedule I I .  26. A n n u a l R e p o r t P r i v a c y Supply and S e r v i c e s , 1986) 7.  Commissioner  1985-86  (Ottawa:  27. R e p o r t o f t h e P r i v a c y Commissioner on the Use of the S o c i a l I n s u r a n c e Numbers i n Canada (Ottawa: Department of J u s t i c e , 1981). 28. Annual Report P r i v a c y Commissioner  1985-86 8.  29. Open and Shut: Enhancing the Right to Know and the Right t o P r i v a c y , R e p o r t of t h e S t a n d i n g Committee on J u s t i c e and S o l i c i t o r General on the Review of the Access to I n f o r m a t i o n Act and the P r i v a c y Act (Ottawa: the Queen's P r i n t e r , 1987) 45. 30. Annual Report P r i v a c y Commissioner 31. James R u l e , The P o l i t i c s American L i b r a r y , 1980) 133.  1985-86 8-9.  of P r i v a c y  (New Y o r k :  New  32. Rule 135-136. 33. Rule 136. 34. Rule 136. 3 5 . R e p o r t o f t h e C o m m i t t e e on P r i v a c y , u n d e r C h a i r m a n s h i p o f t h e R t . Hon. Kenneth Y o u n g e r ( L o n d o n : Majesty's S t a t i o n e r y O f f i c e , 1972).  the Her  36. B r i t i s h S e c t i o n of t h e I n t e r n a t i o n a l Commission of J u r i s t s , " P r i v a c y and t h e Law," r e f e r r e d to i n Report of the Committee on P r i v a c y 17-18. 37. Some p h i l o s o p h e r s assume a m o r a l l y s k e p t i c a l p o s i t i o n with r e s p e c t t o t h e v a l u e o f p r i v a c y on t h e g r o u n d s t h a t i t cannot meet the c r i t e r i a of d i s t i n c t i v e n e s s and coherence. These " r e d u c t i o n i s t " c r i t i c s m a i n t a i n that "the r i g h t t o p r i v a c y " i s a c a t c h - a l l p h r a s e d i s g u i s i n g a c l u s t e r o f independent r i g h t s , l a c k i n g a common f o u n d a t i o n . J u d i t h J a r v i s Thomson, f o r example, 53  argues that p r i v a c y i s e n t i r e l y d e r i v a t i v e i n i t s importance and j u s t i f i c a t i o n . I t f a i l s to c o n s t i t u t e a s i g n i f i c a n t moral c a t e g o r y i n i t s own r i g h t because what needs to be s a i d about p r i v a c y can be best expressed without r e f e r e n c e t o p r i v a c y a t a l l , u s i n g n o t i o n s such as p r o p e r t y r i g h t s , and the r i g h t s an i n d i v i d u a l has over h i s or her own person. See J u d i t h J a r v i s Thomson, "The Right to P r i v a c y , " P h i l o s o p h y and P u b l i c A f f a i r s 4 .4 (Summer 1975): 295-314. In a s i m i l a r v e i n , c r i t i c s s u c h as W i l l i a m P r o s s e r and F r e d e r i c k Davis argue that our i n t e r e s t i n p r i v a c y , as a r t i c u l a t e d i n t o r t law, can be reduced to i n t e r e s t s of " r e p u t a t i o n , emotional t r a n q u i l i t y , and p r o p r i e t a r y g a i n , none of which suggest a d i s t i n c t i v e i n t e r e s t i n p r i v a c y . " See W i l l i a m L. P r o s s e r , "Privacy [a l e g a l a n a l y s i s ] , " P h i l o s o p h i c a l D i m e n s i o n s of P r i v a c y , e d . F e r d i n a n d Schoeman ( C a m b r i d g e : Cambridge U n i v e r s i t y Press, 1984): 104-155; and F r e d e r i c k Davis, "What do we mean by " r i g h t to p r i v a c y ? " South Dakota Law Review 4 (1959): 1-24. 38. The phrase i s o f t e n a t t r i b u t e d , i n c o r r e c t l y , to Samuel Warren and L o u i s Brandeis whose a r t i c l e , "The Right to P r i v a c y , " i n t h e H a r v a r d Law Review (1890) i s c o n s i d e r e d the s e m i n a l a r t i c l e on p r i v a c y . fn f a c t , Warren and Brandeis never equated the r i g h t to p r i v a c y with the r i g h t to be l e t alone; the a r t i c l e i m p l i e d t h a t the r i g h t t o p r i v a c y i s "a s p e c i a l case of the latter." The n o t i o n of a r i g h t " t o be l e t a l o n e " was first advanced i n Thomas M. Cooley, "The r i g h t to be l e t alone," T o r t s 29 (2nd ed. 1888). 39. H.J. McCloskey argues that i t may be necessary, i n order to p r o t e c t an i n d i v i d u a l ' s r i g h t to p r i v a c y , to i n t e r f e r e w i t h the l i b e r t y of o t h e r s t o spy upon that person, or to p u b l i s h i n f o r m a t i o n about that person. See " P r i v a c y and the R i g h t to P r i v a c y , " P h i l o s o p h y 55 (1980): 17-38. 40. Samuel D. Warren and L o u i s D. Brandeis, "The Right P r i v a c y , " Harvard Law Review 4 .5 (1890) 193-220, r e p r i n t e d P h i l o s o p h i c a T Dimensions of P r i v a c y 75-103.  to in  41. Edward J . B l o u s t e i n r e f u t e s the r e d u c t i o n i s t p o s i t i o n taken by W i l l i a m Prosser (see note 36) by arguing that the values at stake i n p r i v a c y i n c u r s i o n s "are fundamental human values of a s o r t more e x a l t e d and more c o h e r e n t t h a n t h o s e p r o p o s e d by Prosser". Moreover, B l o u s t e i n m a i n t a i n s that there i s something d i s t i n c t i v e about p r i v a c y , " i n the sense that we cannot e l i m i n a t e mention of i t i n d i s c u s s i n g c e r t a i n cases without l o s s of moral vision." See " P r i v a c y as an aspect of human d i g n i t y : an answer to Dean P r o s s e r , " P h i l o s o p h i c a l Dimensions of P r i v a c y 156-202. S t a n l e y Benn argues that there are reasonable grounds f o r o b j e c t i n g to p r i v a c y even when the i n f o r m a t i o n a c q u i r e d i s not, 54  misused. Even when no e x t r i n s i c harm comes t o the person as a r e s u l t of l o s i n g h i s or her p r i v a c y , t h a t person has a prima f a c i e r i g h t n o t t o be s p i e d upon o r watched w i t h o u t t h e i r knowledge or consent because, Benn m a i n t a i n s , "humans a r e s e l f conscious b e i n g s and t o monitor t h e i r conduct without a u t h o r i z a t i o n i s t o show a l e s s than proper r e s p e c t f o r t h e i r privacy." See " P r i v a c y , freedom and r e s p e c t f o r persons," Nomos XI11: P r i v a c y , e d . J.R. Pennock a n d J.W. Chapman (New York: Atherton Press, 1971) 1-26. 42. T h i s i n t e r p r e t a t i o n o f t h e r i g h t t o p r i v a c y has been a p p l i e d i n a t l e a s t two U.S. Supreme Court d e c i s i o n s which have determined t h a t , f o r the purposes of American law, the r i g h t t o p r i v a c y i n c l u d e s the r i g h t of a married c o u p l e t o use c o n t r a c e p t i v e s (Griswold v s . C o n n e c t i c u t (1965) 85 S. C t . 1678); and the r i g h t of a woman t o have an a b o r t i o n p r i o r t o the seventh month of pregnancy, with the a p p r o v a l of a doctor (Roe v s . Wade (1973) 410 U. S. 113 (U.S.S.C.)). Law  43. Ruth G a r v i n , " P r i v a c y and the L i m i t s J o u r n a l 89 .3 (January 1980): 438.  of the Law," Yale  44. Garvin 439. 1967)  45. A l a n 7.  West i n ,  Privacy  and Freedom  (New York: Atheneum,  46. The Standing Committee on J u s t i c e and S o l i c i t o r General which r e c e n t l y completed i t s review of the Canadian A c c e s s and P r i v a c y A c t has recommended t h a t t h i s d e f i n i t i o n be i n c o r p o r a t e d i n t o the P r i v a c y A c t . See Open and Shut 57 ( r e c . 5.24). 47. R i c h a r d Parker, "A D e f i n i t i o n of P r i v a c y , " Review 27 (1974): 275-296.  Rutgers Law  48. C h a r l e s F r i e d , An A n a t o m y o f V a l u e s : P r o b l e m s of P e r s o n a l and S o c i a l Choice (Cambridge: Harvard U n i v e r s i t y Press, 1970) 140. 49. A r t h u r M i l l e r , The A s s a u l t on P r i v a c y U n i v e r s i t y of Michigan Press") 1971) 25. 50.  Schaefer,  (Ann A r b o r :  " P r i v a c y : A P h i l o s o p h i c a l Overview" 9.  51. Edward S h i l s d e f i n e s p r i v a c y i n a way t h a t r e i n f o r c e s t h i s n o t i o n : " p r i v a c y e x i s t s where t h e p e r s o n s whose a c t i o n s engender or become the o b j e c t s of i n f o r m a t i o n r e t a i n p o s s e s s i o n of t h a t i n f o r m a t i o n , and any flow outward of t h a t i n f o r m a t i o n from the persons t o whom i t r e f e r s (and who share i t where more t h a n one p e r s o n i s i n v o l v e d ) o c c u r s on the i n i t i a t i v e of i t s 55  p o s s e s s o r s . " See " P r i v a c y : I t s C o n s t i t u t i o n and V i c i s s i t u d e s , " Law and Contemporary Problems 31 (Spring 1966): 282. 52. For a more d e t a i l e d a n a l y s i s of the "weak" and " s t r o n g " sense d e f i n i t i o n s of c o n t r o l , see G a r v i n , " P r i v a c y and the L i m i t s of the Law" 426-428. 53. G a r v i n ,  " P r i v a c y and  54. G a r v i n  423.  55. G a r v i n  434.  56. G a r v i n  433.  the l i m i t s of the Law"  421-471.  57. See, f o r example, Alan Westin, "The o r i g i n s of modern c l a i m s t o p r i v a c y , " P h i l o s o p h i c a l Dimensions of P r i v a c y 56-74; John M. Roberts and Thomas Gregor, " P r i v a c y : A C u l t u r a l View" P r i v a c y , Nomos XIII 199-225; and B a r r i n g t o n Moore J r . , P r i v a c y ; S t u d i e s i n S o c i a l and C u l t u r a l H i s t o r y (Armonk, New York: M.E. Sharpe, 1984). 58. W a r r e n and Brandeis, P h i l o s o p h i c a l Dimensions 77. 59. Schaefer,  "The  Right  " P r i v a c y : A P h i l o s o p h i c a l Overview"  to  Privacy,"  15.  60. E r v i n g Goffman, Asylums: Essays on the S o c i a l S i t u a t i o n of Mental P a t i e n t s and Other Inmates (New York: Doubleday, 1968) 23. 61. J e f f r e y Reiman, ^ P r i v a c y , I n t i m a c y , and Philosophy and P u b l i c A f f a i r s 26 .6 (1977): 31-36.  Personhood,"  62. See C h a r l e s F r i e d , " P r i v a c y , " Y a l e Law J o u r n a l 77 (1968): 484-485; F r i e d , Anatomy of Values 138; and James Rachels, "Why P r i v a c y i s Important," Philosophy and P u b l i c A f f a i r s 4 .4 (Summer 1975): 323-333. 63. Rachels  331.  64. Hubert Humphrey, foreword, The I n t r u d e r s : The Invasion of P r i v a c y by Government and Industry, by Edward V. Long (New. York, Washington, London: F r e d e r i c k A. Praeger, 1967) viii. 65. Garvin  448. 56  66. Edward V. Long, The  Intruders  55.  67. Sidney J o u r a r d , "Some P s y c h o l o g i c a l Aspects of P r i v a c y , " Law and Contemporary Problems 31 (Spring 1966): 307-318, esp. 307, 309-311. 68. G a r v i n  449.  69. A number of p r i v a c y c r i t i c s o b j e c t to t h i s j u s t i f i c a t i o n of p r i v a c y , among them, R i c h a r d Wasserstrom and R i c h a r d Posner. Wasserstrom and Posner argue t h a t we e i t h e r a c t a u t h e n t i c a l l y or i n a u t h e n t i c a l l y as we present o u r s e l v e s i n a v a r i o u s contexts. If we do not r e v e a l a l l of what we are to those who have reason to i n t e r a c t with us, we are being p a r t i a l l y d e c e p t i v e ; t h e r e f o r e , our w i s h t o present d i f f e r e n t v e r s i o n s of o u r s e l f i n d i f f e r e n t c o n t e x t s cannot be supported e t h i c a l l y or l e g a l l y . W a s s e r s t r o m and Posner take the p o s i t i o n t h a t those who defend p r i v a c y f a i l t o g i v e s u f f i c i e n t w e i g h t t o the s o c i a l l y and individually d e m o r a l i z i n g aspects of a s o c i e t y i n which respect f o r p r i v a c y i s i n s t i t u t i o n a l i z e d . Wasserstrom, f o r example, suggests t h a t "not r e v e a l i n g i n f o r m a t i o n about o n e s e l f may be m o r a l l y e q u i v a l e n t to deception and thus improper." See R i c h a r d Wasserstrom, " P r i v a c y : Some Arguments and Assumptions," P h i l o s o p h i c a l Law: Authority, E q u a l i t y , A d j u d i c a t i o n , P r i v a c y , ed. R i c h a r d Bronough (Westport: Greenwood P r e s s , 1978) 148-166; and R i c h a r d A. P o s n e r , "An Economic Theory of P r i v a c y , " P h i l o s o p h i c a l Dimensions of P r i v a c y 333-345. However, as Ferdinand Schoeman makes c l e a r , "the n o t i o n of the s e l f as an i n t e g r a t e d s u b s t r a t u m t h a t e x p l a i n s the c o n s i s t e n c y of human a c t i v i t i e s i n d i v e r s [ s i c ] c o n t e x t s has come under a t t a c h from s e v e r a l t h e o r e t i c a l q u a r t e r s . " Schoeman c i t e s the p s y c h o l o g i s t Walter M i s c h e l who has argued t h a t one of the p r i m a r y r e a s o n s we have f o r p o s i t i n g the s e l f - - t h e s u p p o s e d c o n s i s t e n c y i n b e h a v i o u r r e g a r d l e s s of c o n t e x t — i s not w e l l founded i n p r a c t i c e ; and the s o c i a l a n a l y s t E r v i n g Goffman, who maintains t h a t there i s no "core person" u n d e r l y i n g the v a r i o u s " c o n t e x t - d e p e n d e n t p e r s o n a l i t i e s " we o c c u p y i n l i f e . See " P r i v a c y : P h i l o s o p h i c a l Dimensions," P h i l o s o p h i c a l Dimensions of P r i v a c y 26-31. Ruth Garvin puts the matter simply: "we always g i v e only p a r t i a l d e s c r i p t i o n s of o u r s e l v e s and no one e x p e c t s a n y t h i n g else. The q u e s t i o n i s not whether we should e d i t , but how and. by whom the e d i t i n g should be done." " P r i v a c y and the L i m i t s of the Law" 454. 70. G a r v i n  452.  71. G a r v i n p r o v i d e s an i n s i g h t f u l a n a l y s i s of the problems inherent i n t h i s defence of p r i v a c y . G a r v i n wonders whether p r i v a c y should be allowed to f u n c t i o n i n a way t h a t perpetuates 57  the very problems i t helps to ease: "when p r i v a c y l e t s people a c t p r i v a t e l y i n ways that would have unpleasant consequences i f done i n p u b l i c , t h i s may obscure the urgency of the need to q u e s t i o n the p u b l i c r e g u l a t i o n i t s e l f . I f p e o p l e can keep t h e i r i n d e p e n d e n t judgements known o n l y t o a g r o u p of like-minded i n d i v i d u a l s , t h e r e i s no need t o d e a l w i t h t h e p r o b l e m o f r e g u l a t i n g h o s t i l e r e a c t i o n s by o t h e r s . " In the end, a l t h o u g h she acknowledges that p r i v a c y might, i n such s i t u a t i o n s , reduce our i n c e n t i v e to d e a l with our problems, she defends i t s use on the grounds that we are l i m i t e d i n our c a p a c i t y to change p o s i t i v e m o r a l i t y and, t h e r e f o r e , to a f f e c t s o c i a l p r e s s u r e s to conform: When t h i s i s the case, the absence of p r i v a c y may mean t o t a l d e s t r u c t i o n of the l i v e s of i n d i v i d u a l s condemned by norms with only q u e s t i o n a b l e b e n e f i t to s o c i e t y . I f the c h a n c e to a c h i e v e change i n a p a r t i c u l a r case i s s m a l l , i t seems h e a r t l e s s and naive to a r g u e a g a i n s t the use of p r i v a c y . Although l e g a l and s o c i a l changes are u n l i k e l y u n t i l i n d i v i d u a l s are w i l l i n g to put t h e m s e l v e s on the l i n e , t h i s course of a c t i o n should not be f o r c e d on anyone . . . i f an i n d i v i d u a l p r e f e r s to present a p u b l i c conformity r a t h e r than u n c o n v e n t i o n a l autonomy, that i s h i s c h o i c e . The l e a s t s o c i e t y can do in such cases i s respect such a c h o i c e . See " P r i v a c y and the L i m i t s of the Law" 452-454.  72. G a r v i n 73.  452.  Schaefer, " P r i v a c y : A P h i l o s o p h i c a l Overview"  74. G a r v i n  464.  75. G a r v i n  465.  14.  76. In h i s annual r e p o r t , the P r i v a c y Commissioner expressed h i s concern t h a t , "the p e r s o n a l computer's a b i l i t y to develop i t s own r e c o r d s systems and s h a r e i n f o r m a t i o n without l e a v i n g an a u d i t t r a i l r a i s e s new and f a r - r e a c h i n g t h r e a t s t o p r i v a c y p r o t e c t i o n ...Anyone with a p e r s o n a l computer on a desk i s the master of a machine with the s t o r a g e c a p a c i t y of many f i l i n g c a b i n e t s , w i t h the p o t e n t i a l f o r l i n k i n g up with other s i m i l a r computers and, even, a c c e s s to c e n t r a l i z e d r e c o r d systems." See Annual Report P r i v a c y Commissioner 1985-86 7. 77. U n t i l 1986 there were 20 exempt data banks. The exempt s t a t u s on 15 o f t h o s e b a n k s has s i n c e been r e v o k e d . The remaining f i v e exempt banks a r e : (1) N a t i o n a l Defence. M i l i t a r y 58  Police I n v e s t i g a t i o n Case F i l e s ; (2) N a t i o n a l Defence. Communications, S e c u r i t y E s t a b l i s h m e n t , S e c u r i t y and I n t e l l i g e n c e I n v e s t i g a t i o n F i l e s ; (3) P r i v y C o u n c i l O f f i c e . S e c u r i t y and I n t e l l i g e n c e Information F i l e s ; (4) Revenue Canada. Tax Evasion C a s e s ; (5) Royal Canadian Mounted P o l i c e . C r i m i n a l I n t e l l i g e n c e O p e r a t i o n a l Records. See Annual Report P r i v a c y Commissioner 198687 24-25. The Standing Committee on J u s t i c e and the S o l i c i t o r General has recommended that "the concept of exempt banks be removed from the P r i v a c y Act by r e p e a l i n g s e c t i o n s 18 and 36, s i n c e there i s no c o m p e l l i n g need to r e t a i n such a concept i n l i g h t of the other s t r o n g exemptions on d i s c l o s u r e t h a t e x i s t i n the l e g i s l a t i o n . See Open and Shut 46-49 ( r e c . 5.11). 78.  Open and  Shut  59.  79. The S t a n d i n g Committee c i t e s s e v e r a l examples of the kinds of problems that a r i s e under the P r i v a c y Act that c u r r e n t l y l a c k a l e g a l remedy. In one example, " f i l e s from Employment and Immigration Canada were found i n an a l l e y behind i t s l o c a l o f f i c e in Winnipeg; they contained personal d a t a on i n d i v i d u a l s p a r t i c i p a t i n g in v a r i o u s programs. The P r i v a c y C o m m i s s i o n e r 'concluded that the EIC o f f i c e was n e g l i g e n t i n h a n d l i n g the outo f - d a t e f i l e s by not p r o p e r l y s u p e r v i s i n g or i n s t r u c t i n g the c l e a n e r about the d i s p o s a l . ' I f i n d i v i d u a l s had s u f f e r e d damages as a r e s u l t of such n e g l i g e n c e , they should have had a s t a t u t o r y cause of a c t i o n . " F u r t h e r d i s t u r b i n g examples of census forms, tax forms and government p e r s o n n e l f i l e s g o i n g a s t r a y t h r o u g h government c a r e l e s s n e s s , are c i t e d by the P r i v a c y Commissioner i n h i s Annual Report 1986-87 8-19. The Standing Committee has recommended that monetary damages be p r o v i d e d to data s u b j e c t s f o r " i d e n t i f i a b l e harm" r e s u l t i n g from government breaches of p r i v a c y r i g h t s . See Open and Shut 50 ( r e c s . 5.13 and 5.14). 80.  Open and  81. G a r v i n  Shut  73.  457.  82. The b r e a k - i n of E l l s b e r g ' s p s y c h i a t r i s t ' s o f f i c e was r e v e a l e d d u r i n g the Watergate h e a r i n g s . See New York Times 28 A p r i l 1973: 1. 83.  Garvin  458.  84.  Garvin  458.  85.  Garvin  469.  86. G a r v i n  470. 59  Ill  HISTORY FROM THE BOTTOM UP TRENDS IN HISTORICAL RESEARCH SINCE WORLD WAR  Les documents, i l faut l e s  solliciter. Marc  The  and  confidentiality  g e n e r a l l y and, research such  Bloch  reasons f o r the comparative prominence of  privacy  i n c r e a s i n g l y , about  specifically,  research.  studies  of  in debates  are  Increasingly,  human behaviour  and  about  social  inquiry  experience public  and  social  archives;  o'f a r c h i v e s  i n t o new,  sources and  researchers  h i s t o r y that  increased  research  focuses  on  enormous  demands on  the  the  raised  Much of  1  "non-elites"  a r c h i v a l resources  some t r o u b l i n g e t h i c a l  individual  privacy.  access  records  to  are  intrude  numbers of  and q u a n t i t y of source m a t e r i a l r e q u i r e d also  methods of drawn into  More and  more  60  of  those  life." of human  academic the  new  society,  i n terms of  with  researchers  are  information  users social  creating  the  by r e s e a r c h e r s .  dilemmas  containing' personal  degrees of s e n s i t i v i t y ; and q u e s t i o n s  to  had a profound i n f l u e n c e on  1970s the  dramatically.  of  research  h i t h e r t o undocumented areas  i n t e r a c t i o n has  during  issues  socio-historical  areas g e n e r a l l y d e f i n e d under the heading " p r i v a t e The  the  social  contemporary  r e l a t e d to the  II  variety It  has  respect  to  demanding of  varying  a r i s e about the c o n d i t i o n s ,  if  any,  under  morally  which access  justifiable.  to a l l or some of these records i s  Before examining the moral  justifications  f o r and a g a i n s t a c c e s s , however, we need to e x p l o r e the s h i f t i n g environment since  i n which h i s t o r i c a l  the  end  of  the  research  Second  World  has  War  and  been  carried  the  out  impact  that  s h i f t i n g environment has had on a r c h i v e s . In a s t a t i s t i c a l 9th  International  attempted  study of 11 c o u n t r i e s , c a r r i e d out f o r the  Congress on A r c h i v e s  to trace  i n 1980,  the e p i s t e m o l o g i c a l  Michael  evolution  Roper  of h i s t o r y i n  r e l a t i o n to a r c h i v e s , by i d e n t i f y i n g the main c h a r a c t e r i s t i c s of 2  current  historical  r e s e a r c h that  demand  for access  to a r c h i v e s .  numbers of those engaged between has  1961  and  increased,  have  1976.3  impinged d i r e c t l y  In  i n academic  the U n i t e d history  Kingdom,  the d i v e r s i t y  According  t o Roper,  "the t h r e e  historical  enquiry—political  well  researchers  of r e s e a r c h  established  (or c o n s t i t u t i o n a l )  interests. b r a n c h e s of  history,  h i s t o r y , and e c c l e s i a s t i c a l h i s t o r y have been j o i n e d history  (no longer  and a d m i r a l s ) , which  social  branch." been  4  international  history  The  shift  accompanied  contemporary particularly  the r e s t r i c t e d  by  history,  an  to new  enormous  dealing  with  as a  from  separate  branches of h i s t o r y  growth the  the decades a f t e r World War 61  generals  and economic h i s t o r y ,  has developed more r e c e n t l y in interest  legal  by m i l i t a r y  p r e s e r v e of r e t i r e d  history,  the  more than d o u b l e d  As the number of academic  so too has  on the  in  the  twentieth  1.5  study  century  has of and  Economic disciplines,  and s o c i a l among  women's h i s t o r y ,  history  them,  business  each with d i s t i n c t  j o u r n a l s . In Canada, the S o c i a l Council areas  specifically  of i n t e r e s t  have  f a m i l y and the s o c i a l i z a t i o n  history, interests,  numerous s u b -  labour  history,  methodologies and  S c i e n c e s and Humanities Research  encourages  to s o c i a l  spawned  mission-oriented  research i n  historians--population  aging, the  of c h i l d r e n ,  and women i n the labour  force.6 In  addition,  disciplines their of  Roper p o i n t s  out, s c h o l a r s from other academic  have immersed themselves i n the h i s t o r i c a l a s p e c t s of  s u b j e c t s and have become h i s t o r i c a l geographers,  education,  historians  historians  of i d e a s ,  of s c i e n c e ,  technology  and h i s t o r i a n s  historians  and m e d i c i n e ,  of the a r t s ,  and so on.  Others a r e u s i n g h i s t o r i c a l sources t o e n r i c h the study of t h e i r particular  disciplines:  . . . a r c h a e o l o g i s t s ... a n d e s p e c i a l l y m a r i n e and i n d u s t r i a l a r c h a e l o g i s t s , a r e u s i n g h i s t o r i c a l sources to a s s i s t them both i n i d e n t i f y i n g s i t e s of p o t e n t i a l i n t e r e s t and i n the i n t e r p r e t a t i o n and r e s t o r a t i o n of t h e i r d i s c o v e r i e s , while l i n g u i s t s are turning ...to h i s t o r i c a l s o u r c e s ... t o u n d e r s t a n d more o f t h e development of language and d i a l e c t . Rather d i f f e r e n t a g a i n a r e t h e " a p p l i e d h i s t o r i c a l s t u d i e s " of t h e s o c i a l a n d p o l i t i c a l s c i e n t i s t s , w h i c h have been d e f i n e d as " e x p l o r a t i o n s of the past u n d e r t a k e n w i t h the e x p l i c i t p u r p o s e of a d v a n c i n g s o c i a l s c i e n t i f i c e n q u i r i e s " and i n which h i s t o r i c a l d a t a a r e used t o t e s t hypotheses of g e n e r a l a p p l i c a t i o n . 7  The and  " c r o s s - f e r t i l i z a t i o n " that  other  techniques  disciplines  has o c c u r r e d between  has l e d t o h i s t o r i a n s  and a p p r o a c h e s  developed 62  adopting  by o t h e r  history research  disciplines,  particularly  economics and s o c i a l  s c i e n c e ; and a d a p t i n g them f o r  h i s t o r i c a l purposes.  Among the techniques  are  of p s y c h o a n a l y s i s ,  t h e techniques  write  psycho-histories  interviewing  of  of the .portable  development of o r a l  which have  individuals  techniques of the s o c i a l  the development  adopted by h i s t o r i a n s been  or groups,  sciences,  tape r e c o r d e r ,  used t o and t h e  which, a i d e d by have  l e d to the  history.  A c c o r d i n g t o a recent survey by the O r g a n i z a t i o n of American Historians, the  the f a s t e s t  "new" s o c i a l  growing  history.  to the development  field  of h i s t o r i c a l  Perhaps the most s i g n i f i c a n t  8  of the new s o c i a l  history  q u a n t i t a t i v e r e s e a r c h methods and s t a t i s t i c a l of  economists and s o c i a l  huge q u a n t i t i e s recent  past.  quantitative  scientists,  of economic,  such as o p i n i o n  simplest  level,  comparing  of that  this  definition  polls  quantitative  the a n a l y s i s of data  scientists  research  from the  developed  and r e c o r d i n g  and v o t i n g  the  sampling techniques  and p o l i t i c a l  f o r analyzing  variables  in  social  impetus  has come from  involving  In the mid-1960s p o l i t i c a l methods  research i s  numerous  behaviour.  At  its  i s t h e c o u n t i n g and  which can be counted and compared.  9  Implicit  i s the measurement of p h e n o m e n a — d i r e c t l y or  i n d i r e c t l y o b s e r v a b l e — t o which numbers a r e a s s i g n e d a c c o r d i n g t o specified  rules.  The data  base of numeric  documentation  c r e a t e d can be s u b j e c t e d t o computerized s t a t i s t i c a l Sociologists, economic, p o l i t i c a l  as w e l l  as h i s t o r i a n s ,  soon  thus  analysis. began  t o use  s c i e n c e , and other techniques f o r " r e c o r d i n g . 63  storing  and  tabulating  institutions,  events and  goods to  insights. 0  develop new  itself  with the  history.  As  characterized  historian  uses numeric  by  data  test  Gradually,  n l  history aligned  to  quantitative  earlier  question  encompassing  legal,  Charles  D o l l a r , the  relationships, permits  to  name only  both macro and  sophistication  of  disciplines."  possible Social  1 1  investigations  into  a  procedures to f o l l o w When the based  on  micro  manuscript  Reviewers healthy into  census  the  lives  nineteenth  that  of  the  of  readable)  a  social  from  of  That  system  psychological  the a  approach additional  variety  formalize  assumptions  and  a  of  their set  of  or more hypotheses.  returns,  city  l a t e s i x t i e s and of  quantitative  labouring  the  and  social  and  mobility  d i r e c t o r i e s and early "new  parish  seventies, social  analysis  history."  "would  'unlettered'  they  lend  a  enquiries  during  the  1 2  s o - c a l l e d "new"  concept  science  p r e c i s i o n to more t r a d i t i o n a l l y based  century."  The  social  systems  historians  geographic  representatives  science  social  social  perspectives  of  of  a n a l y s i s , and  science  studies  suggested  depth and  history"  as  A  level  statement  r e g i s t e r s appeared i n the were p r o c l a i m e d  few.  i n t e s t i n g one  first  part  economic, and a  social  problem or q u e s t i o n .  as  and  quantitative  ( u s u a l l y machine  "treated  social,  hypotheses  inter-disciplinary  documentation  i s then  individuals,  the p r a c t i c e of  investigate a particular h i s t o r i c a l  historical  about  the  s o c i a l h i s t o r y owes much to the French Annales 64  school  with  "total  i t s balanced  emphasis  on  social  structure,  e n v i ronment. 13  The  the  the  f o u n d i n g of  sociale,  by  dominant  Annales movement was  Marc  journal  Annales  B l o c h and  pattern  cultural  of  Lucien  v a l u e s and  physical  launched i n 1929  d'histoire Febvre.  with  economique et  Rejecting  nineteenth century h i s t o r i c a l  the  writing  a s s o c i a t e d w i t h the German " s c i e n t i f i c " s c h o o l , which c e n t e r e d on the  study  scholars  of  elites  insisted  which went below and  change.I  scholars  economic Nesmith sources  a  By  rejected,  has  nation-states,  and  deepened  Annales  history,"  t o the fundamental causes of  rejecting  t o o , the  traditional  "narrow  stability  history,  documentary  one  base"  Annales on  which  built.15  Annales methodology and  the  "broadened  politics  4  that h i s t o r y was The  on  governing  material  observed,  favoured s t r u c t u r a l a n a l y s e s of the  conditions  of p a s t  societies.  "the ambition t o master  l e d followers  of B l o c h and  a wider  As  Tom  range  Febvre to r a t i o n a l i z e  of  their  r e s e a r c h methods u s i n g technology and q u a n t i t a t i v e procedures."16 Annales s c h o l a r s c o l l e c t e d and a n a l y z e d l a r g e q u a n t i t i e s of data from  a  wide  range  of  sources—architectural  remains,  land  r e c o r d s , b i r t h , marriage and death r e g i s t e r s , tax r e c o r d s , w i l l s , , account  books, marriage s e t t l e m e n t s t o name only a  generations documentary  and  even  base,  centuries. Annales  From  this  few—spanning  greatly  historians  expanded  assembled  " p a r a h i s t o r i c languages" of demography, technology,'money, that  had  traditionally  been  kept 65  s e p a r a t e from  each  the towns,,  other  and  consigned languages bottom  t o the margins of h i s t o r y there  emerged  up", a p i c t u r e  c o l l e c t i v e mentality The the  that  Annales approach  "new"  history  people  diseases,  as  society,  history,  destruction,  these  of s o c i e t y  the  with  the l i f e  conditions  "from t h e  frame  of r e f e r e n c e  of growth,  War.  d e a t h s and for social view of  conflict  and  of c e r t a i n men, has given  way to h i s t o r y as the r e c o r d of the e x p r e s s i o n and  World  of t h e d e m o g r a p h i c  the record  preferences,  i n f l u e n c e on  of communities  i n s t a t i s t i c s of b i r t h s ,  influence  as  a profound  t h e end o f t h e Second  and the powerful a c t i o n s  significant  parahistoric  the l i v i n g c o n d i t i o n s and  has e x e r c i s e d  has become a c e n t r a l Under  picture  emphasized  since  revealed  history.  From  7  of the m a j o r i t y .  Demography, which d e a l s of  a broad  1  of demographically  the processes  of c h o i c e  and  preference. A c c o r d i n g t o David Gagan, s o c i a l h i s t o r y t r e a t s s o c i e t y as a "constantly awaiting  changing a r c h i v e  both e m p i r i c a l  aimed a t d e s c r i b i n g The  gender,  and p r i v a t e  experience  i n v e s t i g a t i o n and t h e o r e t i c a l s p e c u l a t i o n  the h i s t o r i c a l meaning of s o c i a l  focus of i t s concern i s  class,  of p u b l i c  family,  the c o n s t i t u e n t  local  reality."  1 8  elements of s o c i e t y :  or r e g i o n a l  the l a s t  and  occupational,  ethnic,  and age g r o u p s .  years,  history  has examined the sources and consequences  social  Over  communities,  fifteen  of s o c i a l d i s c o n t i n u i t y i n a wide v a r i e t y of s o c i a l groups, among them,  women, c h i l d r e n ,  adolescents 66  and the e l d e r l y ;  voluntary  associations; groups;  political  crowds  f a c t i o n s ; professional  and  movements;  social  social  history  provides  and  vocational  classes;  and  local  populations.19 The  new  perspective  on  quantified  society,  a  perspective  d a t a upon a base of  enumerations  and  provided  b a c k b o n e of  the  parish  LaRose's annual  a  built  largely  demographic i n f o r m a t i o n .  r e g i s t e r s have, demographic  bibliography  stratigraphic  of  for  the  studies;  historical  from  Census  most  but,  2 0  part,  as  Andre  demography  makes  c l e a r , a v a r i e t y of o t h e r e v i d e n c e i s a l s o a v a i l a b l e , l a r g e l y i n the  form  of  assessment contracts,  routinely rolls,  school  bank r e c o r d s ,  One  and  records,  records,  The  2 1  been t o l i n k  describe  land  administrative  hospital records,  general  records,  the r e c o r d s of b e n e v o l e n t  a m b i t i o n of  historical  e v i d e n c e from a v a r i e t y of  demography  sources i n order  the use  analysis work  of a c i t y ,  county,  of q u a n t i t a t i v e methods t o a s s i s t i n  of  in this  the  information.  area  of  In  Canada,, t h e  the most  s o c i o - h i s t o r i c a l research  is  b e i n g u n d e r t a k e n a t the U n i v e r s i t e de M o n t r e a l , where s c h o l a r s the  Programme de  Recherche en  attempting to reconstruct 1608  t o 1850.  to  e x p l a i n demographic b e h a v i o u r .  or t o w n s h i p and  ambitious  marriage  criminal  approach i n v o l v e s l o c a l m i c r o s t u d i e s  c o n t r o l and  records:  m i l i t a r y records,  s h i p s ' nominal r o l l s , and  associations. has  generated  the  Demographie H i s t o r i q u e e n t i r e population  of  have been  Quebec  R e l y i n g p r i m a r i l y on p a r i s h r e g i s t e r s and 67  in  from  nominal  census  data,  the  project  demographic biography sur  of every  at producing,  individual  eventually,  "qui ont mis  l a t e r r i t o i r e quebecois" up t o the m i d - l 9 t h c e n t u r y .  similar  project  Chicoutimi. in  aims  i s underway  at  the U n i v e r s i t e  pied A  2 2  Quebec  at  Since 1972, a team of demographers has been engaged  building  a comprehensive data  bank  of the p o p u l a t i o n  Saguenay-Lake S t . John area from 1838 up t o 1 9 3 1 . More r e c e n t l y "as  de  le  a  the lowest  social historians  common  structural analysis,  of t h e  23  have d i s c o v e r e d  the  family  d e n o m i n a t o r of d e m o g r a p h i c  and  social  in e f f e c t , a laboratory  p r o c e s s e s of s o c i a l d i s c o n t i n u i t y  f o r the study of the  in larger populations."  This  2 4  demographic and s o c i a l s t r u c t u r a l approach t o f a m i l y h i s t o r y aims at  exposing  stages  the r e a l i t i e s  i n the l i f e  cycle.  of By  i n d i v i d u a l experience  tracing  individuals  example, p a r i s h r e g i s t e r s , census r e t u r n s , marriage  registers,  researchers  can  communities. ^ 2  technique  assessment  and  "reconstitute" The p e r s p e c t i v e  the f a m i l y  i s a l o n g i t u d i n a l one.  on  the s t r u c t u r e ,  adaptive  strategies  promote c o n t i n u i t y life of  function  i n the face  and of l i f e - s t y l e s  these  studies  within  i s , i n David  property process  records, in specific  active  linking  i n the  field  of the e f f e c t s of s o c i a l change  and c u l t u r e  employed,  through, f o r  by t h i s r e c o r d  Historians  have generated a complex p i c t u r e  various  b i r t h , death and  other  promoted  at  of  family  historically,  by  life,  families  of change, of the c y c l e of the f a m i l y . Gagan's 68  The c e n t r a l  estimation  of t h e  "the  to  family concern larger  framework  of  local,  determined  the  nature  therefore,  the  sources and  is  revealed,  p r o c e s s of  at  the  regional of  and  economic timing  microcosmic  adaptation  national  opportunity of  social  level  to quantum s h i f t s  of  economics i n the  which  past  and,  d i s c o n t i n u i t y which family  life,  i n the m a t e r i a l  as  a  bases of  life."26 Another revealed  dimension  i n the  recent  of  family-centered  social  history  r e - v i s i o n i n g of women's h i s t o r y . The  is "new"  women's h i s t o r y attempts to document the h i t h e r t o hidden areas of life  i n which women have,  explore  the  functions, and  public  been  active,  i n s t i t u t i o n s that  have  assumed  among them, p r i s o n s ,  private  observes  welfare  that  especially, household, systems."  traditionally,  the  27  organizations.  social  focus  hospitals,  historians  their  family,  the  bed,  Carroll and  concern  on the  Demographic sources are  schools,  historians  nursery,  to  family  and  Smith  "private  and  public  Rosenberg of  women  places: and  e s s e n t i a l to such  the  kinship studies,  as Eva Moseley makes c l e a r : Census and o t h e r s t a t i s t i c a l data can h e l p d e l i n e a t e the l i v e s of such women: the p r o p o r t i o n of females to males and the f e m a l e m o r t a l i t y r a t e f o r v a r i o u s age groups; the numbers who m a r r i e d , d i v o r c e d , were widowed or d e s e r t e d , and at what ages; the number of c h i l d r e n per mother and t h e i r m o r t a l i t y ; how many women were employed, i n what kinds of jobs, f o r how much p a y — a n d so f o r t h . Company p e r s o n n e l r e c o r d s , r e f o r m s c h o o l , p r i s o n , c o u r t , h o s p i t a l , and morgue r e c o r d s , when they e x i s t and a r e a v a i l a b l e , w i l l a l l y i e l d useful information.28  Susan L a s k i n ,  Beth L i g h t  and  Alison Prentice 69  have made  extensive  use of The  also  of the manuscript  census  in their  study of the  history  t e a c h i n g as a "woman's" o c c u p a t i o n i n the n i n e t e e n t h c e n t u r y . census  religious  returns allowed  affiliation  and  them  t o examine  ethnicity,  such  variables  the h o u s e h o l d  and  as  marital  s t a t u s , and the age as w e l l as gender of i n d i v i d u a l t e a c h e r s over time.  The  r e t u r n s a l s o p e r m i t t e d them to study the t e a c h e r s i n  t h e i r f a m i l i a l groupings and r e s i d e n t i a l In  an  attempt  to " i l l u m i n a t [ e ]  the 'submerged' f o u r - t e n t h s " 3 0 t u r n i n g a l s o to social  case f i l e s  welfare  Q  Such  and  reconstructing social  are life  processes;  case  as  files  prosopography  or  group dynamics.31  histories  collective  and  early  Immigrant  twentieth  largely  from  case  the.  juvenile  highly  to  identifying social  biography,  detailed  r a r e l y recorded useful  and  in  explaining  history  which  of  stresses  known  as  interest  d e s e r t e d and  emigrated t o Canada i n the l a t e n i n e t e e n t h century,  approach. files,  wards of Dr. Barnardo's  source  particularly  Labourin-q  A p p r e n t i c e s to Canada, 1869-1924  the p r o s o p o g r a p h i c  among  philanthropic  j o y P a r r ' s study of the orphaned,  dependent c h i l d r e n who  life  valuable  institutions,  and  approach  a  contain  considered  an  t e x t u r e of  generated by p u b l i c and  i n f o r m a t i o n on persons, groups, and elsewhere,  the  2 9  f s o c i e t y , s o c i a l h i s t o r i a n s are  institutions  documentation.  settings.  Drawing  particularly  programme 70  British  i s a good example of  on  information gleaned  those p r e s e r v e d on  Homes, the B r i t i s h  immigration  Children;  agency that  i n the  late  former  dominated  n i n e t e e n t h and  early  twentieth century,  Parr  has c o n s t r u c t e d a h i g h l y  detailed  p i c t u r e of the m a t e r i a l c o n d i t i o n s of l i f e among the c h i l d r e n who were the o b j e c t  of one of the most s i g n i f i c a n t  reform movements  of t h a t p e r i o d . Historians public  and a r c h i v i s t s  and p r i v a t e w e l f a r e  information  alike  agencies  f o r documenting  a  view  as a v a l u a b l e  stratum  t r a d i t i o n a l l y has been p o o r l y r e p r e s e n t e d According  the case  of  f i l e s of s o u r c e of  society  which  i n w r i t t e n sources.  t o R. Joseph Anderson:  The h i s t o r i c a l v a l u e of these r e c o r d s r e s u l t s from the f a c t t h a t the case method, as employed i n contemporary p u b l i c w e l f a r e s y s t e m s , has remained e s s e n t i a l l y i n v e s t i g a t o r y s i n c e i t s o r i g i n among t h e l a t e n i n e t e e n t h - c e n t u r y c h a r i t y o r g a n i z a t i o n s o c i e t i e s . The s o c i e t i e s ' " f r i e n d l y v i s i t o r s " sought t o d i a g n o s e and t r e a t p o v e r t y as a c h a r a c t e r d e f e c t r a t h e r than as a s o c i a l problem, and t h i s approach l e d to the c r e a t i o n of i n d i v i d u a l i z e d p r o f i l e s of r e c i p i e n t s , which documented t h e i r h a b i t s , a t t i t u d e s , and l i f e s t y l e s as w e l l a s t h e i r economic needs ...and, u n t i l the e a r l y 1970s, they c o n t i n u e d t o combine normative judgements and o b j e c t i v e information.32 Public  and p r i v a t e w e l f a r e  quantitative adjustment, clients; serve  files  and a n e c d o t a l  moreover,  organizations  social  sources  ...[the]  schools, c l i n i c s , other community  since  c o n t a i n a wide range o f  information  f a m i l y dynamics and s o c i a l  as r e f e r r a l  The  case  records  the  personal  f u n c t i o n i n g of w e l f a r e  "public welfare and f o c a l  on  agencies  contacts  frequently  f o r other  often contain  service  information  from  r e h a b i l i t a t i o n programs, p r i v a t e c h a r i t i e s , and agencies.33 historian's  quest 71  f o r new sources  and f o r l a r g e  amounts  of  relatively  facilitated twentieth  by  this  vastly  century  involvement in  the  recent  quantifiable  expanded  society.  data  documentary  Direct  and  has  base  indirect  been  of  late  government  i n the d a i l y l i v e s of n o n - e l i t e s has expanded g r e a t l y  h a l f - c e n t u r y with  w e l f a r e programs.  One  the growth of  r e g u l a t o r y and  social  r e s u l t of t h i s i s t h a t the major source of  documentation of n o n - e l i t e groups probably e x i s t s i n governmental data  bases and  records  case  consist  decade, most efficient  files.  of  of  these  operations.  Government data of  three  broad  such as age, economic  case  types  More than files  files  80  per cent  of government  of v a r i o u s k i n d s ; over  have  been  computerized  the  last  f o r more  3 4  files of  are g e n e r a l l y composed of one  i n f o r m a t i o n : demographic  or more  information,  sex, m a r i t a l s t a t u s , and p l a c e of r e s i d e n c e ; s o c i o -  i n f o r m a t i o n , such as o c c u p a t i o n , e d u c a t i o n , and  and  attitudes  one  with  and  another,  opinions.35 creating  These data  a wealth  files  can  be  income; linked,  of m a t e r i a l f o r s o c i a l  and  h i s t o r i c a l research. As  increasing  statistical  analyses  emphasis  is placed  of d e t a i l e d  individual  characteristics  governmental  processes,  researchers official  data  are  and  playing a  gathering  source and  systems.36  activities,  social  transactions,  active There  demand on the d e t a i l e d machine-readable 72  quantitative,  m a t e r i a l s , documenting  economic  more  upon  role  as  r e c o r d s now  social  consumers  i s a steadily  and  of  growing  being c r e a t e d  in  rapidly  expanding  contemporary disciplines  oriented  volume. research  also places  A t t h e same of s o c i a l  increased  value  time,  t h e more  scientists  i n other  on the machine-readable  records c r e a t e d by governmental o r g a n i z a t i o n s . The an  growth i n demographic  s t u d i e s has l e d , p a r t i c u l a r l y , t o  i n c r e a s e d demand f o r q u a n t i f i a b l e m i c r o - l e v e l data  readable records  form  since  the i n f o r m a t i o n a l value  i n machine-  of machine  readable  i s p r o p o r t i o n a l to t h e i r l e v e l of a g g r e g a t i o n .  According  to C h a r l e s D o l l a r : summary i n f o r m a t i o n a t t h e c o u n t y l e v e l i s more v a l u a b l e than summary i n f o r m a t i o n a t the s t a t e l e v e l . But t h i s county l e v e l i n f o r m a t i o n i s l e s s v a l u a b l e than i n f o r m a t i o n on i n d i v i d u a l p e r s o n s , p l a c e s o r t h i n g s b e c a u s e summarized data cannot be d i s a g g r e g a t e d . In c o n t r a s t , one can always summarize or a g g r e g a t e t h e i n d i v i d u a l i n f o r m a t i o n t o the d e s i r e d summary l e v e l . Consequently, i n d i v i d u a l d a t a o r u n a g g r e g a t e d m i c r o l e v e l i n f o r m a t i o n has the g r e a t e s t p o t e n t i a l f o r statistical manipulation. 3 7  Quantitative linking,  research  comparing,  Usually,  records  linkage  potential.  location, with such  also  or adding  arranged  occupation,  groups p o s s e s s i n g  But,  while  that  the f i l e  a t the lowest  Common  similar  the p o t e n t i a l f o r  t o another  file  u n i t have  considerable  a t t r i b u t e s such  age, and sex permit  a s name and s o c i a l  s o p h i s t i c a t e d data  requires  the l i n k a g e  attributes.  security  as  Personal  number  permit  exists.  geographic of a  file  identifiers even  more  linkage. detailed  records  created  by  governmental  o r g a n i z a t i o n s have undoubted r e s e a r c h value and w i l l i n c r e a s i n g l y 73  come i n t o the j u r i s d i c t i o n also  present  major  individuals.  of a r c h i v i s t s ,  threats  Tax r e c o r d s  many of those  to the privacy  and r e c o r d s  records  of  countless  of p u b l i c  assistance  payments c o n t a i n d e t a i l e d i n t i m a t e and s e n s i t i v e i n f o r m a t i o n jeopardizes  individual  requirements  governing  records  at present  and  information  unclear  o f and a c c e s s  and confused;  Legal t o such  information  f o r p r o v i d i n g s e c u r i t y f o r c o l l e c t i o n s of  machine-readable  procedures  and c o n f i d e n t i a l i t y .  t h e management  a r e both  b e a r i n g upon techniques sensitive  privacy  that  records  for providing  contained  i s not now widely a v a i l a b l e ;  legitimate access  i n such  records  i n d i v i d u a l p r i v a c y and c o n f i d e n t i a l i t y  t o elements of  without  compromising  a r e not w e l l - d e v e l o p e d  or  understood. The of  fundamental e t h i c a l  personal  about  information  the personal  specifically, government  are t i e d  closely  information  the nature  a n d an  i s s u e s with r e s p e c t t o r e s e a r c h  supplied  of t h e c o n t r a c t  individual  information c o l l e c t i o n .  to social  uses  expectations  t o government a n d , struck  a t the time  between t h e  of the o r i g i n a l  C l e a r l y , the p u b l i c c o n s i d e r s  privacy a  r i g h t which the government i s , t h e o r e t i c a l l y , o b l i g e d t o protect.. The  c a r r y i n g out of t h a t o b l i g a t i o n i s , however, compromised by a  number of a d m i n i s t r a t i v e o b s t a c l e s . In the i n f o r m a t i o n  gathering  process,  and  c o n f i d e n t i a l i t y a r e g e n e r a l l y vague.  any  personal  information  supplied 74  references  to privacy  The i m p l i c a t i o n i s that  t o government  will  be made  a v a i l a b l e only to a l i m i t e d  number of people on a "need to know"  basis.  exists  Once  information  particularly that may given  in machine-readable  in  record  form, any  form,  c o n t r o l mechanisms  be p l a c e d on d i s c l o s u r e are immediately the  enormous  demographic  and  p o t e n t i a l of  linking  socio-economic  data,  however,  attenuated,  data,  particularly  through  personal  identifiers. In  certain  individual,  there  information done  will  i s often  later  date  information not  informed  time—ten,  certain  safeguarded, but  with  the  how  information  p r o v i s i o n i s made f o r the on  use.  that  the  issue of  the  of  I n d i v i d u a l s who  promise e x p i r e s a f t e r  reasonable  confidentiality  accorded for  of  i s to  so  be  at  a  gathered.  ultimate  removal  f o r example,  are  a certain period  of  be. particular  Whereas p r i v a c y  i s the  t h a t i n d i v i d u a l s have a r i g h t to determine, to  degree,  the  extent  to them, c o n f i d e n t i a l i t y  some reason,  kinds  this  constitutes a  l a r g e r i s s u e of p r i v a c y .  to data  an  provide s e n s i t i v e  to  which  they  o t h e r s , are the s u b j e c t of o t h e r s ' a t t e n t i o n and access  and  c r e a t i n g problems  the promise of c o n f i d e n t i a l i t y ,  s o c i a l expectation a  government  that  formally prescribed,  formal  the  twenty, or f i f t y y e a r s , as the case may  The species  strictly  placed  on  between  expectation  dealing  no  embargoes  i s an  be  not in  Frequently, of  transactions  r e f e r s to the  or i n f o r m a t i o n [and]  75  needs to be  known  to  other's p h y s i c a l specific  i n d i c a t i n g that  therefore  are  it  "status  is sensitive  protected  against  theft  or  improper  use  and  must  be  disseminated  only  i n d i v i d u a l s or o r g a n i z a t i o n s a u t h o r i z e d ...to have i t . " case f i l e s  a r e , perhaps,  documentation.  the most p r e v a l e n t type of  According to V i r g i n i a  to  Personal  1  confidential  Stewart:  t h e c a s e r e c o r d may i n c l u d e age, sex, religious p r e f e r e n c e , m e d i c a l h i s t o r y , l e g a l and financial s t a t u s , marriage, f a m i l y and s o c i a l r e l a t i o n s h i p s , and r e s i d e n c e and employment p a t t e r n s , a l l of which may be supplemented by t e s t r e s u l t s , investigations, d i a g n o s e s , and n o t a t i o n s of c o u r s e s of t h e r a p y or intervention. 2  An  American  survey  undertaken  i n 1973  found  s e r i e s o c c u r r e d i n a wide range of c o l l e c t i o n s , of  public  public  private  health  special and  and  by  boards.  Peter G i l l i s  3  of p e r s o n a l , i n v e s t i g a t o r y the numerous departments  government,  including  investigation files,,  homes and  s c h o o l s ; adoption a g e n c i e s ; and  collections created  juvenile  case  d e p o r t a t i o n case  residential  labour union has and  case  Unemployment files  hospitals  identified report  and  Insurance  "special"  files  Canadian  criminal  benefit case  in  of p r i v a c y  which  such  is a vital  information  manner."  i n these  files  4  "the  p a r t of the a d m i n i s t r a t i v e context is  c o r p o r a t i o n s , o r g a n i z a t i o n s , and themselves  case  files.  Whatever the impetus behind t h e i r c r e a t i o n , i t i s c l e a r that concept  and  similar  case  files,  and  grievance  and a g e n c i e s of the  immigration  files,  case r e c o r d  including records  welfare agencies; c l i n i c s ,  agencies;  compensation  that  solicited  groups  i n a very  5  76-  ...Individuals,  are d i s c u s s e d and  i n t i m a t e and  usually  expose frank  And  yet,  in  confidentiality records  vary  both  Canada  provisions  widely  with  from  one  L e g i s l a t i v e mandates on  access  level  the  in  Canada  information not,  however,  provincial lacking out  and  and  level.  of ten have yet  statutes mental  governing health  agencies  but  welfare  to  next.  exist  States,  states;  address  to c l a r i f y  the  the  federal of  to records  is  the  state  a broad p r i v a c y nine  is  provinces  for  example,  administrative of  law  or  In a d d i t i o n ,  4 4  records,  conditions  4 3  freedom  at  i n Canada,  of  the  through  legislation.  a c e r t a i n category  the  at  in l e g i s l a t i o n  States,  public  A u t h o r i t y on access  the  may  to  States  to pass p r i v a c y  records,  fail  privacy  United  mandated  of  United  jurisdiction  In the U n i t e d  i n two-thirds  the  respect  and  p r i v a c y laws. clearly  and  use  for  needs  of  records  t r a n s f e r r e d to p u b l i c a r c h i v e s . ^ 4  In  her  personal for  1982  p r i v a c y and  social  Service  research,  records  ambiguity, and at  the  covers  exception all  new  Alice  state  Robbin  found  varying  i n the  fifty  provisions  privacy  or  that  Health  degrees  of  4 6  no of  administered  records, the  in  written with  province  t r a i n i n g emphasizes n e i t h e r 77  are  M i n i s t r y of  overall  by  Social  In Canada,  for c o n f i d e n t i a l i t y  confidentiality  Personnel  and  records  inconsistency,  state codes."  f o r example,  of the oath of secrecy  governing  S o c i a l Services  In some j u r i s d i c t i o n s , O n t a r i o ' s  Social Services  employees.  archival policy  to H e a l t h and  "revealed  provincial level,  Community and  of  access  conflict  similar disarray.  policy  survey  the to  privacy  nor  confidentiality  information The  rights.  and  includes  no  education  the  ambiguity  Robbin (72%)  part  of  found  that  surrounds  i n the  t h a t such  United  laws,  including  disseminating  or l i m i t i n g  archives."  "case  file  court  i  4 8  series  n  Canada,  ...are  policy  ambiguity  exists.  Alice  three-quarters conflicting  administrative orders,  to H&SS records a d m i n i s t e r e d at  the  federal  o f f e r e d up  on  by a l a c k of awareness,  " s a i d there were no  or  access  public  S t a t e s , almost  of the a r c h i v i s t s surveyed,  state  the  archivists,  that,  client  4 7  c o n f i d e n t i a l i t y p r o v i s i o n s i s exacerbated on  about  for  level,  on by  although  d i s p o s a l under  the  r e c o r d s management program w i t h great r e g u l a r i t y , there i s i n the end  no agreement on  how  such  the p u b l i c as an a r c h i v a l The  ethical  material w i l l  source."  conundrum  be made a v a i l a b l e  to  4 9  provoked  by  researcher  demands f o r  a c c e s s to case r e c o r d s i s a r t i c u l a t e d s u c c i n c t l y by h i s t o r i a n  Joy  Parr: An a g e n c y w h i c h opens c a s e r e c o r d s t o r e s e a r c h e r s p l a c e s i n the p u b l i c domain i n f o r m a t i o n about i n d i v i d u a l s who never chose to enter p u b l i c l i f e . Boards of d i r e c t o r s n e c e s s a r i l y undertake t h i s d e c i s i o n without the consent of the p a r t i e s d i r e c t l y concerned: t h e i r former c l i e n t s , f a m i l i e s of c l i e n t s or members of a d o p t i v e and f o s t e r h o u s e h o l d s . They surrender i n f o r m a t i o n p r o v i d e d i n c o n f i d e n c e or under duress, an a c t i o n w h i c h c h a l l e n g e s d i r e c t l y t h e e t h i c s of the helping professions.50 In  certain  corrections,  areas and  law  of  government,  enforcement, 78  such  there  as  are  social  services,  strong r e s e r v a t i o n s  about a l l o w i n g i n d i v i d u a l s access  to t h e i r own records because of  the  s e n s i t i v e nature  The  c u r r e n t b i a s i n record-keeping  is  i n favour  to  records  client's  the  of n o n - d i s c l o s u r e . that  clients  intended  p r a c t i c e w i t h i n these Should  researchers  s e n s i t i v e information  were  never  to such  information  of p r i v a c y  information sensitive  when  t o the government,  nature,  posterity.  they  citizens  whether  to that or permit  of whether the  purposes. supply  personal  a r e not t h i n k i n g of i t s i m p l i c a t i o n s f o r  The e t h i c s of s o c i o - h i s t o r i c a l r e s e a r c h as i t r e l a t e s  research  discussed  uses,  i s not w i d e l y  f o r a wide v a r i e t y of i n the p u b l i c  arena,  because the p u b l i c i s unaware, f o r the most p a r t , t h a t  such i n f o r m a t i o n research.  i s t r a n s f e r r e d t o an a r c h i v e s and made a v a i l a b l e  It i s difficult  assessment  as t o whether  constitute  an unwarranted  way  condition-  i t i s of a r o u t i n e or  information  for  a  f o r use i n u n s p e c i f i e d ways i s  to the p r e s e r v a t i o n of p e r s o n a l  primarily  access  concerning  access  ethics, regardless  individual  have  t o disseminate  use i s f o r a d m i n i s t r a t i v e or r e s e a r c h  Clearly,  agencies  or i n c o r r e c t — when  permitted  F o r a government agency  breach  i n the f i l e .  m o r a l i t y , p h y s i c a l and m e n t a l  themselves  o t h e r s access serious  contained  that may be s u b j e c t i v e , b i a s e d ,  information?  a  contain  character,  information  of the i n f o r m a t i o n  of knowing  information  the size  f o r c i t i z e n s t o make any coherent  research  uses of p e r s o n a l  information  i n v a s i o n of p r i v a c y s i n c e they of the d a t a  can, p o t e n t i a l l y  base  from  have no  which  such  be drawn, or the v a r i e t y of sources 79  contained  in  between an degree of linking  it.  M i c r o - l e v e l data  individual  and  a  exposure p o s s i b l e  can  turn  information  disparate  about an  subjects  government  agency  in records. pieces  information  the  The  of  to  that,  while  information to is  dilemmas the  apparently  presents  professional  possible.  From the  of  reality.  most h i s t o r i a n s b e l i e v e  records  containing  personal  the p r e s e r v a t i o n of such  challenge historical  that  should  be  researcher's  vantage  need  needs."  society  and  society's  significant  degree, a r c h i v i s t s concur with  it  i t s Model  drafted  Council  of  Archives  access  and  access  ...should  clashes argued case  privacy  ...with that  files,  no the  Archives  recognized but  Law the  1972,  conflict  i t concluded  longer  in  that  that  have to be  the  5 2  principle  To  5 1  every  between of  of  purposes":  free  time i t  access  "the p o s i t i o n must never be abandoned t h a t t h i s  80  a  When  Peter G i l l i s  legitimacy  of f i l e has a r i c h p o t e n t i a l f o r r e s e a r c h  the  International  values  sacrificed  p r i v a c y of i n d i v i d u a l s . "  i n debates concerning  The  when  collective  rationale.  of  "the  records  point  by the  understand  respect  accepted  i n d i v i d u a l ' s r i g h t to p r i v a c y "must be balanced to  data  innocuous  s e r i o u s problems to a r c h i v i s t s with  p r i v a c y and c o n f i d e n t i a l i t y , a  maximum  i n t o a comprehensive biography,  notwithstanding,  preservation  the  p o t e n t i a l for  making A r t h u r M i l l e r ' s "womb to tomb d o s s i e r " a Ethical  interaction  has to type  While such documentation i s o f a p r i v a t e and c o n f i d e n t i a l nature at the time of i t s c r e a t i o n and f o r a c o n s i d e r a b l e p e r i o d t h e r e a f t e r , i t becomes, a t some p o i n t i n time, an important research a i d f o r social s c i e n t i s t s , h i s t o r i a n s , and g e n e a l o g i s t s . The danger i s always there t h a t such i n f o r m a t i o n w i l l be r e l e a s e d too soon and render great damage to those i n d i v i d u a l s or o r g a n i z a t i o n s m e n t i o n e d on t h e f i l e , b u t p u b l i c r e c o r d s a r c h i v i s t s must be i n the f o r e f r o n t of those who advocate t h a t t h i s i s a l e g i t i m a t e r i s k which must be faced . . . 5 3  But  i s such a p o s i t i o n e t h i c a l l y v a l i d ?  The moral  for  and a g a i n s t  identifiable  access  to i n d i v i d u a l l y  s o c i a l r e s e a r c h w i l l be the s u b j e c t of the next  81  justifications records f o r  chapter.  CHAPTER I I I ENDNOTES 1. The P u b l i c A r c h i v e s of Canada documented a 71 p e r c e n t growth i n the number of academic users between 1971 and 1976; The A r c h i v e s g e n e r a l e s du Royaume and A r c h i v e s de l ' E t a t of Belgium documented a 39 percent i n c r e a s e over the same p e r i o d . In Spain, the growth, i n the p e r i o d 1957-75 was 757 p e r c e n t ; i n the U n i t e d Kingdom, between 1962-78, the growth documented was 558 p e r c e n t . At t h e U.S. N a t i o n a l A r c h i v e s , n o n - g e n e a l o g i s t researchers r e p r e s e n t e d 43 p e r c e n t of a l l r e s e a r c h conducted i n 1976. See M i c h a e l Roper, "The Academic Use of A r c h i v e s , " I n t e r n a t i o n a l C o u n c i l on A r c h i v e s , v o l u m e X X I X ; P r o c e e d i n g s of the I n t e r n a t i o n a l Congress on A r c h i v e s London, 15-19 September, 1980 (Munchen, New York, London, P a r i s : K.G. Saur, 1982) 42-43, t a b l e 3. 2. G e o f f r e y B a r r a c l o u g h has compiled a d e t a i l e d survey as p a r t of the study conducted f o r Unesco on t h e s o c i a l s c i e n c e s e n t i t l e d M a i n t r e n d s o f r e s e a r c h i n t h e s o c i a l and human s c i e n c e s , " p a r t 2: a n t h r o p o l o g i c a l and h i s t o r i c a l s c i e n c e s , a e t h e t i c s and t h e s c i e n c e of a r t , l e g a l - s c i e n c e , p h i l o s o p h y ( P a r i s : Unesco, 1978); c i t e d i n M i c h e l Duchein, O b s t a c l e s to the A c c e s s , Use and T r a n s f e r of Information from A r c h i v e s : A Ramp study ( P a r i s : Unesco, 1983) 8. 3. Roper, "The Academic Use of A r c h i v e s " 27. 4. Roper, "The Academic Use of A r c h i v e s , " 27. According to R o p e r ' s s u r v e y , i n 1977 the P u b l i c A r c h i v e s of Canada r e p o r t e d 31.8 p e r c e n t of a c a d e m i c use of i t s a r c h i v e s was r e l a t e d t o s o c i a l h i s t o r y , and 12.9 percent was r e l a t e d to economic h i s t o r y , compared to 26.0 percent f o r p o l i t i c a l h i s t o r y and 1.8 p e r c e n t for r e l i g i o u s h i s t o r y . At the P u b l i c Record O f f i c e , 21.8 percent of documents c o n s u l t e d i n 1977-78 r e l a t e d t o economic and s o c i a l h i s t o r y as compared with 13.8 percent i n 1962-64. 5. In 1971, the e n t r i e s i n H i s t o r i c a l A b s t r a c t s d e a l i n g with pre-1914 h i s t o r y numbered 3303 as compared t o 3103 e n t r i e s d e a l i n g w i t h post-1914 h i s t o r y ; i n 1976, t h e r e were 4100 e n t r i e s d e a l i n g with pre-1914 h i s t o r y and 4994 e n t r i e s d e a l i n g w i t h post-1914 h i s t o r y . See Roper, "Academic Use" 40, t a b l e 1. 6. David Gagan and H.E. Turner, " S o c i a l H i s t o r y i n Canada: A Report on the 'State of the A r t ' , " A r c h i v a r i a 14 (Summer 1982): 28.  82  7. R o p e r 28. F o r a more d e t a i l e d d i s c u s s i o n of t h e e x p a n s i o n of c l i e n t e l e o f a r c h i v e s , s e e I v a n B o r s a , "The E x p a n d i n g A r c h i v a l C l i e n t e l e i n the Post-World War II P e r i o d , " I n t e r n a t i o n a l C o u n c i l on A r c h i v e s , volume XXVI: Proceedings of t h e 8 t h I n t e r n a t i o n a l C o n g r e s s on A r c h i v e s Washington, 27 September - 1 O c t o b e r 1976 (Munchen, New York, London, ParTiT K.G. Saur, 1979) 119-126. 8. Dale C. Mayer, "The New S o c i a l H i s t o r y : I m p l i c a t i o n s Archivists," American A r c h i v i s t 48 .4 ( F a l l 1985): 388.  for  9. C h a r l e s M. D o l l a r , " Q u a n t i t a t i v e H i s t o r y and A r c h i v e s , " I n t e r n a t i o n a l C o u n c i l on A r c h i v e s , volume XXIX: Proceedings of the I n t e r n a t i o n a l Congress on A r c h i v e s London 15-19 September, 1980 (Munchen, New York, London, P a r i s : K.G. Saur, 1982) 46. 10. Meyer F i s h b e i n , G u i d e l i n e s f o r A d m i n i s t e r i n g MachineR e a d a b l e A r c h i v e s , p r e p a r e d f o r t h e Committee on Automation, I n t e r n a t i o n a l C o u n c i l on A r c h i v e s , Washington, D . C , November 1980 5-6. 11. D o l l a r , " Q u a n t i t a t i v e  H i s t o r y and A r c h i v e s "  47.  12. G.J. P a r r , "Case Records as Sources f o r S o c i a l H i s t o r y , " A r c h i v a r i a 4 (Summer 1977) 122. 13. F o r a d e t a i l e d a n a l y s i s of the Annales school and i t s i n f l u e n c e , see T r a i a n S t o i a n o v i c h , French H i s t o r i c a l Method: The Annales Paradadiqm ( C o r n e l l U n i v e r s i t y Press: Ithaca and London, 1976). 14. Marc Bloch, quoted by Tom Nesmith i n "Le Roy L a d u r i e ' s ' T o t a l H i s t o r y ' and A r c h i v e s , " A r c h i v a r i a 12 (Summer 1981): 128. 15. N e s m i t h , A r c h i v e s , " 128. 16. Nesmith  "Le  Roy  Ladurie's  'Total  History'  and  128.  17. F e r n a n d B r a u d e l , The S t r u c t u r e s of Everyday L i f e : The L i m i t s of t h e P o s s i b l e . C i v i l i z a t i o n and C a p i t a l i s m , 15th-18th Century Volume 1, t r a n s . Sian Reynolds (New York: Harper and Row, 1981) 27. 18. Gagan and Turner, " S o c i a l H i s t o r y 19. Gagan and Turner 27.  83  i n Canada" 27.  20. L e Roy L a d u r i e , q u o t e d by Tom N e s m i t h L a d u r i e ' s ' T o t a l H i s t o r y ' and A r c h i v e s " 129.  i n "Le Roy  21. L i s t e d i n Chad G a f f i e l d , "Theory and Method i n Canadian H i s t o r i c a l Demography," A r c h i v a r i a 14 (Summer 1982): 129. 22. Gagan and Turner 36. 23. Gagan and Turner 36. 24. Gagan and Turner 30. 25. G a f f i e l d , "Theory and Method" 125. 26. Gagan and Turner 32. 27. C a r r o l l S m i t h - R o s e n b e r g , "The New Woman History," Feminist S t u d i e s 3 .1-2 (1976): 185.  and the New  28. Eva S. Moseley, "Sources f o r the 'New Women's H i s t o r y ' , " American A r c h i v i s t 43 .2 (Spring 1980): 182 29. Susan L a s k i n , Beth L i g h t and A l i s o n P r e n t i c e , "Studying t h e H i s t o r y o f O c c u p a t i o n : Q u a n t i t a t i v e S o u r c e s on C a n a d i a n Teachers i n the N i n e t e e n t h Century," A r c h i v a r i a 14 (Summer 1982): 77. 30. G.J. P a r r ,  "Case Records" 122.  31. Gagan and Turner 27-28. 32. R. J o s e p h A n d e r s o n , " P u b l i c W e l f a r e Case Records: A Study o f A r c h i v a l P r a c t i c e s , American A r c h i v i s t 43 .2 (Spring 1980): 165. 33. Anderson 169. 34. Meyer H. F i s h b e i n , "The ' T r a d i t i o n a l ' A r c h i v i s t and the A p p r a i s a l of Machine-Readable Records," A r c h i v i s t s and MachineR e a d a b l e R e c o r d s : P r o c e e d i n g s o f t h e C o n f e r e n c e on A r c h i v a l Management of Machine-Readable Records, February 7-10, 1979 Ann Arbor, M i c h i g a n , ed. Carolyn L. Geda, E r i k W. A u s t i n , F r a n c i s X.. B l o u i n , J r . (Chicago: S o c i e t y of American A r c h i v i s t s , 1980) 60. f  35. H a r o l d N a u g l e r , The A r c h i v a l A p p r a i s a l o f M a c h i n e Readable r e c o r d s : a RAMP study w i t h g u i d e l i n e s ( P a r i s : UNESCO, 1984) 84.  84  36. G. M a r t i n o t t i , "Data P r o c e s s i n g , Government, and the P u b l i c : R e f l e c t i o n s on the I t a l i a n c a s e , " I n t e r n a t i o n a l S o c i a l Science J o u r n a l 30 .1 (1978): 149. 37. C h a r l e s M. D o l l a r , " M a c h i n e - R e a d a b l e R e c o r d s of the F e d e r a l Government and t h e N a t i o n a l ARchives," A r c h i v i s t s and M a c h i n e - R e a d a b l e R e c o r d s : P r o c e e d i n g s of t h e C o n f e r e n c e on A r c h i v a l Management of Machine-Readable Records, February 7-10, 1979 , Ann A r b o r , M i c h i g a n " ( C h i c a g o : S o c i e t y o f Amer i c a n A r c h i v i s t s , 1980) 83. 38. I n t r o d u c t i o n , Computers and P r i v a c y i n the Next Decade, ed. Lance J . Hoffman (New York: Academic P r e s s , 1980) 11. 39. V i r g i n i a S t e w a r t , "Problems of C o n f i d e n t i a l i t y i n the A d m i n i s t r a t i o n of P e r s o n a l Case Records," American A r c h i v i s t 37 (1974): 387. 40. Stewart 391. 41. P e t e r G i l l i s , "The Case F i l e : Problems of A c q u i s i t i o n and Access from the F e d e r a l P e r s p e c t i v e , " A r c h i v a r i a 6 (Summer 1978): 32-39. 42. G i l l i s  38.  43. The l i t e r a t u r e on l e g i s l a t i o n governing c o n f i d e n t i a l i t y i n p u b l i c w e l f a r e case f i l e s i n the U n i t e d S t a t e s has grown s i n c e t h e p u b l i c a t i o n o f V i r g i n i a Stewart's ground-breaking a r t i c l e , "Problems of C o n f i d e n t i a l i t y i n the A d m i n i s t r a t i o n of P e r s o n a l Case R e c o r d s , " American A r c h i v i s t 37 (1974): 387-97. Since that time, the i s s u e has been addressed i n a number of a r t i c l e s , i n c l u d i n g R. J o s e p h A n d e r s o n , " P u b l i c Welfare Case Records: A Study of A r c h i v a l P r a c t i c e s , " American A r c h i v i s t 43 .2 ( S p r i n g 1980): 169-79; Ronald M. BaumanrT) "The A d m i n i s t r a t i o n of Access to C o n f i d e n t i a l Records i n S t a t e A r c h i v e s : Common P r a c t i c e s and t h e Need f o r a Model Law," American A r c h i v i s t 49 .4 ( F a l l 1986): 349-70; David K l a s s e n , "The Provenance of S o c i a l Work Case R e c o r d s : I m p l i c a t i o n s f o r A r c h i v a l A p p r a i s a l and A c c e s s , " Provenance 1 .1 ( S p r i n g 1 9 8 3 ) : 5-39; A l i c e R o b b i n , " S t a t e A r c h i v e s and Issues of P e r s o n a l P r i v a c y : P o l i c i e s and P r a c t i c e s , " American A r c h i v i s t 49 .2 ( S p r i n g 1986): 163-75. In Canada, the l i t e r a t u r e on p u b l i c w e l f a r e case f i l e s i s not as w e l l - d e v e l o p e d . The two a r t i c l e s that have become standard r e a d i n g on the s u b j e c t a r e : G.J. P a r r , "Case Records as Sources for Social History," A r c h i v a r i a 4 (Summer 1979): 122-36; and Peter G i l l i s , "The Case F i l e : Problems of A c q u i s i t i o n and Access from the F e d e r a l P e r s p e c t i v e , " Archivaria 6 (Summer 1978): 3239. 85  44. Quebec i s the only p r o v i n c e with comprehensive p r i v a c y legislation. In M a n i t o b a and O n t a r i o p r i v a c y legislation c u r r e n t l y e x i s t s i n b i l l form. 45. R o n a l d Baumann, "The A d m i n i s t r a t i o n of A c c e s s t o C o n f i d e n t i a l Records i n S t a t e A r c h i v e s : Common P r a c t i c e s and the Need f o r a Model Law," American A r c h i v i s t 49 .4 ( F a l l 1986): 355. 46. A l i c e Robbin, "State A r c h i v e s and I s s u e s o f P e r s o n a l P r i v a c y : P o l i c i e s and P r a c t i c e s , " A m e r i c a n A r c h i v i s t 49 .2 (Spring 1986): 167. 47. A r e l a t e d i s s u e i s a c c o u n t a b i l i t y f o r records which has not y e t been r e s o l v e d i n t h e development o f s o c i a l s e r v i c e privacy p o l i c y i n Ontario. D i r e c t o r s of some i n d i v i d u a l a g e n c i e s c o n t r a c t u a l l y funded by the M i n i s t r y i n s i s t that the agency owns the records and t h e r e f o r e has s o l e r e s p o n s i b i l i t y f o r p r i v a c y and c o n f i d e n t i a l i t y of i t s r e c o r d s d e s p i t e t h e d i f f i c u l t y of e s t a b l i s h i n g l e g a l ownership of i n f o r m a t i o n . Municipalities also c l a i m r e c o r d ownership r i g h t s o v e r G e n e r a l W e l f a r e A s s i s t a n c e records. The r e s p o n s i b i l i t y f o r t h i r d p a r t y r e p o r t s , such as medical or p s y c h o l o g i c a l assessments c o n t a i n e d i n s o c i a l s e r v i c e r e c o r d s y s t e m s i s a l s o open t o q u e s t i o n . See Chapter 8 of M i c h a e l Brown, Brenda B i l l i n g s l e y and Rebecca Shamai, P r i v a c y and Personal Data P r o t e c t i o n : A Report on Personal Record-Keeping by the M i n i s t r i e s and Agencies of the O n t a r i o Government, prepared for t h e Commission on Freedom of I n f o r m a t i o n and I n d i v i d u a l P r i v a c y , March 1980. 48. Robbin, "State A r c h i v e s " 167. 49. G i l l i s 35. 50. P a r r ,  "Case Records" 135.  51. A l l a n Bogue, "Data Dilemmas: Q u a n t i t a t i v e H i s t o r y and the S o c i a l Science H i s t o r y A s s o c i a t i o n , " S o c i a l Science H i s t o r y 3 .3-4 (October 1979): 212. 52. Quoted i n Jean T e n e r , A r c h i v a r i a 6 (Summer 1978): 18. 53.. G i l l i s 38.  86  "Accessibility  and  Archives,"  IV PRIVACY DILEMMAS IN HISTORICAL RESEARCH  The t o i l , nay t h e most e x c i t i n g t o i l o f h i s t o r i a n s i s t o make dumb t h i n g s speak. L u c i e n Febvre  Early discovered  i n 1986, 15,000 that every  aspect  Swedes  who  of t h e i r  were  lives  born  i n 1953  had been under t h e  m i c r o s c o p e s i n c e t h e day they were born as a r e s u l t of a s e c r e t sociological  study.  Newspapers d i s c l o s e d  1  that researchers at  Stockholm U n i v e r s i t y had been amassing c o m p u t e r i z e d 15, 000  people  born  i n Stockholm  files  on a l l  i n 1953 as p a r t of a p r o j e c t  called "Metropolit". There  a r e approximately  100,000  computer  c o n t a i n i n g d a t a about i n d i v i d u a l s i n Sweden. set  up by t h e g o v e r n m e n t and cover  registers  More than  everything  from  600 were education,  h e a l t h , s o c i a l problems and absences from work, t o t a x e s , and  military  all  p u b l i c bodies,  health files  service.  i n f o r m a t i o n s u p p l i e d by v i r t u a l l y  including confidential  authorities, which  Using  included  data  purpose  the subjects'  of the r e s e a r c h ,  school  according  M e t r o p o l i t p r o j e c t was, a p p a r e n t l y , people  in life."  from p o l i c e and  the researchers put together  p r o b l e m s , p e r f o r m a n c e a t work, f a m i l y t i e s , The  rents  record,  sexual  income and crimes..  t o a member  of the  " t o see how t h i n g s a r e f o r  Carl-Gunnar Janson, a S o c i o l o g y 87  encyclopaedic  professor at  Stockholm  U n i v e r s i t y and the l e a d e r  of the M e t r o p o l i t p r o j e c t ,  defended the r e s e a r c h on the grounds t h a t if  those  i n t e r v i e w e d were a b l e t o rob me of m a t e r i a l which I have  been working with own  " i t would be grotesque  f o r more than  20 y e a r s .  The idea that they can  the i n f o r m a t i o n about themselves i s f a n t a s t i c . " That same week, the Swedish Data I n s p e c t i o n Board, whose j o b  is  to protect  Swedes a g a i n s t  government computers Institute  reported  had assembled  between 1966 and 1974. the  links  told  h e l d about  scientists  on women who had l e g a l  names were  and cancer.  them i n  a t the K a r o l i n s k a  The i n s t i t u t e used the f i l e  abortions  i n a study of  None of the women were  on t h e i n s t i t u t e ' s  incidents, are p a r t i c u l a r l y in  that  a file  between a b o r t i o n  their  abuse of data  worthy of note  computers.  s i n c e they  These  took  place  t h e country whose data p r o t e c t i o n laws a r e c o n s i d e r e d the most  stringent  i n the world.  When Religious take  Emile Life  over  that  Many  published  forward that  religion  to explain—nature,  really  i s achievable social  illusion;  The E l e m e n t a r y  would  "set  are."  2  aside  88  had  the v e i l  with  which  [these s u b j e c t s ] f o r them t o The i l l u s i o n  has d r i v e n  have  and p h i l o s o p h y  humankind and s o c i e t y .  the s o c i a l  b e n e f i t s have d e r i v e d  but there  Forms o f  t o the time when s c i e n c e would  imagination had covered  as they  transparency since.  sought  he p r o c l a i m e d ,  mythological appear  he looked  the subjects  traditionally Science,  Durkheim  also  been  that sciences  social ever  from the p u r s u i t of costs.  The  steady  erosion  of  individual privacy  i s by  no  means the  least  of  those  costs. In five  1977,  representatives  countries  access  to  met  census  from  in B e l l a g i o data  and  to  the  research  discuss  communities  ways of  s i m i l a r government  them: t h a t research there of  there  are  f o r which access  are  identifiable  data and  activities  the  of the  require  statistical A  and  key  the  that  some  linking  of  enshrined  Privacy  significant  fields  is indispensable;  framework research  of  i n d i v i d u a l data  that  utilization  concern  and  of  for  statistical for  research  3  "functional separation." American  The  i s s u e s , among  uses which r e q u i r e the  within  purposes.  concept  socially  to m i c r o d a t a  l e g i t i m a t e research  confidentiality;  and  valid  improving  archives.  p a r t i c i p a n t s reached a consensus on a number of key  of  i n the I t was  Protection  recommended t h a t to p r o t e c t the  B e l l a g i o P r i n c i p l e s i s that first  a r t i c u l a t e d i n 1976  Study  Commission,  by  which  i n d i v i d u a l from  i n a d v e r t e n t exposure to an a d m i n i s t r a t i v e a c t i o n as a consequence of s u p p l y i n g i n f o r m a t i o n f o r a r e s e a r c h or a s t a t i s t i c a l p u r p o s e , and t o p r o t e c t the c o n t i n u e d a v a i l a b i l i t y of r e s e a r c h and s t a t i s t i c a l r e s u l t s which are important f o r the common w e l f a r e , there must be a c l e a r f u n c t i o n a l s e p a r a t i o n between r e s e a r c h and s t a t i s t i c a l u s e s and a l l other uses ...The p r i n c i p l e must be e s t a b l i s h e d t h a t i n d i v i d u a l l y identifiable i n f o r m a t i o n c o l l e c t e d f o r r e s e a r c h or s t a t i s t i c a l p u r p o s e s may e n t e r i n t o a d m i n i s t r a t i v e and p o l i c y d e c i s i o n making only i n aggregate or anonymous form. 4  The  principle  of  functional separation 89  attempts  to  establish a  crucial  distinction  administrative  purposes:  judgements  about  information  collected  individual's information  to  a  for  for  information  example,  particular  identity  to  identifiable  research  and  personal  invoke  this  information.  The  the  principle reason  know who  the  individual  i s , i n the  they  ordinarily  interested in disclosing  they  c o l l e c t about  dependable one  way  of  an  individual;  that  they  matching a p i e c e  of  and  which  the  of  the  i n defence  for  sense of  merely  the  wish to  "to know." information  want  information  of  collecting  researchers  ordinary  on  individual.  the  are  in  function  information,  Nor  argument goes, i s not  for  individual;  purposes,  is incidental  frequently  collected  make d e c i s i o n s  i s not t i e d to d e c i s i o n s about the  Researchers access  between  a  simple,  collected  on  o c c a s i o n with a p i e c e of i n f o r m a t i o n c o l l e c t e d about the same  individual method  on  a different  occasion.  be  acceptable  would  equally  Any in  r e s e a r c h e r : a unique a l i a s , or an a r b i t r a r y While the p r i n c i p l e f a l s e assumptions. The capable  principle  serial  one,  to  of  recent  promises  court  research  abuses cases  notes  of c o n f i d e n t i a l i t y  the  same  broad  the  number.  i t f l o u n d e r s on  p r i n c i p l e assumes that r e s e a r c h e r s w i l l  administrative  scientists'  enjoy  important  matching  of p r o t e c t i n g the c o n f i d e n t i a l i t y of t h e i r r e s e a r c h  against number  i s an  dependable  when  this  i s not  i n v o l v i n g the has can  subpoena  demonstrated be.5  Social  testimonial privilege  90  the  just  how  researchers of  be  files  case. of  two  A  social fragile do  lawyers  not and  physicians.  Threats  governmental about  that  can i s s u e  i n d i v i d u a l s from the records  purposes research  has become a m a t t e r  subpoenas  and other  f o r information  of s t u d i e s designed  of growing  concern  f o r other  within  the  community.  The  second  functional subjects. of  bodies  t o c o n f i d e n t i a l i t y from c o u r t s  false  assumption  separation  implicit  i n the p r i n c i p l e of  i s the assessment  of r i s k  to  Researchers assume that p u b l i c concern over  privacy  harmful  consequences of d i s c l o s u r e .  I f i n d i v i d u a l s a r e assured  that the  information  they  will  researchers  reason,  their  the moral  the cumulative  individuals,  who  fear  disclose  consequentialist  diminishes and  on a  invasions  of the p o t e n t i a l l y  This  i s based  record  n o t be  privacy  within  respected,  perspective  effect  of such  never  know  is limited  invasions,  that  their  society  range  of  social  methodologies d i v e r s e . research  refers  action  not only  privacy  I f there  itself on  has been general  to privacy  i s not  of c o n f i d e n t i a l i t y w i l l  n o t be  the r i g h t  honoured, i n t e r p e r s o n a l t r u s t w i l l , The  because i t  is a  that  promises  them,  be a l l e v i a t e d .  s i g n i f i c a n c e of the i n v a s i v e  may  or that  against  concerns w i l l  invaded, but on the s o c i e t y as a whole. feeling  used  i n e v i t a b l y , break down.  research  i s enormous,  For the purposes of t h i s  t o any d e l i b e r a t e  attempt  and groups through such systematic  observation  and s e c o n d a r y  91  The  enquiry,  to gather  individuals  analysis.  and i t s social data  on  means as i n d i r e c t  focus  here  i s on  unobtrusive  data  information  about  question  this  collection people  kind  methods  from  of s o c i a l  ordinary  to sometimes  moral  The to  questionable  that  possibility  question.  of a t t a i n i n g  "true  will  boundaries  of ignorance  in  of r e s e a r c h — i n v o k i n g  freedom extended  of i n q u i r y , by  individual  some  that  lend  special  methodology.  Should  f o r the sake of  p a r t l y t o answer, p a r t l y fewer  and f e l t  believe  than  i n the  i n Durkheim's  may a t l e a s t push back the  chaos.  T r a d i t i o n a l arguments  6  the p u r s u i t  and t h e b e n e f i t s  John  now  knowledge"  research  to j u s t i f y  privacy.  serves  Though  t i m e , most  support  argue  The  i s whether the  studies  overridden  of  inquiry?  r a t i o n a l e f o r research  deflect  archives.  raises  pursue t h e i r  r e s t r a i n t s be  "academic" or " s c i e n t i f i c "  the g a t h e r i n g  governmental research  purposes f o r which r e s e a r c h e r s legitimacy  through  studies  Robertson  of knowledge, t h e  of r e s e a r c h - - h a v e that  observes  been  are invasive that  some  of  social  sc i e n t i s t s , question the very l e g i t i m a c y o f any g o v e r n m e n t r e g u l a t i o n of s o c i a l r e s e a r c h . In t h e i r view s c i e n t i s t s have a r i g h t t o p l a n and conduct r e s e a r c h as they see f i t , s u b j e c t only t o judgements of t h e i r peers b a s e d on c a n o n s of s c i e n t i f i c v a l i d i t y . This r i g h t , they a s s e r t , i s inherent i n the r o l e of s c i e n t i s t and i n d o c t r i n e s of academic freedom and i s p r o t e c t e d by the f r e e speech c l a u s e of the F i r s t Amendment. 7  Freedom  o f academic  or s c i e n t i f i c  inquiry  both i n i t s own r i g h t and i n o p p o s i t i o n of  scientific  enterprise  i s a value  t o c o n t r o l or r e g u l a t i o n  on the grounds t h a t , 92  expressed  "a s o c i e t y  which  limits  the  itself  by  academics' area reducing  i n an a p r i o r i  The by the  p o s i t i o n that  concerning  conditions  the  that are  science  advances  beliefs,  values  process  required  by  and  cumulative  discoveries)  framework of theory. i s the  not,  undefined guiding  of  anomolies  According  nutritive  their  method can  of  f o r new  inquiry and  the  scientific  innovation  without  ideas.  f o r the  freedom  to  freedom of  pursue  new  i s the  and  by  the  a  the  given  discovery  the  (or  established  " f a i l u r e of e x i s t i n g  ones."  Old  1 0  paradigms  shifts  can  only  f o r repeated  formalizing  the  scientists  on  research  scientific  scientific  93  i n which  trial and  hypotheses  to  consider  1 1  basis  develop  that  freedom to pursue hunches  encourages  produce  Structure  members of  allows  concern that c o n s t r a i n t s p l a c e d to  the  and  the n o t i o n  Paradigm  that  discovery,  shifts",  to Kuhn, the  environment  research  opportunities  be  i s supported  In The  within  surrendered.  a l t e r n a t i v e s to e s t a b l i s h e d The  "paradigm  p r e l u d e to a search  lines  scientific  challenged  e r r o r , permits s c i e n t i s t s  argued  Sociologist  8  research  Thomas Kuhn i n t r o d u c e d  are  however, e a s i l y  in a  of  techniques shared by  community  and  no  to f o s t e r i t .  means of  scientific  occur  knowledge  i s hurting  f a s h i o n as u n e t h i c a l . ^  of S c i e n t i f i c R e v o l u t i o n s ,  are  expression  t r a d i t i o n of the autonomy of the r e s e a r c h e r  theories  rules  i n q u i r y and  i t s p o t e n t i a l for  Norman Denzen takes the defined  of  on  which  ideas  will  hobble  and  stifle  scientists  i n q u i r y , expressed as  any  issue  that  seems  have "the of  intellectual  significance,  relying  solely  other s c i e n t i s t s to determine which new useful data  after  from  they  have  research."  research  methodology  perform,  scientists  i n f r i n g e on  T  1 2  have  fully  the  evaluation  of  ideas w i l l be accepted  as  developed  and  the  extent  that  make  some  studies  0  would  argued  the s c i e n t i s t ' s  restrictions  on  impossible  to  restrictions  would  t r a d i t i o n a l arguments i n favour of r e s e a r c h e r  autonomy—  the  communicate  understanding.  pursuit  inquiry--take  to  those  with  mysterious  invoking  right  that  compared  illuminate s t i l l  r e g i o n s of human The  been  on  of  knowledge  f o r granted  knowledge, a  considerations.  the  right  and  freedom  researcher's that  of  right  i s taken  scientific  to pursue  t o outweigh  and  moral  Over the past twenty y e a r s , that assumption  has  l o s t c o n s i d e r a b l e ground, l a r g e l y as a r e s u l t of the i n c r e a s i n g l y invasive  p r a c t i c e s of  unrestricted that end  justifies that  i s b e t t e r than  any  means.  scientific  r a t h e r an  institutional  norms  find  to  welfare.  corrective American on  the  Social  1 3  research.  freedom of s c i e n t i f i c  knowledge  argue  social  ignorance,  Critics  of  and  an  norm which must be most  A s s o c i a t i o n f o r the Freedom and  absolute  inquiry.  Advancement of  research right,  is a In  Science's  R e s p o n s i b i l i t y suggested 94  scientific  to promoting  in research of  a  value  weighed a g a i n s t  conducive  responsibility  that  behind  the  "unrestrained"  freedom, i s not  balance  principle  i n q u i r y i s based on  to u n r e s t r i c t e d freedom  Scientific  The  but  other social  necessary 1975,  the  Committee  that  freedom  and  r e s p o n s i b i l i t y are  scientific acquired  and  In  the  recognize  not an  addition  ethical is  community  inseparable  the  value  argument commonly  derive  from  professional  they recommended that  the p r i n c i p l e that  inalienable r i g h t .  to  utilitarian  and  of  appeal  to  research.  According  t h a t are m o r a l l y  against  The to  permissible  resolved  to  this  by  balancing  the  promises  social  research  to produce. research  delivery benefits.  or  risk  of  harm to  i s s u e of whether i t i s  i n terms of  is  not  in performing  sciences,  since  can  really  be  social  subjects  counts.  appropriate  cited to  as  in health important  invoke  "social  95  research  it  biocare  social  comparable i n the  social  aims  primarily  at  only s e c o n d a r i l y ,  i f at a l l ,  at  the b e n e f i c i a l a p p l i c a t i o n s which may of  Ethical  social, benefits  improvements  possible  the a c q u i s i t i o n of knowledge, and  definition  the  r i s k - b e n e f i t assessments  considerable  The  actions  r i s k - b e n e f i t model i s drawn from  reductions  benefits  The  social benefits.  research.  i n which s p e c i f i c  cost It  The  the  i s taken  r i s k - b e n e f i t model i s inadequate on a number of  justify  that  argument,  to achieve b e n e f i c i a l ends.  f i r s t problem concerns the  medical  research  i s used to a s c e r t a i n c l a s s e s of  the p o t e n t i a l b e n e f i t s of  The  social  o b l i g a t i o n to advance human understanding  p r i n c i p l e of b e n e f i c i e n c e  another  b e n e f i c i a l consequences  to i n c l u d e a p o s i t i v e moral duty to provide  dilemmas are  freedom,  in j u s t i f y i n g  the  i s an  1 4  scientific  invoked  freedom  the  r e s u l t from that  benefits"  i s also  knowledge. problematic.  The  same u t i l i t a r i a n  research,  f o r example,  acceptable,  invasions  investigative terms  of  to permit  citizen  any  contribute  privacy  justifiable  seem  of p r i v a c y .  social  to  epidemiological  justify  Highly  objectionable  could  be  of p r i v a c y  To  the  social  regard  way  benefits,  for  the  consequences of the methods employed and so render the study m o r a l l y A number  of  outweighed if  i t s r i s k s might  the r i s k s  such  routinely  de G a s p a r i s  quantitative  research  particular marital  groups)  status,  of  group  income,  and  negative benefits  Macintyre,  be m o r a l l y  economically  impermissible disadvantaged  of d i s t r i b u t i v e  "group r i s k " ,  clearly  justice i s  the r i s k  that  the  some f u t u r e setback as  In E t h i c s i n S o c i a l Research, Robert  Bower and P r i s c i l l a social  results entail  them A l a s d a i r  might s u f f e r  study.  as  condoning  outweigh those  nevertheless  i n t e r e s t s of c o l l e c t i v i t i e s  invasions  "a p r o j e c t whose b e n e f i t s  invoked as a p r o t e c t i o n a g a i n s t  a r e s u l t of r e s e a r c h  may  The p r i n c i p l e  1 5  invasions  countervailing  among  are u n j u s t l y borne by  members of s o c i e t y . "  in  unjustifiable.  philosophers,  take the e t h i c a l p o s i t i o n t h a t  police  justified  to a c a l l o u s a t t i t u d e toward  pave  less  on r i s k - b e n e f i t  u n j u s t i f i a b l e p r i v a c y v i o l a t i o n s . Even i f r e s e a r c h significant  other,  b e n e f i t of n a t i o n a l s e c u r i t y .  invasions  generally.  could  justify  f o r example,  fundamental  grounds might of  might  activities,  the  Moreover,  c a l c u l a t i o n s that  argue t h a t , "the standard  (even that  which  i s not focused  characterist ics--age, so o n — a s 96  use i n  explanatory  sex,  on  race,  variables i s  apt  t o l e a d t o the p r e s e n t a t i o n  are  ideally  suited  differences  in  and t h e d r a w i n g  of  of comparisons  t o one group or f a v o r a b l e  intergroup  that  may  seem  for another."  1 6  group members and people at lower socio-economic l e v e l s  society  social  r e s u l t s i n ways that  to the i d e n t i f i c a t i o n  i n v i d i o u s with r e s p e c t Minority  of r e s e a r c h  (the f a v o u r i t e s u b j e c t s  history)  of s o c i a l a n a l y s i s , i n c l u d i n g  are p a r t i c u l a r l y  vulnerable  to this  k i n d of  social injury. Another d i f f i c u l t y posed by r i s k - b e n e f i t a n a l y s i s i s that of finding and  a common  standard  i n terms of which t o compare  b e n e f i c i a l consequences.  guides  to a n t i c i p a t e d  advance  description which  of r i s k s  the risks  that  Social  t h e advance  predictions  that  i f they under  are useful  a r e performed i n  consideration.  is implicit  of s c i e n t i f i c research  after  discovery,  The  i n Kuhn' s according  are often  the fact  researchers,  assessment cannot  not  to  only  of r i s k s  1 7  as  "unanticipated  such as Joan C a s s e l l argue  reliably  environment of s o c i a l r e s e a r c h . at  analyses  emerge a c c i d e n t a l l y i n the course of the  and a r e i d e n t i f i e d  consequences."  project  of s o c i a l  but o f t e n  only  and b e n e f i t s  of the nature  incalculable, work  conduct  of the research  uncertainty  Risk-benefit  harmful  and b e n e f i t s  be made  i n the  requires unstable  One can i d e n t i f y and d e s c r i b e ,  l e a s t i n s p e c u l a t i v e terms, the b e n e f i t s that may r e s u l t from  research, subjects  j u s t as one may i d e n t i f y many of the r i s k s may e x p e r i e n c e .  But such 97  risks  that  and b e n e f i t s  record  currently  r e s i s t q u a n t i t a t i v e a n a l y s i s . The judgements be made ahead assumptions  of  time  about  tend  record  t o be  subjects'  based upon the r e s e a r c h e r ' s own '  The  ethical  assessment evaluation  research  of  either  based  feelings  upon u n t e s t e d  on  risks  and  benefits  is inevitable  procedures.  t h e assessment  In most  of both harms and  limited  by a l a c k of knowledge on which  t o base  notion  of  framework  damages  harm  to  implies  an  individuals  fundamental assumptions  evaluative  and  to  about  the matter or  sense of r i g h t and wrong.  of of r e s e a r c h  however  about r i s k s that can  social  social  benefits i s  judgements.  groups  or  i t s absence,  and  entails  the nature of persons and  about  p e r s o n s , groups,  professions,  specific  of  impact  However much may the  subjects  important  social  what  i s most and  least  and  governments,  and  research  be assumed about  and  potential  t o them, v e r y  these  society,  would  v a l u e d by about  what  the 1 8  benefits  themselves  is actually  well-  constituencies.  what harms and  subjects  little  on  The  for assessing  about the i n d i v i d u a l and c o l l e c t i v e c o n d i t i o n s c o n s t i t u t i n g being,  in  see  known about  as  such  m a t t e r s , because most of the f a c t o r s that must be c o n s i d e r e d are i n t a n g i b l e and s u b j e c t i v e . The q u e s t i o n , Tom is,  "should  consequences  the  that  term  [harm]  be  are damaging and  Beauchamp suggests,  restricted  irreversible,  to or  physical should i t  a l s o embrace impermanent and l e s s dramatic p s y c h o l o g i c a l L e g a l e f f e c t s ? Economic Clearly,  we  effects?  effects?" ^  have a moral  1  obligation  98  to a v o i d  actions  that  reduce  others'  fulfill  their  various  principles,  demonstrate negative  well-being  for  empirically  due  principle.  In  to  o n l y the  for  violation  the  for  human  the  the  the  undermining  interpersonal trust may  lower the  the  rule  of  effective  larger  l e v e l of  need  effect  damage an  is  enshrined  in  of  autonomy.  To  a  of  principle is,  of  breaking  to  take  a  into  of  the  broken  account  of  self-esteem;  undermine the  but  it  integrity  of  to harmonious  Donald Warwick argues  defending t h e i r r e s e a r c h c l a i m s , s o c i a l  been  accumulation  individual's  interaction.20  not  in  The  and  of  promise  in s o c i e t y .  trust  the  promise  whose c o n f i d e n c e has of  has  however,  violations  promise-keeping which i s e s s e n t i a l  social  to  p r e d i c t e d consequences  effect  individual  but  of  freedom  fulfillment  effects  example, we  violated,  also  principle  that  cumulative  harm caused to  may  obligation  the  calculating  promise-breaking  their  sometimes because the  the  confidentiality,  That  inhibit  example,  consequences  often  that  potentialities.  enormously d i f f i c u l t are  or  and  that,  in  researchers:  t y p i c a l l y do not c o n s i d e r the cumulative harms of t h e i r r e s e a r c h on the l a r g e r s o c i e t y though they w i l l o f t e n c i t e the c u m u l a t i v e b e n e f i c i a l e f f e c t s of i n c r e a s e d knowledge. Those who take a d i f f e r e n t view of human n a t u r e , of the p e r s i s t e n c e of r u p t u r e d t r u s t . . . w i l l come to other c o n c l u s i o n s . 2 1 Because the prove or a  consequences of  disprove empirically,  more e f f e c t i v e  approach  is a rights-based analysis,  to an  such v i o l a t i o n s  Herbert the  based on  difficult  suggested  moral e v a l u a t i o n  analysis  99  Kelman has  are  of  to  that  research  a description  of  the  action,  The  c r i t e r i o n f o r moral e v a l u a t i o n  human  rather  dignity,"  imperative ...every  than on the p r e d i c t i o n  deriving  t o , " a c t so t h a t  i n your  you a r e t r e a t i n g  merely as a means." of  should  a principle  other  23  of i t s c o n s e q u e n c e s . be " c o n s i s t e n c y  from own  mankind  Kant's person  with  categorical as w e l l  as  ...as an end, never  The imperative o b t a i n s even i n the absence  violations. While  respect  f o r human  dignity  i s rooted  in principles  demanding f u l f i l l m e n t of human p o t e n t i a l i t i e s , i t can be as  22  though  because  i t were  an end i n i t s e l f  the p r i n c i p l e  violation  holds  has d e m o n s t r a b l e  Kelman d i s t i n g u i s h e s  whether  i n moral  decision  treated making  o r n o t i t s a c c e p t a n c e or  consequences  for  two components — i d e n t i t y  self-fulfillment. and community--  which serve as c o n d i t i o n s of d i g n i t y : i d e n t i t y r e f e r s t o our c a p a c i t y t o t a k e autonomous a c t i o n , t o d i s t i n g u i s h o u r s e l v e s from o t h e r s , t o l i v e our l i v e s on the b a s i s of our own g o a l s and v a l u e s ; community r e f e r s t o our i n c l u s i o n i n an i n t e r c o n n e c t e d network o f i n d i v i d u a l s who c a r e f o r e a c h o t h e r and p r o t e c t each o t h e r ' s i n t e r e s t s . 2 4  Identity  i s here  equated with  individual  freedom and community  with i n d i v i d u a l j u s t i c e . In  Kelman's  view,  rights  t o s e l f - f u l f i l l m e n t and d i g n i t y  are s o c i a l l y a c c e p t e d and e n f o r c e d p r o t e c t i v e devices, which assure people access t o c e r t a i n b e n e f i t s , defense a g a i n s t c e r t a i n harms, and c o n t i n u e d a b i l i t y to safeguard, t h e i r i n t e r e s t s , pursue t h e i r g o a l s and express and develop themselves. The value of r i g h t s i s that they reduce the dependence of an i n d i v i d u a l ' s (or 100  group's) w e l l - b e i n g on o t h e r s ' c a l c u l a t i o n s i n p a r t i c u l a r c i r c u m s t a n c e s of what i s b e s t f o r t h a t i n d i v i d u a l (or group) and f o r s o c i e t y at l a r g e . They r e p r e s e n t , i n p r i n c i p l e , non-contingent e n t i t l e m e n t s to c e r t a i n r e s o u r c e s and o p p o r t u n i t i e s . 2 5 R i g h t s are  not,  however,  a b s o l u t e and  about competing r i g h t s . considerations to  the  other,  reduced point  In weighing competing r i g h t s , one  r e l a t i v e cost  including  integrity  of  the  whichever  these  i s ultimately  rights  right  has  can  become  moral  be  systematic certain  a  say  that  right. the  For right  autonomous  its violation of  of  whether,  rights  is  their  itself  own  viewed as  of  i s being v i o l a t e d ;  right,  privacy as  conditions  and  harms that  We  there  a  subject  In r e s e a r c h i n v o l v i n g  special people  of  is,  an  the  case,  harm."  the  long-term  take  or  not  avoid  only  to  integrity  need to  to  prove  27  can  type; to  the  be or  viewed, they  in  can  be  possibility  of  secondary uses of government data, 101  26  important  " i t i s enough  i s no  confidentiality of  origin  given  m a i n t a i n the  Kelman argues,  the  crucial  ...That  g e n e r a l moral p r i n c i p l e s ,  reason,  by  considerations,  i n any  violation.  the  compared  The  making because of  to conform t o , and  that  as  would cause  i t s v i o l a t i o n causes measurable h a r m . " Invasions  harm.  i n harm-benefit  in e t h i c a l d e c i s i o n  a c t i o n s , d e f i n e d by  of,  their  that  integrity  a v o i d c a u s i n g harm, but  one  i s t h a t , although the  r e g a r d l e s s of  consequences  violating  is violated.  "functionally  force  the  consideration  that  right  rooted  demonstrated  Maintaining  of  of  r e l a t i v e s o c i a l cost e n t a i l e d  in a rights-based analysis  such r i g h t s  it  i s the  judgements have to be made  i n v a s i o n s of p r i v a c y occur  t o the extent  that record subjects are  unable t o c o n t r o l the amount of i n f o r m a t i o n  about themselves they  will  d i s c l o s e and the subsequent  will  be p u t . V i o l a t i o n s of c o n f i d e n t i a l i t y c o n s t i t u t e a  of  invasion  information for  of  about  privacy  and  a record  they  subject  whom i t was not intended,  that  uses t o which t h a t  occur  t o audiences  a promise t h a t was made t o  was c o l l e c t e d .  Invasion obvious research  of p r i v a c y  cannot  sense of a l a s t i n g subjects.  be d e s c r i b e d  that  subject  as a harm  i n j u r y or m e a s u r a b l e  i n the  damage  to the  I t can however be subsumed under the category  of harms t h a t A l a s d a i r M a c l n t y r e d e s i g n a t e s people  t o the experience  whether or not t h e i r  "moral wrongs", a c t s  of being  i n t e r e s t s a r e damaged  morally  people's autonomy, i s i n c o n s i s t e n t with  wronged,  in s p e c i f i a b l e ways.  In terms of Kelman's a n a l y s i s , i n v a s i o n of p r i v a c y , respect  28  by v i o l a t i n g  for their dignity  t h e r e f o r e a presumptive, or prima f a c i e cause of harm. When we  we  when  i n d i v i d u a l , e i t h e r e x p l i c i t l y or i m p l i c i t l y , a t the time the  information  and  sub-class  specifically  i s * disseminated  breaking  information  speak of the i n v a s i o n of p r i v a c y as a moral  are postulating a correlative r i g h t — t h e  that harm  i s being  violated.  i n i t s own  protection threats  against  In t h i s  to p r i v a c y —  sense too i t can be viewed as a  right.  Privacy  harmful  or u n p l e a s a n t  experiences,  against  and autonomy  of the s e l f ,  against  to the i n t e g r i t y  embarrassment  right  wrong,  or lowered  provides  self-esteem. 102  people  Invasions  with  some  of p r i v a c y not  only  subject  increase  i n d i v i d u a l s to  the  likelihood  of  the  possibility  harm  because  of  they  harm;  they  deprive  the  i n d i v i d u a l of p r o t e c t i o n a g a i n s t i t . 2 9 The  socio-historical  personal  information  specific  concerns about  feature  of  this  information  obtained  occassion whether  and  we  that  who  presents  an  of  do  not  the  foreground  i s that  problem  on  data,  obtain  than  the  The  consent,  s u p p l i e d the  data  data  number  one  the  level  an  the to  concern  part  the  subsequent  uses  for  a  clearly  agreed  interpersonal  i n a c c e p t i n g p e r s o n a l data, they have an o b l i g a t i o n to honour  the  failure  t o do  of r e c o r d At by  so  under  which  the  shows a l a c k of  record  others but  contract  the  to  subjects,  original  r e l a t i o n s h i p with  is  of  originally of  earlier  Researchers working with data c o l l e c t e d by  have a d i r e c t  of  c o n s i s t of  first  consent  the  at  a  i n d i v i d u a l s on  purpose.  to  containing  p r i v a c y . The d i s t i n g u i s h i n g  about  tacit  failure  ethical  relationships.  or  different  originally  use  the  research  from  The  to  i n v a s i o n of  assume  data.  different  brings  of  for a  can  individual of  kind  a n a l y s i s of government data  information  respect  f o r the p r i v a t e r i g h t s  l e v e l of wider s o c i a l v a l u e s ,  the major i s s u e r a i s e d  research  based  on  secondary  personal  space.  p r a c t i c e of opening i n d i v i d u a l l y  research,  thereby  information  analysis  containing  to  collected;  subjects.30  the  The  was  widening 103  i s the  the  of  government  reduction  of  identifiable  availability  of  data  private records personal  information,  may  weaken t h e  s u s t a i n between p r i v a t e and and  r e i n f o r c e s the  revealed  effect  known.  sense p e o p l e a l r e a d y  on  will,  Moreover, research  i n s o c i e t y may individual  that  society tries  p u b l i c domains because  in a r e s t r i c t e d context  publicly privacy  boundaries  supports  have t h a t p e r s o n a l sooner or  that  later,  reduces the  c a u s e d i f f u s e harm record  it  s u b j e c t s or  data  become level  independent  the  to  of  of i t s  groups from which  they a r e drawn, by c r e a t i n g an atmosphere of s u r v e i l l a n c e t h a t i s d e l e t e r i o u s t o the maintenance of p u b l i c t r u s t together  w i t h the p r o l i f e r a t i o n  maintained  on  individuals,  of d a t a  social  i n s o c i e t y . Taken  banks and  science  r e s e a r c h may  the tendency of p e o p l e t o l i v e " f o r the r e c o r d . " of. p r i v a c y and  confidentiality  subjects against  are  the p o s s i b i l i t y  other  designed  The  as w e l l as f o r e s e e a b l e f u t u r e c i r c u m s t a n c e s .  reinforce principles  to protect  of harm caused by  records  record  unforseeable  As Kelman has  argued  earlier: I f t h e y [ p r i v a c y a n d c o n f i d e n t i a l i t y ] were made c o n d i t i o n a l on c a l c u l a t i o n of t h e m a g n i t u d e of harm a n t i c i p a t e d [by d i s c l o s u r e ] t h e y would l o s e much of t h e i r p r o t e c t i v e v a l u e . . . . . I t i s p r e s u m e d t h a t any v i o l a t i o n [of the r i g h t t o p r i v a c y ] i s d a m a g i n g — i f not i n the s h o r t r u n , then i n the l o n g r u n ; i f not t o the p a r t i c u l a r i n d i v i d u a l i n v o l v e d , then to the l a r g e r s o c i e t y ( b y w e a k e n i n g an i m p o r t a n t protective mechanism).31 Rights Terry  are  Pinkard,  privilege etiquette  and  our "the  most demanding m o r a l r u l e s . citizen  i s not  of a n o t h e r . "  who  subject 3 2  bears a r i g h t to  the  does not  hold  to a  c h a r i t y or p r o f e s s i o n a l  P i n k a r d argues t h a t the 104  According  justification:  for  social  moral  science  reasoning  research that  must be  focuses  between people and  to which we  agreeing.  of  The  idea  judged w i t h i n a framework of  on  p r i n c i p l e s that  can  collection  hypothetical  presents  a critical  individual as  a  that of  personal  agreement between  degrees,  may,  that  the  individuals. and  The  such as  the  by  information  general  community  and  contract,  that  the  government  the  right  a to  information  agencies.  public  at  large;  researchers  corresponding  Researchers  argue  research  census or  between  research  s o c i a l benefits- and  i n the  rights  c o n t r a c t u a l agreement e x i s t s between the the  gathered  rights  the  exists  p o t e n t i a l l y embarrassing  investigations  argue t h a t  certain  in  required  social  can  albeit  legitimately override  gives  qualifies  that  i n t e r n a l revenue No  It  accept,  possesses  contract  i t s citizens  c e r t a i n types of  governments  to c o n f l i c t i n g r i g h t s —  because we  government  social  collect  by  r i g h t s of government.  i n p a r t i c u l a r cases,  government  information  dilemma, however, only  consenting  f o r persons.33  dilemma with r e s p e c t  r i g h t s v e r s u s the  moral  varying  of  shared  imagine people c o n t r a c t u a l l y  p a r t i e s r e s t s on the p r i n c i p l e of r e s p e c t The  are  that  should  have to  their be  in no  the  studies  be  absence  moral  rights  supported.  s t u d i e s should  the  will But  of  right of yield  to  their  substantial  they cannot  validly  supported even i n the  S e r i o u s l y , Ronald Dworkin observes t h a t  a  government.  of t h e i r v i o l a t i n g * i n d i v i d u a l r i g h t s to p r i v a c y . In Taking  105  such  face  Rights.  The dominant idea of u t i l i t a r i a n i s m i s the idea of a c o l l e c t i v e g o a l of t h e c o m m u n i t y a s a w h o l e ... I n d i v i d u a l r i g h t s a r e p o l i t i c a l t r u m p s h e l d by individuals. I n d i v i d u a l s have r i g h t s when, f o r some r e a s o n , a c o l l e c t i v e g o a l i s not a s u f f i c i e n t j u s t i f i c a t i o n f o r d e n y i n g them what t h e y w i s h , a s i n d i v i d u a l s , t o have, or t o do, or not a s u f f i c i e n t j u s t i f i c a t i o n f o r i m p o s i n g some l o s s or i n j u r y upon them.34 According  to  therefore,  this  they  argument,  trump  the  rights  needs  "trump"  and  utility,  interests  of  and,  social  researchers.35 Restrictions cogent  ethical  restrictions or  on  limitations  banks,  the  research  pervasive  reasons  on  the  use  application  of  of  but,  i n our  them.  society  In  the  strong ethical hamper,  same  on  that  standards  of  rejected.  part  account  o v e r r i d e s the w e l f a r e of  harm-benefit  of  the  process  assessments of  ethical  number of commentators have argued that emphasis  for  social render  unjust.36  i t is  Nazi medical the w e l f a r e  the i n d i v i d u a l — w a s  3 7  Although remain  that  Such a consequence i s  defended at the Nuremberg t r i a l s — t h a t  the community  way  perhaps,  worth remembering here that the p r i n c i p l e on which " r e s e a r c h " was  t h e r e are  i n f o r m a t i o n hamper  and,  valuable research. i t i s not  but  of evidence hamper p o l i c e work  confidential  undoubtedly,  clearly  unfortunate;  for  the a d m i s s i b i l i t y  will,  impossible  are  on  informed  decision-making  rights  consent of  will review  which  s u b j e c t , than  106  of  always  research, a  i t i s b e t t e r to put more  procedures  the  probably  on  stress  the  harm-benefit  calculations The  which p l a c e  justification  informed  the  of  the  or  subject's  consent  "informed" was  subjects  definition Any  h i s t o r y can  or  research  has  of  probe be  i s not  of  the an  consent i n t o an  " i m p l i e d " consent? Was  issue  for  is also  if  the  consent  persons.  riddled  with  individual's personal by  obtained.  researcher.  because  respect  justified  been  on  i s obtained  requirements  ambiguities.  behaviour  How  record  moral  Unfortunately, ethical  for s o c i a l  consent  satisfies  more r e s p o n s i b i l i t y  researchers  But  the  what  i f the  constitutes  consent  freely  given?  i t given? Were r e c o r d s u b j e c t s aware of a l l the p o t e n t i a l  uses of the i n f o r m a t i o n when they gave consent? The that  the  indicate  notion  of  context a  of  individuals  are,  agencies  i n which  person's  disclosure  personal  i m p l i e d consent  be  such a n a l y s e s  used  are  p r e s s . Such an  they  be,  However,  or  informal  aware  provide  f o r subsequent  It of  to  assumption  collected  consent be  to  information  about  that  possibility  that  statistical  analyses,  often to  reported imply  government  i n order  to  Since  they  must  in  the to  agencies.  services, personal  disclose  r e c e i v e b e n e f i t s , f o r example, 107  or  since  consent  s u p p l i e d to government  services, especially  themselves.  the  argued  r e q u i r e t h a t i n d i v i d u a l s p r o v i d e what i s o f t e n extremely information  can  hospitals, schools,  awareness i s sometimes taken  certain  the  can  the  r o u t i n e l y performed and  subsequent uses of p e r s o n a l data  on  is originally  information.  should  information may  implicit  personal or  data  i s based  that  medical  coverage, welfare, as  to  whether  to  any  freely  use  such  of  which  unemployment  d i s c l o s u r e can  that  information;  i s what c o n s e n t  Researchers object because  of  the  be  there  taken  certainly  as  i s some  question  "implied  consent"  i t has  not  been  given  implies.  to the  burden  Davidson Reynolds  insurance,  they  imposition  place  on  of  consent  research  requirements  activities.  Paul  argues:  i n many c a s e s i t i s e i t h e r i m p o s s i b l e o r i m p r a c t i c a b l e to o b t a i n the i n f o r m e d c o n s e n t of p a r t i c i p a n t s who provide information for archival records. The . . . p a r t i c i p a n t s may have moved t o an unknown l o c a t i o n , o r t h e number o f p a r t i c i p a n t s may be so g r e a t a s t o p r e c l u d e c o n t a c t w i t h a l l of them. " 3  Respect  for  the  demonstrated instead  be  by  In  substantial  the  seeking  body  the of  subjects;  identifiers procedures;  from  confidentiality projects;  and  While research  science  literature  data  has  the  raw  safeguards  i s no  community  are  the  identification or  separation  random  boards  that  incorporated  a  of of  sampling  ensure  into  that  research  3 9  appropriate  108  literature,  through  c l e a r consensus w i t h i n  regarding  subject  f o r example,  through  aggregation.  can  various  prevent  review  suggests,  detailing  destruction  data;  ethical  through data  there  the  typically  to p r o t e c t  research  developed  to  is  Reynolds  anonymity;  files  through  through  which  through measures taken social  of  subjects  consent,  for protecting subject  manipulation  record  records  informed  demonstrated  anonymity.  techniques  r i g h t s of  the  social  science  means f o r p r o t e c t i n g  subject in  privacy,  ethical  there  codes  safeguards,  to  confidentiality  is a clearly  and  articulated will,  guidelines,  as  well  demonstrate a commitment of  personal  information  as  enshrined  procedural  toward m a i n t a i n i n g used  in  the  research.  The  B e l l a g i o Conference r e i n f o r c e d the need f o r p r o f e s s i o n a l codes of e t h i c s i n the f o l l o w i n g P r i n c i p l e : P r o f e s s i o n a l or n a t i o n a l o r g a n i z a t i o n s s h o u l d have codes of e t h i c s f o r t h e i r d i s c i p l i n e s c o n c e r n i n g the u t i l i z a t i o n of i n d i v i d u a l d a t a f o r r e s e a r c h and s t a t i s t i c a l purposes. Such e t h i c a l c o d e s should f u r n i s h m u t u a l l y a g r e e a b l e s t a n d a r d s of b e h a v i o u r g o v e r n i n g r e l a t i o n s between p r o v i d e r s and u s e r s of governmental d a t a . ^ 4  Since  the  late  increasingly, procedures  1960s,  funding  demanded  to p r o t e c t  that  the  bodies  for  social  researchers  c o n f i d e n t i a l i t y of  research  undertake research  have, formal  subjects.  In response, s o c i a l  science  a s s o c i a t i o n s have become i n v o l v e d  developing  ethics  for  specific  codes of  obligations  with  social  respect  to  research the  that  rights  in  incorporate of  research  subjects. In  1977,  published  the  Canada C o u n c i l ' s  a set of p r i n c i p l e s and  humanities and i n c l u d e d the  social  following  sciences.  Consultative guidelines  Group on  for research  Ethics in  Among i t s d i s c o v e r i e s , the  observation:  I t i s w e l l known t h a t p s y c h o l o g i c a l e x p e r i m e n t a t i o n , sociological survey, educational testing and anthropological investigation a l l involve ethical i s s u e s , but i t i s l e s s w e l l r e c o g n i z e d that the ...linguist, demographer, p o l i t i c a l scientist . . . h i s t o r i a n , biographer and a r c h a e o l o g i s t a l s o gather d a t a t h r o u g h d i r e c t and i n d i r e c t c o n t a c t with people 109  the  group  The  C o n s u l t a t i v e Group c r i t i c i z e d the  codes  to  address  the  Concluding  that  presence  or  absence of  not  methodology  the  direct  impact  i t i s not  on  and  direction  ethical  ethical  issues  ethical  the  that  codes of  defend  privacy  ethics.  research  information  i n the  that  were  "but  historian  data.  demonstrate  having  Group  on  the  access  The  to  provide  documentary  research  a  concern  for  The  major  with  the  individual  "right  to  freedom of  know."  adopted  has  containing  t r a d i t i o n a l grounds of  scholar's  issue in  Canada have not yet  records  tended  personal inquiry;  that must 44  be  Canadian  Robert C r a i g Brown, f o r example, argues t h a t :  At bottom, the manic p u r s u i t i n government agencies and university administration for codes, guides, r e g u l a t i o n s and b u r e a u c r a t i c impediments i s a disavowal of t r u s t i n the i n t e g r i t y of the r e s e a r c h e r and h i s or her r e s e a r c h . ....What i s needed, P r o f e s s o r [ R o b e r t ] Graham concluded i n 1971, " i s a r e a f f i r m a t i o n of the p r i n c i p l e that as f a r as the world of s c h o l a r s h i p i s concerned, the p u b l i c i n t e r e s t i s s e r v e d by p r o t e c t i n g t o the g r e a t e s t p o s s i b l e extent the freedom of the s c h o l a r , 110  to  historical  h i s t o r i c a l profession  to  a  4 2  community.  4 3  or  proposed  unexplored as a s u b s t a n t i v e  S t a t e s and  the  whether  research  i s viewed g e n e r a l l y as a non-absolute r i g h t  balanced  of  determines  "intended  i n the  biographers."  research  a s s o c i a t i o n s i n the U n i t e d  to  that  Consultative  involved  remained l a r g e l y ,  historical  formal  discipline  uses  ethical  t h i s prodding, the need f o r a s p e c i f i c commitment  principles  r i g h t s has  secondary  results  the  guidelines  of  considerations,  employed  pursued by h i s t o r i a n s and Despite  the  people"  principles on  subject  f a i l u r e of e x i s t i n g  provided that i t i s coupled responsibility."  with  a  sober  sense  of  4 5  This  point  scholarly  of  view,  research  predicated  i n the  pursuit  on  an  of  aristocratic  ideal  knowledge, p e r s i s t s as  moral j u s t i f i c a t i o n behind h i s t o r i a n s ' demands f o r g r e a t e r to government records justification need to  for research  understand  cavalier  containing personal  attitude  itself toward  Bogue, former p r e s i d e n t in  the  full  United  government." ^ 4  on the grounds of s o c i e t y ' s betrays,  occasionally,  f o r example,  of  an  Arguing  may  be  as  archivists  not  to  abet  data  useless or  " h y s t e r i a over p r i v a c y . "  n  see[s]  individual's  that  restrictions  a  The  moral  collective  dangerously  as  under data  History no  the  access  i n d i v i d u a l r i g h t s to p r i v a c y .  of the S o c i a l Science  States,  disclosure  information.  of  Allan  Association  great  threat  transactions  in  with  extreme c o n f i d e n t i a l i t y destroyed,  contribute  to  what  Bogue he  urges  terms  the  Instead:  we must p r e v e n t r e s t r i c t i o n s i n mindless ways or the r e s u l t w i l l be the d e s t r u c t i o n of data of h i s t o r i c a l consequence or r e s t r i c t e d a c c e s s f o r r i d i c u l o u s l y long p e r i o d s of time. The p o s i t i o n t h a t we s h o u l d c l o s e r e c o r d s t o p r o t e c t i n d i v i d u a l s i s much l e s s i n the i n t e r e s t s of the h i s t o r i c a l researcher and the p u b l i c than i s the p r i n c i p l e t h a t there should be a p p r o p r i a t e p e n a l t i e s f o r the misuse of i n f o r m a t i o n d e r i v e d from personal records... 4 7  Such a s o l u t i o n , which focuses a  p a r t i c u l a r invasion  caused by despair;  of  on  privacy,  invasive acts generally, i t i s a d e n i a l of the  the measurable consequences of rather  than  the  d i f f u s e harm  i s not only a remedy of  f u l l moral s i g n i f i c a n c e of 111  privacy  invasion. David  Flaherty  maintains  that  group, u n l i k e  social  basic  i s s u e s of data use" ** i s rooted  ethical  orientation historians entering  of h i s t o r i a n s  client  engaging  of p e r s o n a l  commitment the  pursuit  given  concern  the  past  not c o n f r o n t e d  generations. about  information,  as  those  Since persons, of  of some  oral social  s e n s i t i v e i s s u e s concerning t h e absence  t o the p r i n c i p l e s of p r i v a c y of r e s e a r c h  living  s i m i l a r t o that  similarly  certain  i n the t r a d i t i o n a l  r e l a t i o n s h i p s , such i n research  h i s t o r i a n s as a  of a c l e a r l y  the  stated  and c o n f i d e n t i a l i t y i n  i s a g l a r i n g omission  that  i s untenable  the e s c a l a t i n g p u b l i c concern over i n v a s i o n s of p r i v a c y . Higher  of  toward  are, increasingly, writing  s c i e n t i s t s and f a c i n g use  "have 4  into  historians,  scientists,  the reason  standards f o r h i s t o r i c a l f o r the i n t e g r i t y  individuals  guidelines  whose  a r e needed  research  of r e s e a r c h  lives  t o ensure  need t o be s e t out  itself,  i t touches. that  P r i n c i p l e s and  v i o l a t i o n s of p r i v a c y a r e  minimized and, wherever p o s s i b l e , e l i m i n a t e d . record,  a r c h i v i s t s are obligated  f o r mediating the competing c l a i m s hand,' and i n d i v i d u a l p r i v a c y remains  i s how  f o r research  on the o t h e r .  access on the one  The q u e s t i o n  a r c h i v i s t s a r e to a c h i e v e an e q u i t a b l e access.  take  enhance,  will  As keepers of the  to assume some r e s p o n s i b i l i t y  between p r i v a c y and r e s e a r c h that  as much as f o r  responsibly  trust? 112  that  balance  What measures can a r c h i v i s t s rather  than d e s t r o y  public  CHAPTER IV ENDNOTES 1. C a l g a r y H e r a l d 13 February 1986: A22; Globe and M a i l February 1986: A21; Winnipeg Free Press 11 February 1986: 16. Life, 1915)  11  2. E m i l e D u r k h e i m , The E l e m e n t a r y Forms of the R e l i g i o u s t r a n s . J o s e p h Ward SwaTn (London: George A l l e n & Unwin, 429.  3. The eighteen B e l l a g i o P r i n c i p l e s are o u t l i n e d i n David H. F l a h e r t y , "The B e l l a g i o Conference on P r i v a c y , C o n f i d e n t i a l i t y and the use of Governmental M i c r o d a t a , " Secondary A n a l y s i s : New D i r e c t i o n s f o r Program E v a l u a t i o n , ed. Robert F. Boruch (San F r a n c i s c o : Jossey-Bass Inc., 1978) 19-30. 4. P e r s o n a l P r i v a c y i n an Information S o c i e t y : Report of the P r i v a c y P r o t e c t i o n Study Commission (Washington, D . C : Government P r i n t i n g O f f i c e , 1977) 573. 5. P r o s e c u t o r s , g r a n d j u r i e s , l e g i s l a t i v e b o d i e s , c i v i l l i t i g a n t s , and a d m i n i s t r a t i v e agencies a l l can use t h e i r subpoena powers to compel d i s c l o s u r e of c o n f i d e n t i a l r e s e a r c h i n f o r m a t i o n . The t h r e a t of a subpoena has been used f o r h a r a s s m e n t and i n t i m i d a t i o n by law e n f o r c e m e n t o f f i c i a l s s e e k i n g s e n s i t i v e research information. F o r example, a 1973 s u r v e y of d r u g t r e a t m e n t c e n t e r s f o u n d t h a t a l m o s t o n e - t h i r d of the c e n t e r s r e s p o n d i n g t o t h e s u r v e y r e p o r t e d a t l e a s t one i n s t a n c e of d i f f i c u l t y i n p r o t e c t i n g the c o n f i d e n t i a l i t y of t h e i r r e c o r d s . The most f r e q u e n t l y c i t e d d i f f i c u l t y c o n c e r n e d r e q u e s t s f o r i n f o r m a t i o n from the p o l i c e ; almost 10 percent of the c e n t e r s had a c t u a l l y been threatened with a subpoena. Robert F. Boruch and J o e S. C e c i l h a v e i d e n t i f i e d n u m e r o u s examples where t h e c o n f i d e n t i a l i t y of r e s e a r c h n o t e s has b e e n t h r e a t e n e d by subpoena. See Boruch and C e c i l , A s s u r i n g the C o n f i d e n t i a l i t y of S o c i a l R e s e a r c h D a t a ( P e n n s y l v a n i a : U n i v e r s i t y of Pennsylvania P r e s s , 1979). 6. S i s s e l a Bok, S e c r e t s : On the E t h i c s of R e v e l a t i o n (New York: V i n t a g e Books, 1983) 235.  Concealment  and  7. J o h n A. R o b e r t s o n , "The S o c i a l S c i e n t i s t ' s R i g h t to R e s e a r c h and the IRB System," E t h i c a l Issues i n S o c i a l Science R e s e a r c h , ed. Tom L. Beauchamp, Ruth R. Faden, R. Jay Wallace, J r . , LeRoy W a l t e r s ( B a l t i m o r e and L o n d o n : J o h n s H o p k i n s U n i v e r s i t y P r e s s , 1982) 356.  113  8. W. S p i n r a d , quoted i n Robert T. Bower and P r i s c i l l a G a s p a r i s , E t h i c s i n S o c i a l Research: P r o t e c t i n g the I n t e r e s t s Human S u b j e c t s (New York: Praeger P u b l i s h e r s , 1978) 46.  de of  9. See "On the E t h i c s of D i s g u i s e d O b s e r v a t i o n : an exchange between Norman Denzen and Kai E r i k s o n , " S o c i a l Research E t h i c s , ed. M a r t i n Bulmer (New York: Holmes and Meier, 1982) 143. 10. Thomas S. Kuhn, The S t r u c t u r e of S c i e n t i f i c R e v o l u t i o n s 2nd ed. (Chicago: U n i v e r s i t y of Chicago P r e s s , 1970) 68. 11. See Paul Davidson Reynolds, E t h i c a l Dilemmas and S o c i a l S c i e n c e Research (San F r a n s i s c o : Jossey Bass, Inc., 1979) 228-229. 12. Reynolds  230.  13. See, f o r example, N. Peterson, "Forbidden Knowledge," The S o c i a l Contexts of Research, ed. S.Z. Nagi and R.G. Corwin (New York: John Wiley, 1972) 289-322. 14. Q u o t e d in J. Edsall, "Scientific R e s p o n s i b i l i t y , " S c i e n c e 188 (1975): 687-93.  Freedom  and  15. A l a s d a i r M a c i n t y r e , " R i s k , Harm, and B e n e f i t Assessments as I n s t r u m e n t s of M o r a l E v a l u a t i o n , " E t h i c a l Issues i n S o c i a l S c i e n c e Research, ed. Tom L. Beauchamp et a l 181. 16. Bower and de G a s p a r i s , E t h i c s  i n S o c i a l Research  29.  17. Joan C a s s e l l , "Does R i s k - B e n e f i t A n a l y s i s Apply to Moral E v a l u a t i o n of S o c i a l Research," E t h i c a l Issues i n S o c i a l S c i e n c e Research 144-162. 18. Donald P. Warwick, "Types of Harm i n S o c i a l E t h i c a l Issues i n S o c i a l S c i e n c e Research 103. 19. Tom Beauchamp, S c i e n c e Research 24.  introduction,  Ethical  Research,"  Issues i n S o c i a l  20. Herbert C. Kelman, " E t h i c a l Issues i n D i f f e r e n t S o c i a l S c i e n c e Methods," E t h i c a l Issues i n S o c i a l S c i e n c e Research 42. 21. Warwick, "Types of Harm" 103.. 22. Kelman 42.  114  23. Immanuel K a n t , The F u n d a m e n t a l P r i n c i p l e s of t h e Metaphysics of E t h i c s , t r a n s . 0~. M a n t h e y - Z o r n (New York: A p p l e t o n - C e n t u r y - C r o f t s , 1938) 47. 24. Kelman  43.  25. Kelman  45.  26. Kelman  89.  27. Kelman  46.  28. M a c l n t y r e , 29. Kelman  48.  30. Kelman  82.  31. Kelman  89.  "Risk, Harm, and B e n e f i t Assessments"  177.  32. T e r r y P i n k a r d , "Invasions of P r i v a c y i n S o c i a l Science Research," E t h i c a l Issues i n S o c i a l Science Research 267. 33. P i n k a r d  270.  34. R o n a l d D w o r k i n , T a k i n g R i g h t s S e r i o u s l y Massachusetts: Harvard U n i v e r s i t y P r e s s , 1978) x i .  (Cambridge,  35. John A. Robertson and E.L. P a t u l l o argue t h a t there may be c o n s t i t u t i o n a l grounds under the f i r s t amendment to p e r f o r m r e s e a r c h but as T e r r y P i n k a r d makes c l e a r , there are no moral or l e g a l grounds whatever t h a t would s u p p o r t a r i g h t t o p e r f o r m r e s e a r c h s u f f i c i e n t t o o v e r r i d e i n d i v i d u a l r i g h t s to p r i v a c y . See Robertson, "The S o c i a l S c i e n t i s t ' s Right to Research and the IRB System," E t h i c a l Issues i n S o c i a l Science Research 356-372; and E.L. PatulloT "Modesty i s the Best P o l i c y : the F e d e r a l Role i n S o c i a l R e s e a r c h , " E t h i c a l Issues i n S o c i a l S c i e n c e Research 373-390. 36. P i n k a r d  272.  37. The p r e c i s e p h r a s e was, "the w e l f a r e of the s p e c i e s o v e r r i d e s the w e l f a r e of the p a r t i c u l a r man." Quoted i n Bower and de G a s p a r i s , E t h i c s i n S o c i a l Research 4. 38. Reynolds,  E t h i c a l Dilemmas  216.  115  39. See, f o r example, Richard I. Hofferbert, " C o n f i d e n t i a l i t y , P r i v a c y and S o c i a l D a t a A r c h i v e s : Special Problems f o r P o l i c y A n a l y s i s , " A r c h i v i s t s and Machine-Readable R e c o r d s , p p . 224-227 ; R o b e r t F. B o r u c h and Joe S~. Cec i 1, S o l u t i o n s to E t h i c a l and L e g a l Problems i n S o c i a l Research (New Y o r k : Academic P r e s s , 1983); B o r u c h and C e c i l , A s s u r i n g the C o n f i d e n t i a l i t y of S o c i a l Research Data (Pennsylvania: U n i v e r s i t y o f P e n n s y l v a n i a P r e s s , 1979); D a v i d H. F l a h e r t y , P r i v a c y and Government Data Banks: An I n t e r n a t i o n a l P e r s p e c t i v e " (London: M a n s e l l , 1979). 40. F l a h e r t y ,  "The B e l l a g i o Conference" 26.  41. Canada C o u n c i l , C o n s u l t a t i v e (Ottawa: The Canada C o u n c i l , 1977) 5. 42. Canada C o u n c i l , E t h i c s  Group  on E t h i c s ,  Ethics  5.  43. According to Joan H o f f - W i l s o n , "Neither the O r g a n i z a t i o n of American H i s t o r i a n s , nor the American H i s t o r i c a l A s s o c i a t i o n has a d o p t e d any e t h i c a l g u i d e l i n e s beyond endorsing the 1966 Statement on P r o f e s s i o n a l E t h i c s approved by the c o u n c i l of the American A s s o c i a t i o n of U n i v e r s i t y P r o f e s s o r s . The q u e s t i o n s of r e s e a r c h and access are not s p e c i f i c a l l y addressed i n t h e AAUP statement." "Access to R e s t r i c t e d C o l l e c t i o n s : the R e s p o n s i b i l i t y of P r o f e s s i o n a l H i s t o r i c a l Organizations," American A r c h i v i s t 46 .4 ( F a l l 1983): 442. 44. See, f o r example, A l l a n Bogue, "Data Dilemmas: Q u a n t i t a t i v e H i s t o r y and the S o c i a l Science H i s t o r y A s s o c i a t i o n , " S o c i a l Science H i s t o r y 3 .3-4 (October 1979): 212. 45. R o b e r t C r a i g Brown, " G o v e r n m e n t and H i s t o r i a n : A P e r s p e c t i v e on B i l l C-43," A r c h i v a r i a 13 (Winter 1981-82): 123. 46. A l l a n G. Bogue, " H i s t o r i c a l Research and S t a t e Data," A r c h i v i s t s and Machine-Readable Records 26.  Archival  47. Bogue, "Data Dilemmas" 213-14. 48. D a v i d H. F l a h e r t y , " P r i v a c y and C o n f i d e n t i a l i t y : The R e s p o n s i b i l i t y of H i s t o r i a n s , " Reviews i n American H i s t o r y 8 (September 1980): 419.  116  V  NEGOTIATING FOR THE PUBLIC GOOD: ARCHIVISTS AND SOCIAL RESPONSIBILITY  A r c h i v e s a r e not drawn up i n the i n t e r e s t of or f o r the i n f o r m a t i o n of P o s t e r i t y . Sir Hilary  In  "Privacy L e g i s l a t i o n :  Implications  Jenkinson  f o r Archives,"  Judith  Rowe suggests t h a t a r c h i v i s t s a r e "uniquely q u a l i f i e d t o p l a y the role  of 'honest  researchers." by  Alice  access  in  records  the r e a l i t y  bore out an e a r l i e r  t h e pages  standards privacy  and a c c e s s  archivists  issues  for social  of p r i v a c y , and  research,  indicates,  The r e s u l t s  2  a s s e r t i o n , made by Margaret Archivist,  that  government  information  Reluctant  because they  of her  Hedstrom  the c l e a r l a c k of  f o r r e c o n c i l i n g competing  within  of mediators of the flow and,  policy  i n t e r e s t s of  bureaucracies  r e l u c t a n t t o "become i n v o l v e d i n determining  regulate] personal ambiguous."3  and tomorrow's  s t a t e a r c h i v e s , conducted  i s otherwise.  of Midwestern  and mechanisms  today's c i t i z e n s  of f i f t y  of the p u b l i c  to r e s t r i c t e d that  between  A 1982 survey  1  Robbin,  however, survey  broker'  viewed t h e i r  made  [how t o r o l e as  or not, a r c h i v i s t s a r e assuming the r o l e of i n f o r m a t i o n  i n c r e a s i n g l y , technology.  According 117  between a g e n c i e s ,  users,  t o A l i c e Robbin, " i t i s  therefore of  critical  t h a t g u i d e l i n e s be  information  the  [archives]  r e s p o n s i b i l i t i e s of the a r c h i v i s t for  a d m i n i s t r a t i v e procedures  access,  and  procedures In  this  have  description  e s t a b l i s h e d f o r the will  accept,  for  the  in protecting this information,  to p r o t e c t and  of  types  these  data,  control and  the  for  flow,  technical  to ensure n o n d i s c l o s u r e of c o n f i d e n t i a l i n f o r m a t i o n . "  chapter,  attempted  we to  will  examine the  negotiate  access w i t h i n the new  claims  ways  i n which  4  archivists  f o r p r i v a c y and  research  i n f o r m a t i o n environment.  Within the i n t e r n a t i o n a l a r c h i v a l community, t h e r e have been c o n t i n u i n g e f f o r t s to s t a n d a r d i z e access r e g u l a t i o n s that the competing c l a i m s f o r access and restriction  which  allows  d i s c l o s u r e of i n d i v i d u a l l y files  for a  nineteenth the  specified  century,  principle  for  individual privacy.  the  r e t e n t i o n and  balance A common  eventual  i d e n t i f i a b l e r e c o r d s i s the c l o s u r e of  time  p e r i o d . At  the  a c o n s i d e r a b l e number of  that p u b l i c documents might  be  beginning countries  of  the  accepted  made a v a i l a b l e  on  the e x p i r y of a set t i m e - l i m i t , which would vary a c c o r d i n g to the c a t e g o r i e s of document. that  the  reasons  d i m i n i s h over t i m e . " that apply  time to  for 5  or  passage of  time  appropriateness  principle of  "assumes  denying  access  A r c h i v i s t s c i t e t h i s p r i n c i p l e when a r g u i n g  restrictions the  The  must be  r e l e a s e of  placed  records  and  on  any  exemptions  i t i s recognized  P r i v a c y A c t ' s p r o v i s i o n that p e r s o n a l r e c o r d s cease twenty years a f t e r the r e c o r d s u b j e c t ' s 118  death.  which in  the  to be p r i v a t e  The notion it  system  of  c l o s e d p e r i o d s was  of documentary  i s now.  In  the  nineteenth  assumed s i g n i f i c a n t concept  accountability  was,  i n an  era when  perhaps, c l e a r e r  century,  r e g u l a t o r y and  of a p u b l i c document was  born  the  s t a t e had  the than  not  yet  social service functions.  The  more c l e a r - c u t because the power  of the s t a t e to a d m i n i s t e r the l i v e s of o r d i n a r y c i t i z e n s was n e a r l y so great as i t i s now information  that c o u l d ,  and  legally  about i n d i v i d u a l c i t i z e n s was The  system  historiographical The  scholarly  through tended  of  the amount of s e n s i t i v e and  technically,  fairly  closed  to  periods  political  and  also  historical  the l e n s of n i n e t e e n t h c e n t u r y to p r o j e c t an social  elitist  vision  change. The  personal collected  limited.  framework very d i f f e r e n t  approach  be  grew  out  of  from the present records  was  national politics,  great  statesmen.  eventually  be  open  warfare  The  principle  for research  of  the  causes  underlying  of documentation on  diplomacy that was  these  were p u b l i c records documenting  state  was  the  need  based  clearly  accountable  to p r o t e c t the  more  on  and  such  less  confidentiality  of  the  careers  of  problematic  because  and,  f o r which  perhaps,  certain  the  because  records  was  than  the  i s s u e of p e r s o n a l p r i v a c y ; a c o n s i d e r a t i o n f o r which the  119  events  should  national security  of time p r o v i d e d an a c c e p t a b l e a n t i d o t e .  the  records  activities  to h i s t o r y  c o n s i d e r a t i o n s of  one.  " s c i e n t i f i c " h i s t o r y which  sources  and  an  filtered  past to which h i s t o r i a n s turned were those documenting the of  not  on  passage  Today, the emphasis of h i s t o r y has s h i f t e d d r a m a t i c a l l y and the  concept  of a " p u b l i c " document  Changing p e r c e p t i o n s the  lives  of p r i v a t e  technical resulted a  means  regarding  coupled  to collect,  store  long  and m a n i p u l a t e  The p r i n c i p l e i s u n d e r m i n e d  information  will  diminish  i s long  enough?  access  i n the  data  has  both as  to personal  by t h e s p e c u l a t i v e  i s , that  the s e n s i t i v i t y of  with the passage of time.  The s e n s i t i v i t y  play i n  improvements  for negotiating  nature of i t s b a s i c assumption, that any  with  of the system of c l o s e d p e r i o d s  p r i n c i p l e and t e c h n i q u e  information.  so c l e a r - c u t .  the r o l e government should  citizens,  i n some e r o s i o n  i s no l o n g e r  of c e r t a i n  But how  government  r e c o r d s may be reduced i n the eyes of the c r e a t i n g agency a f t e r a certain  period  of time because the r e p e r c u s s i o n s  have on the agency have passage  of t i m e .  On  painful  or p r i v a t e  not d i m i n i s h  sufficiently  the other  life  records—mental health might argue t h a t ,  been  hand,  experience  disclosure  minimized  will  with the  i n d i v i d u a l s whose most  i s documented  f i l e s or c r i m i n a l case f i l e s  f o r them, the s e n s i t i v i t y  in certain  f o r example—  of such r e c o r d s  does  s i g n i f i c a n t l y over time.  While i t i s assumed g e n e r a l l y t h a t the r i g h t t o p r i v a c y ends with death, the l e g i t i m a c y of that assumption has been by  some  philosophers  themselves "extension an  who  can extend  of s e l f "  individual's  argue  beyond  that  their  people's  physical  challenged  notions  limits.  i s a complex phenomenon—is i n f o r m a t i o n family,  information 120  about  that  of This  about  individual?  Stanley  Benn  parents,  children  based  or s i b l i n g s ,  on a f e e l i n g  the other The most  person.  o l d laws  continue  of s e l f  governing  to protect  of s e l f "  may be  f o r or i d e n t i f i c a t i o n  argument  access  particularly  According  i s accepted  with  to a r c h i v e s  implicitly in  which  include  i n archive l e g i s l a t i o n  to Michel  e x p r e s s l y s t a t e s that  their  the " e x t e n s i o n  " f a m i l y honour"; many of these p r o v i s i o n s  i n c l u d e s not only l i v i n g and  d i s c l o s u r e s about  6  to exist,  America.  involving  of r e s p o n s i b i l i t y  extension  provisions  law  argues t h a t , i n cases  Duchein,  the n o t i o n persons  in Latin  " i n many c o u n t r i e s , the  of p r o t e c t i n g p r i v a t e  life  but a l s o the memory of the dead  families" : 7  The negative consequences of r e v e a l i n g an i l l e g i t i m a t e b i r t h , f o r example, may a f f e c t t h e d e s c e n d a n t s of a family several generations later. L i k e w i s e , the d i s c l o s u r e of an i m p r o p r i e t y committed i n the past can be s e r i o u s l y damaging to the p e r p e t r a t o r ' s descendants and f a m i l y even long a f t e r h i s death.8 The  principle  i s invoked  i n France  through  the w i t h h o l d i n g of  i n f o r m a t i o n about h e r e d i t a r y d i s e a s e s f o r 150 y e a r s . The could  n o t i o n of " f a m i l y honour" c l e a r l y  be used  access  i n an a r b i t r a r y  to c e r t a i n  Nevertheless, interpretation of  manner as a p r e t e x t  documents  regardless  the demonstrated  of the r i g h t  i n v a s i o n of p r i v a c y  i s open t o abuse and  of t h e i r  plausibility  to privacy i n c e r t a i n  have  been  for refusing  made  on s u c h  dates. of  this  cases—claims grounds, f o r  example, i n cases where the " v i c t i m " never chose t o enter p u b l i c life—  9  undermines the e f f i c a c y of the passage of time 121  principle.  If and  i t i s to e f f e c t i v e l y their  protect  c o u l d be wielded i n such a way  issue  principle well.  of  of  how  closed  Although the  International associations, restrictions, period  both i n d i v i d u a l s of  i s the danger that the p r i n c i p l e  that i t prevents l e g i t i m a t e access  has  i s long  periods,  but  to  hand, and release  enough plagues, not  its practical  on  Archives  confirmed  i t s p o s i t i o n as  information  the to  and  and  p e r i o d of c l o s u r e may  At a recent  be  delegates  s p e c i f i e d time  the  on the other,  agreed  will  of r e s t r i c t e d  Access g u i d e l i n e s  that  have  s p e c i f i c time l i m i t s have not met Madrid Congress,  the  c l o s e d p e r i o d of no  l e a d to  of  one the  the  code f o r a c c e s s specified  time  concerning  access.H  attempted  to  e s t a b l i s h more  with much success. on  At the  Archives  1968  urged  than t h i r t y years f o r both p r i v a t e 122  a  of whatever  recommendations  International Council longer  "that  When the C o u n c i l  p r i n c i p l e of  i t f a i l e d to make any  the d e s i r a b l e d u r a t i o n  acceptable  r i g h t to p r i v a c y on the  necessary."10  confirmed  the  I.C.A. roundtable  of American A r c h i v i s t s announced i t s own  r e s t r i c t i o n s but  as  professional  what c o n s t i t u t e s an  privacy,  the r i g h t to i n f o r m a t i o n  national  p r i n c i p l e of  balance between the  i t too  the  application  of a l l r e s t r i c t e d m a t e r i a l at the c o n c l u s i o n  1973,  only  i n t e r n a t i o n a l a r c h i v a l community, through  of c l o s u r e remains vague.  access  Society  long  Congress  well proportioned  in  of  records. The  on  privacy  f a m i l i e s , i t must impose a p r o h i b i t i v e l y long p e r i o d  c l o s u r e ; at the same time, there  to  the  a and  public  records.  In 1972, under  I.C.A. p u b l i s h e d a d r a f t the  law on p r o d u c t i o n  development."  Under  12  a r c h i v e s would  time  limit  be synonymous with  violate  the matter t o which they  liberal  authors access  either  years;  Nevertheless, i of  their  personal "after  no longer  ...with  institutional  the d u r a t i o n  of  practice,  Kathy with that  Roe Coker, who respect periods  periods  values.  " c u r r e n t " from  every Given  1 3  of c l o s e d  reviewed  to access  periods  archival  ranged  "historical" 123  varies  policy  to c o n f i d e n t i a l  of c l o s e d access  legislation,  In a c t u a l  14  a t the  records,  i n length  from  subject.15  have eroded p a r t l y because, with  freedom of i n f o r m a t i o n  separating  privacy  community.  t w e n t y - f i v e years t o the death of the r e c o r d Closed  such a  the I.C.A. recommendations have n o t  by the a r c h i v a l  discovered  with  that  t h e p r i v a c y of i n d i v i d u a l s . "  c o n t r o v e r s i a l nature,  level  the c o n c l u s i o n of  have to be s a c r i f i c e d  been g e n e r a l l y accepted  state  containing  p r i v a c y or s t a t e  law a c k n o w l e d g e d  would be i n c o n f l i c t  ...should  i t clashes  greatly.  records  they defended i t on the grounds t h a t "the p r i n c i p l e  f r e e access  time  The g e n e r a l  refer."  of t h e d r a f t  policy  "into  law, t r a n s f e r t o  free access.  s e c r e t s would be c l o s e d f o r f i f t y years  The  legislation  the UNESCO/I.C.A. d r a f t  that might  of a c c e s s ,  l e g a l and t e c h n i c a l e x i g e n c i e s of modern  p r e s c r i b e d was t w e n t y - f i v e  information  of UNESCO, the  and r i g h t  i n t e n t i o n of which was t o b r i n g a r c h i v a l  l i n e with the p o l i t i c a l ,  an  the auspices  the passage  the i m a g i n a t i v e records  distance  has been e c l i p s e d  inasmuch as the Act comes i n t o e f f e c t a t the moment the documents are c r e a t e d ; and p a r t l y because of the i n c r e a s i n g i n t e r e s t by  researchers  to  reduce  closed  records, are  i n contemporary periods  i n c l u d i n g those  exempt  from access  breakdown  time  frame  demand f o r r e l a t i v e l y closed  on a c c e s s containing  under  of the 100 year  historians'  periods  h i s t o r y and the ensuing  personal  information,  r u l e which t r a d i t i o n a l l y  recent  pressure  c a t e g o r i e s of  freedom of i n f o r m a t i o n  f o r enquiry  of 30 years  f o r those  shown  has r e s u l t e d  which  laws.  d e f i n e d the  in a  greated  documents. H i s t o r i a n s maintain  or more do not f a c i l i t a t e  of c u r r e n t government p r a c t i c e ; i t permits  The  that  a critique  t h a t c r i t i c i s m only i n  retrospect.  Lengthy time r e s t r i c t i o n s a r e , t h e r e f o r e ,  unacceptable  t o h i s t o r i a n s s i n c e they would s e v e r e l y r e s t r i c t the  r e s e a r c h done on contemporary s o c i a l  considered  issues.16  Whether i n the case of documents c l a s s i f i e d  on the grounds  of p r o t e c t i o n of p r i v a c y , or documents which have not reached the time-limit invariably  for free  access,  make p r o v i s i o n  laws  and r e g u l a t i o n s  for special  permission.  almost  I f such a  p o s s i b i l i t y d i d not e x i s t , so the argument goes, whole c l a s s e s of archival  documents  historical special  clearance  essential The  research.  remain  definitively  The I.C.A. has endorsed procedures  f o r documents c l o s e d  principle  procedures,  would  i s manifested  inaccessiblefor the p r i n c i p l e of  on t h e g r o u n d s  that  they a r e  f o r extended p e r i o d s  of t i m e .  through  of  including screening, 124  a variety  1 7  access  d i s c r e t i o n a r y d i s c l o s u r e and  c o n t r a c t u a l agreements. The  screening  credentials project use  of r e s e a r c h e r s  or the n a t u r e  on t h e b a s i s  and v a l u e  i s one method of r e s t r i c t i n g  of, s e n s i t i v e personal  several  state  confidential legitimate  archives  purpose  Screening  of t h e p r o p o s e d  research  access  In t h e U n i t e d  files  screening  information information  under  "although  about  researchers'  discriminatory  imply  that  the a r c h i v e s '  there  test  f o r access  elitist  c o n t r o l as w e l l  1 9  and motives,  particularly  I.C.A.  draft  that  that issue  ...judgements  can they  act in this  i f the r e p o s i t o r y  is a  The a p p l i c a t i o n of an i n t e l l e c t u a l means  p o l i c y that i s incompatible  without  make  t o records c o n t a i n i n g p e r s o n a l  principles  as how  Helen Y o x a l l d e f i n e s the e t h i c a l  characters  manner,  archival  access  i s a legitimate  r e s e a r c h and that the  . . . a r c h i v i s t s may p r i v a t e l y  publicly-funded one?"  the a r c h i v i s t  to make judgements as to who can use the  can be used.  thus:  which  of  18  procedures  has a r i g h t  access t o  i n t e r v i e w s and c o n s u l t a t i o n s  d i s t i n c t i o n between s e r i o u s and non-serious archivist  States,  "the demonstration  by t h e r e s e a r c h e r , "  agency.  t o , as w e l l as the  s e t as a c o n d i t i o n of  case  a s c e r t a i n s through i n i t i a l with the source  research  records.  have  government  of  distinction  i s an  with the democratic s p i r i t of  have been d e v e l o p e d  law on p r o d u c t i o n  information  and r i g h t  since  of access  1945.  The  encourages  made between users^O n d the S o c i e t y a  of American A r c h i v i s t s ' 1973 statement on access 125  recommended that  a  repository  "should  materials  to any  Jean  Tener  not  grant  p r i v i l e g e d or  person or persons." has  argued  exclusive  use  of  should  be  21  forcefully  that  access  regarded a s s o m e t h i n g w h i c h c a n n o t be d i v i d e d i n t o o p e n c a t e g o r i e s f o r " s c h o l a r s " and c l o s e d c a t e g o r i e s f o r " s e n s a t i o n a l w r i t e r s , " or a v a i l a b l e to those with a "genuine" i n t e r e s t and u n a v a i l a b l e to those who l a c k an appropriate "appreciation." Access should be indivisible.22 That as  the  the  evident to  a  traditional  exclusive  notion  domain  of  "legitimate" h i s t o r i c a l  the  scholar  is  losing  research  ground  is  i n a recent c o u r t d e c i s i o n i n the Netherlands i n r e l a t i o n  r e f u s a l to grant  access  judge decided  i n favour  dividing  between  line  research  cannot  publication It  of  of the  a departure may  to  some government  a c c e s s and  solely  journalist.  this  secrecy  jurisdictions,  of Canada employs the  of  that,  The "the  non-scientific  the  nature  research  i n p r i n c i p l e be the  and  by  rule that,  p r i v a c y are mediated by way  Public Archives  a  research  r e s u l t of  preferable  to  j o u r n a l i s t , concluding  determined  c u r r e n t l y i n f o r c e regarding In  archives  scientific  f o r which the  i s therefore  research,  be  to  is  of  the  intended.  for serious  historical  made from  legislation  archives."23 competing  claims  for  of l e g i s l a t e d a c c e s s .  The  p r i n c i p l e of  discretionary  d i s c l o s u r e e s t a b l i s h e d i n s e c t i o n 8 of the P r i v a c y Act which i s a provision  permitting  that  been t r a n s f e r r e d to  has  archival  or  c o n t r o l l e d access to government  historical  the  purposes. 126  Public  Archives  Subsection  8(3)  information  of  Canada  for  permits  the  discretionary Archives;  d i s c l o s u r e of p e r s o n a l  information  by the P u b l i c  i t states that:  Subject t o any a c t of Parliament, p e r s o n a l i n f o r m a t i o n under the c o n t r o l of the P u b l i c A r c h i v e s t h a t has been t r a n s f e r r e d t o t h e P u b l i c A r c h i v e s by a government i n s t i t u t i o n f o r a r c h i v a l or h i s t o r i c a l purposes may be d i s c l o s e d i n a c c o r d a n c e w i t h t h e r e g u l a t i o n s t o any person or body f o r r e s e a r c h or s t a t i s t i c a l p u r p o s e s . 2 4  The  c o n d i t i o n s f o r d i s c l o s u r e of a r c h i v a l or h i s t o r i c a l  information Section if  f o r research  or s t a t i s t i c a l  6 of the P r i v a c y R e g u l a t i o n s .  the i n f o r m a t i o n  constitute individual ten years  an u n w a r r a n t e d  have e l a p s e d  in  i s permissible  t h a t d i s c l o s u r e would not  invasion  t o whom the i n f o r m a t i o n  purposes a r e s e t out Disclosure  i s of such a nature  personal  of t h e p r i v a c y  of t h e  p e r t a i n s ; o r , one hundred and  f o l l o w i n g the b i r t h  of the i n d i v i d u a l t o  whom the i n f o r m a t i o n p e r t a i n s ; or, i n cases where the i n f o r m a t i o n was  obtained  years  through the t a k i n g of a census or survey,  have e l a p s e d  ninety-two  f o l l o w i n g t h e t a k i n g of the census or survey  c o n t a i n i n g the i n f o r m a t i o n . ^ 2  Discretion information  to differentiate  between those  which would c o n s t i t u t e an u n w a r r a n t e d  p r i v a c y i s given t o the Dominion A r c h i v i s t . of p r i v a c y of p e r s o n a l the  will  i s d e s c r i b e d as "a s i t u a t i o n i n f o r m a t i o n would c l e a r l y  individual  interpreted have  types  t o whom i t p e r t a i n s "  i n the R e g u l a t i o n s direct  negative  i n v a s i o n of  Unwarranted i n v a s i o n  i n which the d i s c l o s u r e  result 2 6  of p e r s o n a l  i n harm or i n j u r y t o  (emphasis mine). I n j u r y i s  as any harm or embarrassment which  effects 127  on an i n d i v i d u a l ' s c a r e e r ,  r e p u t a t i o n , f i n a n c i a l p o s i t i o n , h e a l t h or w e l l - b e i n g . Four  interrelated  invasion  of p r i v a c y  individual; contents  f a c t o r s are taken  test  i n t o account  i n the  and i n c l u d e : the e x p e c t a t i o n s  of the  the s e n s i t i v i t y  and c u r r e n c y  of the i n f o r m a t i o n  ( t h e passage  p r o b a b i l i t y of i n j u r y ; and the context Each of these problematic last  chapter.  expectations nature  criteria  for ethical  of time  of the i n f o r m a t i o n  they  principle);  its the  2 8  have been d i s c u s s e d  i n the  to determine  respect  have  to  i n v a s i o n of p r i v a c y i s  i t is difficult  of i n d i v i d u a l s w i t h  relative  of the f i l e .  for testing  reasons that  First,  2 7  the  t o the c o n f i d e n t i a l  provided  t o a government  agency s i n c e p r o v i s i o n s f o r c o n f i d e n t i a l i t y a r e n o t o r i o u s l y vague in  many government a g e n c i e s .  test  here,  the a r c h i v i s t  the f o l l o w i n g q u e s t i o n :  In a p p l y i n g the i n v a s i o n of p r i v a c y  i s i n s t r u c t e d by the g u i d e l i n e s t o ask  "Was the i n f o r m a t i o n compiled  under guarantees which p r e c l u d e ...or  ...can  unsolicited expectation  some or a l l types  the information or g i v e n  of being  freely  maintained  be  of d i s c l o s u r e s  considered  t o have  or v o l u n t a r i l y in total  with  confidentiality  with  respect  t o the contents  and y e t no formal guarantees may e x i s t The  second c r i t e r i o n ,  been little  confidence?"^  q u i t e p o s s i b l e f o r an i n d i v i d u a l to have a reasonable of  or obtained  it  is  expectation  of a case  file  for i t s protection.  s e n s i t i v i t y of the i n f o r m a t i o n , may be  difficult  to. e s t a b l i s h s i n c e computer matching  blurred,  t o some  extent,  the d i s t i n c t i o n s 128  techniques between  have highly  s e n s i t i v e personal The  third  information  criterion,  assessed  in  disclosure  that  relation  of  the  to  and  the  the  information  fairly  innocuous  personal  entire  information  file  does not  "to  form  i n j u r i o u s to  contents  of  address  the  individual the  a  the  file  individual,"-^  on  total  an  only  part  individual;  context  of  i t does  personal  bases  information  will  of  a  be that  crucial  be expected  i n t o account not  information  i n v a r i o u s government data  d i s c l o s u r e of  takes  must  determine  segment of a l a r g e r p i c t u r e t h a t c o u l d reasonably be  information.  (and  the  cannot)  known  about  in assessing be  to  an  whether  i n j u r i o u s to  the  individual. Finally, measurable  a l l of  injury.  consequent i a l i s t measure harm. career,  these It  has  analysis  Because the  reputation  or  criteria been is a  account the d i f f u s e harm, not society invasions  as  a  whole,  the  evaluation  that  a  y a r d s t i c k with  of  purely which  to  must be measurable, v i s a v i s  p o s i t i o n , i t does not  only to the  individual,  which  results  from  The  principle  of  of p r i v a c y .  on  established faulty  injury  financial  hinge  the the  take to  the  accumulation  of  right  but  into  to  privacy  o b t a i n s even i n the absence of "measurable" harm. The  Privacy  information Privacy Act.  Regulations  for research Under  this  a l s o permit  i f the  head of  personal  purposes under paragraph 8 ( 2 ) ( j ) of clause,  personal  c o n t r o l of a government i n s t i t u t i o n may purposes  d i s c l o s u r e to  the  government 129  information  under  be d i s c l o s e d f o r institution  is  the the  research satisfied  that  the research  cannot  reasonably  be accomplished  information i s provided i n i n d i v i d u a l l y the  researcher  disclosure  access  a w r i t t e n statement  of the i n f o r m a t i o n w i l l  reasonably relates.  provides  be e x p e c t e d  to i d e n t i f y  series  that  form; and i f no subsequent  be made i n a form t h a t c o u l d  T h i s c l a u s e may be invoked to extensive  identifiable  unless the  the individual  t o whom i t  by a r e s e a r c h e r  of r e c o r d s  that  contain  who wants personal  i n f o r m a t i o n and that a r e s y s t e m a t i c a l l y o r g a n i z e d or r e t r i e v e d by the name of an i n d i v i d u a l or by an i d e n t i f y i n g number, symbol or other p a r t i c u l a r a s s i g n e d that  fall  i n t o t h i s category  Insurance  Commission  personnel  records  here  t o an i n d i v i d u a l . a r e case  benefit  and p i l o t s '  i s a c o n t r a c t u a l one.  files  claims files.  According  Examples of r e c o r d s such  files,  3 1  as Unemployment civil  service  The approach t o access  to the P u b l i c  Archives'  G u i d e l i n e s f o r D i s c l o s u r e of P e r s o n a l Information, the purpose of this clause i s t o p r o v i d e an avenue f o r r e s e a r c h and s t a t i s t i c a l analysis involving personal information, e s p e c i a l l y i n medicine and t h e s o c i a l s c i e n c e s , w h i l e making r e s e a r c h e r s f o r m a l l y accountable f o r the p r o t e c t i o n of i n d i v i d u a l p r i v a c y when they a r e allowed access t o such information. 3 2  Contractual archives  agreements  a r e commonly  confidentiality  for  personal information. need  for archival  between  used  to  r e s e a r c h e r s and government enforce  c l a s s e s of r e c o r d s In  standards  containing  1974, V i r g i n i a Stewart  repositories 130  to develop  of  sensitive'  a r t i c u l a t e d the  policy  "covering  acquisition,  custody,  t h e o r e t i c a l and on  access  and  access  legal perspective;  that  the  I l l i n o i s L i b r a r y had  Manuscript  3 3  to and  The  policy  records"  from  she d e s c r i b e d the  Section  developed i n order  p u b l i c welfare case f i l e s .  case  of  the  policy  University  to d e a l with  a  of  confidential  i n c o r p o r a t e s the f o l l o w i n g  conditions for access: Any p e r s o n w i s h i n g t o use c a s e r e c o r d s must make a p p l i c a t i o n , i d e n t i f y i n g h i m s e l f and stating his r e s e a r c h purpose. In t h i s a p p l i c a t i o n he w i l l agree to maintain the c o n f i d e n t i a l i t y of the s u b j e c t s and a l l persons mentioned i n case r e c o r d s . The a p p l i c a t i o n w i l l be reviewed by the M a n u s c r i p t L i b r a r i a n ...who will inform t h e a p p l i c a n t of the restrictions a p p l i c a b l e to the c o l l e c t i o n requested. A l l r e s e a r c h n o t e s a r e s u b j e c t t o r e v i e w by the Manuscript L i b r a r i a n f o r compliance with the a p p l i c a b l e restrictions. A copy of any p u b l i c a t i o n r e s u l t i n g from the r e s e a r c h s h a l l be p r o v i d e d by t h e u s e r t o t h e Manuscript Section. 3 4  The  researcher  archives  a l s o agrees to  against  any  l o s s or  "hold harmless and damage a r i s i n g  indemnify"  out  of  use  the  of  the  records. The  c o n t r a c t u a l l e t t e r of agreement between the a r c h i v e s  the researcher adopted by Michigan S t a t e A r c h i v e s r e s e a r c h e r s to accept the  theme developed  developed acquired the  to  c o n d i t i o n s on access by  permit  Stewart. research  The use  from a s t a t e h o s p i t a l f o r the  conditions  confidential  any  of  the  agreement,  identifiable  personal 131  obliges  that are v a r i a t i o n s on  letter of  i n 1978  and  of  mental  agreement health  criminally  records  insane.  researchers information  was  Under  must about  keep the  record  subject;  allow  prepared w r i t i n g s  based  to be reviewed by the s t a t e a r c h i v e s b e f o r e damages of  one  agreement; and agencies of  the  thousand d o l l a r s f o r v i o l a t i n g  p r o v i s i o n s of  the  to  the  indemnify and  Most  of  to one  contractual  i s an  e f f e c t i v e way  to the  need to p r o t e c t p e r s o n a l  to t h i s technique  i s that  process  s t a t e and  its  from the  use  accrue  or more of  the  to c e r t a i n  conditions  on  3 6  access  vetting  h o l d harmless  r e s p o s i t o r i e s make access  subject  described.  research  dissemination;  c o s t s or damages which may  records.35  Defenders  the  research pay  f o r any  just  their  to  sensitive materials use  on  agreements argue  of s e n s i t i z i n g privacy.  the  that  research  i n a manner many might the  community  A significant  i t r e q u i r e s a r c h i v i s t s to  of p u b l i c a t i o n s and  contracted  find  s c r u t i n y of  drawback  intercede  repellent.  research  in The  notes  is a  p r a c t i c e r i g h t l y abhorred by many a r c h i v i s t s because, they argue, it  s e t s up the a r c h i v i s t as the f i n a l a r b i t e r of what s t u d i e s  be  published:  that  the  archivist  position  taken  sensitive sees f i t , place"  3 8  to  by  allow  much d i s c r e t i o n a r y power p r e s e n t s will Helen the  become p o l i c e m a n Yoxall, researcher  that to  use  and  the  danger  censor."  " i f the  data  i t i n the  i s one  and  deterrence  way  too  he/she first  that deserves s e r i o u s c o n s i d e r a t i o n .  from the  ethical  dilemma posed by  v e t t i n g p u b l i c a t i o n s , there built  The  3 7  is  then i t i s r e a l l y too s e n s i t i v e to be seen i n the  Aside notes  "too  may  into contracted 132  reviewing  i s some concern  access,  by  way  of  research that  the  financial  penalties,  may  not be a s u f f i c i e n t l y  strong  guarantee  p r i v a c y r i g h t s w i l l be p r o t e c t e d by the r e s e a r c h e r . not  so much  contract;  whether  researchers  case,  be a b l e  their  research  of whether  t o uphold t h e i r  records  may be obtained  adequate  legal  promised  t o maintain  justification,  researchers  contract,  notes are subpoenaed.  research  f o r evidence  information involving  general  criminal actions.39  publisher ^ 4  whose p r i v a c y  offers  The  cannot small  fact  certainly  does  occur.  that  question  that  remains  be h e l d  a breach  whose  established  that  of records  individual  of secrecy  i s whether  such  are created  concerned  context  destroys  consented 133  a  system  issue  We  have  of  behind  of the i n d i v i d u a l  and a n o n y m i t y .  the a d m i n i s t r a t i v e  reputation  of c o n f i d e n t i a l i t y  right  degree  as a  t o the i n d i v i d u a l  the  reasonable  to  in disputes  accountable  addresses the r e a l  p r o t e c t i o n of p r i v a c y — the  The  the a r c h i v e s i s  p a t e r n a l i s t i c checks and balances  kinds  records.  and p u b l i c access  consolation  s u f f e r i n the event  has  i s complex, but the  i s v i o l a t e d or t o the a r c h i v e s  will  The  by subpoena, given  of those  of c o n f i d e n t i a l i t y  and, t h e r e f o r e  that  circumstances  seems h e a v i l y weighted toward the l a t t e r  indemnified  w i l l , in  whether or not the researcher  the c o n f i d e n t i a l i t y  between v a l u e s  their  i n the event  Under most  i s s u e of l e g a l p r o t e c t i o n of r e s e a r c h records balance  The i s s u e i s  can be t r u s t e d to uphold  i t i s more a q u e s t i o n  every  that  to a  already  i n which c e r t a i n  any  illusion  that the  "freely"  to the  original  disclosure  of  the information  dissemination.  C l e a r l y a system  periods,  privileged  anonymity  cannot  dispel  personal  privacy  that  when they access  l e t alone  access  surround  based  on c l o s e d  g u a r a n t e e s of  ambiguities  a great  come i n t o the custody  on use begs the q u e s t i o n  of access  or r e s e a r c h e r s '  the e t h i c a l  to s o - c a l l e d "serious  i t s subsequent  with  respect t o  many government  of the a r c h i v e s .  researchers"  of whether those  Restricting  or p l a c i n g records  records  conditions  should  be seen  at a l l . Rather personal  than  attempt  information,  to c o n t r o l the p o s t - d i s c l o s u r e use of  archivists  working  a r c h i v e s * and machine-readable d i v i s i o n s 4  have concluded direct  research  computers  that  access  to such i n f o r m a t i o n .  i d e n t i f i a b l e r e c o r d s , they  information  data reason,  the p r i v a c y  contained  elements  in  as c o n f i d e n t i a l  In t h i s approach, the r e p o s i t o r y maintains c o n t a i n i n g the raw data and the other  a p u b l i c use or d i s c l o s u r e f r e e format. processed  so t h a t  the s p e c i f i c  reduce  the power of  individually  i s to treat  f i l e s only when i n d i v i d u a l s cannot be i d e n t i f i e d .  one  archives  t o simply  Given  data  the only e t h i c a l and p r a c t i c a l  dilemma  i n records  science  of government  i t may be more a p p r o p r i a t e  to manipulate  way t o r e s o l v e  in social  a l l personal and t o r e l e a s e  4 2  two data  files—  c o n t a i n i n g the data i n Personal  information i s  i n d i v i d u a l s t o whom i t r e l a t e s  cannot be i d e n t i f i e d and thus the i n f o r m a t i o n can be r e l e a s e d f o r general  research  use.  For t r a d i t i o n a l 134  paper  records,  it  is  possible case  to remove or block out  files  4  3  .  with  i d e n t i f i e r s contained  machine-readable  records,  in textual there  are,  p r i m a r i l y , two approaches which can be taken with r e s p e c t to data anonymization.  The  first  i s by  completely  p i e c e s of i n f o r m a t i o n from the f i l e , The in  second approach one  or  categories  suppressed  aggregating  characteristics  and  of  of c r o s s  Naugler  information  way  as  submerging  classifications  i d e n t i t i e s by way  a  the  information.  d e t a i l of small samples and  Harold  by  various  that i s , d e l e t i n g v a r i a b l e s .  more v a r i a b l e s i n s u c h  identifying broader  i s by  removing  can  prevent  be  to  them  contained  eliminate  the  in successively  Various  data  c o l l a p s e d to  the d i s c l o s u r e of  can  limit  be the  individual  classification.  suggests  that,  "where p o s s i b l e ,  should be the d e s i r e d means to anonymize a data  file",  aggregation because:  Removing i n f o r m a t i o n from a f i l e always r e p r e s e n t s an absolute information loss. W h a t e v e r amount of knowledge about the s t u d y g r o u p was c o n t a i n e d i n a d e l e t e d v a r i a b l e i s c o m p l e t e l y u n a v a i l a b l e t o the r e s e a r c h e r , and s i n c e t h e i n f o r m a t i o n c o l l e c t e d f o r i n c l u s i o n i n a data f i l e g e n e r a l l y has a s p e c i f i c , and important purpose, i t s e l i m i n a t i o n a f f e c t s the u s e f u l n e s s of the other d a t a . S i m i l a r l y , aggregation represents i n f o r m a t i o n l o s s but u s u a l l y not as completely as does d e l e t i o n . The e f f e c t of a g g r e g a t i o n i s to reduce the degree of s p e c i f i c i t y of the d a t a . As a v a r i a b l e i s s u c c e s s i v e l y aggregated, fewer r e s e a r c h q u e s t i o n s can be addressed and fewer p r o b l e m s can be analysed. 4 4  A s u b s t a n t i a l body of l i t e r a t u r e has been developed census bureaus and variety  of  by government  s o c i a l s c i e n c e data a r c h i v e s which d e s c r i b e s a  methods  f o r anonymizing 135  data  and  for ensuring  that  users  of aggregated  Anonymization  cannot  identify  many  historical  research,  types  of r e s e a r c h ,  a g g r e g a t i n g data  e s p e c i a l l y many  point  or m i c r o - l e v e l  and  accessible form"  data 4 7  that  scholars  want  which  "preserved  establishes  i n separate records Social  aggregation basic upon  science  time, and c o r r e l a t i o n a l  relationships  Allan  data  between information  48  historian  of m i c r o - l e v e l  i n usable  Bogue  objects  on the grounds t h a t ,  to the "once the  i n d i v i d u a l u n i t of data i s gone and we a r e f o r c e d to depend an agency  scholar,  we  aggregative  can never  characteristics the  systems.  l o s s " of  which t r a c k s an  c h a r a c t e r i s t i c s of an i n d i v i d u a l , u s u a l l y by l i n k i n g held  types of  and u l t i m a t e  f o r l o n g i t u d i n a l research,  or group of i n d i v i d u a l s over  research,  4 5  of view, anonymizing or  i n v o l v e s "the suppression  raw  individual  subjects.  r e q u i r e the use of i n d i v i d u a l l y i d e n t i f i a b l e  From the r e s e a r c h e r ' s  4  record  procedures a r e time consuming and e x p e n s i v e .  Moreover,  records. ^  data  summary, or one done by an e a r l i e r  again  recapture  for certain." 9  the i n d i v i d u a l  S i m i l a r l y , i n a 1978 b r i e f t o  4  f e d e r a l government, the Canadian A s s o c i a t i o n  Teachers  (CAUT)  indicated  H i s t o r i c a l Association  that  of U n i v e r s i t y  both the CAUT and the Canadian  share the view t h a t :  C e r t a i n kinds of r e s e a r c h n e c e s s i t a t e access t o microdata a t an i d e n t i f i a b l e i n d i v i d u a l l e v e l , although the f i n a l r e s u l t of a r e s e a r c h e r ' s work might be of an anonymous or s t a t i s t i c a l n a t u r e . The p u b l i c a t i o n of aggregated i n f o r m a t i o n from census and other surveys i s not s u f f i c i e n t as i t cannot take i n t o c o n s i d e r a t i o n a l l of the concerns of s c h o l a r s . " 5u  136  Undoubtedly, procedures result  designed  to p r o t e c t c o n f i d e n t i a l i t y  i n some r e d u c t i o n i n the q u a n t i t y and  available  f o r g e n e r a l use;  v a l u e of the d a t a .  i t will  not,  As R i c h a r d H o f f e b e r t  quality  will  of the  however, d e s t r o y  data  the  net  maintains:  The p r i c e p a i d now i n c a u t i o n , p r o c e d u r a l development, and perhaps data i m p r e c i s i o n i s low compared t o t h e c o s t s to r e s e a r c h t a r g e t s t h a t might flow from breaches of c o n f i d e n t i a l i t y . And the s t r i c t u r e s which might be p l a c e d by p o o r l y informed and i n s e n s i t i v e l e g i s l a t i v e or b u r e a u c r a t i c a u t h o r i t i e s , i n the e v e n t of r e a l or c o n t r i v e d s c a n d a l , a r e f a r worse i n t h e i r p o t e n t i a l i n c a r n a t i o n s t h a n t h o s e w h i c h might be rationally p l a c e d by o u r s e l v e s upon our own r e s e a r c h a c t i v i t i e s . 5 1 Although  historians likely  will  continue  to urge a r c h i v i s t s  preserve a l l the records that w i l l be needed by s o c i a l and  to lobby government agencies  access to  to  records  a l l records  i s an  impossible  information,  expectation  and  change i n t h i s s t a t e of a f f a i r s seems u n l i k e l y since  requirements  continue  to  of  personal  prevail  history,52  on t h e i r behalf f o r more  containing personal  p r i v a c y and  in greater  or  lesser  a  to  liberal  total  access  significant  i n the near f u t u r e  confidentiality degree.  Even  will  i f the  s i t u a t i o n were to change, the q u e s t i o n remains whether a r c h i v i s t s have  a duty,  suggest,  as  some h i s t o r i a n s (and  to encourage  government  many a r c h i v i s t s )  agencies  to  loosen  seem to privacy  r e s t r i c t i o n s f o r the b e n e f i t of the r e s e a r c h community. In h i s "Moral Defence of warned  archivists  Archives haste,  due  to  guard  Archives," against  Sir Hilary  "haste  Jenkinson  in dealing  to a n x i e t y to make them a v a i l a b l e f o r use."53  i n Jenkinson's  estimation, 137  constituted a  form  of  with Such moral  negligence;  a  point  Liberalisation  of Access  S.N. and  Prasad  makes  clear  in  "The  Use":  the u l t i m a t e a l l e g i a n c e of the a r c h i v i s t . . . i s n e i t h e r to the e x i s t i n g a d m i n i s t r a t i o n , nor to the s c h o l a r s of today. H i s a l l e g i a n c e i s t o t h e r e c o r d s and t o documentation, which he holds i n s a c r e d t r u s t f o r the g e n e r a t i o n s t o come . . . P r e s e r v a t i o n of r e c o r d s must take p r i o r i t y over u t i l i s a t i o n . Undue p r e s s u r e from r e s e a r c h e r s might endanger d o c u m e n t a t i o n i t s e l f i n various ways. 54  When the S o c i e t y of American A r c h i v i s t s an  Archivist  of  the  archivist  definition and  i n 1984, as  i t reiterated "a  Jenkinson's  1922  kind of P u b l i c T r u s t e e . "  s t a t e d , "the a r c h i v i s t  the past  drafted i t s Definition  i s the  for future generations  ...a  of  definition The  5 5  t r u s t e e of  the  S.A.A. present  s t e a d f a s t keeper of  the  records h e l d i n t r u s t . "*> 5  The  archivist,  Jenkinson  "provide  to the best  of h i s a b i l i t y  and  other  duty, that of  r e s e a r c h workers."  s u b j e c t to the i s , "to take  his Archives  and  comprehensive  i n 1922,  the a r c h i v i s t ' s  essential  of primary  should  historians  t h i s he c o n s i d e r e d a  of  for their  back  f o r the needs of  a l l possible precautions  reversed'."  Margaret  But  discharge  warned t h a t , "the p o s i t i o n not be  maintained,  secondary  primary  f o r the  safeguarding  qualities;"  and  secondary  the  most  duty,  5 7  and  he  d u t i e s must  58  Cross  Norton,  one  of  e x p l o r e r s of  the  ideas  underlying  argued  convincingly that  the  first  principle  public  records  i s , that under a democratic 138  articulate archives, i n the  form of  care  and has of  government,  the people are  sovereign:  ...that i s , the records of the government belong to the p e o p l e and t h e o f f i c i a l who creates, f i l e s , and s e r v i c e s the records i s merely a c t i n g as c u s t o d i a n f o r the people . . . o f f i c i a l s do not own the r e c o r d s w h i c h t h e y c r e a t e , b u t m e r e l y a c t as c u s t o d i a n s of the records on b e h a l f of the people.59 As  custodians  f o l l o w , not but,  of  only  the  from our  more i m p o r t a n t l y ,  l a r g e . That we  record,  our  archival  o b l i g a t i o n s to the  from  our  responsibilities research  o b l i g a t i o n s to  have f o r g o t t e n , to some e x t e n t ,  the  this  community, public  l a r g e r sense  of o b l i g a t i o n , i s i n p a r t a consequence of what Hugh T a y l o r called  the  "historical  in t h e i r o r i g i n a l business might  be  transactions. the  record  legal the  made and  r e q u i r e d as In  of  the  administration  hands.61 The  preserved  evidence  England d u r i n g  remained at the heart  value  has  T a y l o r argues t h a t ,  f u n c t i o n , governmental a r c h i v e s were records  transactions  later  shunt" of a r c h i v e s . 6 0  m a t e r i a l ensured of  in lawsuits  the  of records as the evidences  such  involving  had  survival passed  a l t e r e d profoundly  of the o f f i c e s of  the  those  keepers of the  long  after  into  other  perception  origin:  At one s t r o k e , the c r e a t i o n of the A r c h i v e s N a t i o n a l e sundered the a n c i e n t records from t h e i r r o o t s [ i n t h e i r o f f i c e s of o r i g i n ] , p l a c e d them i n common a r c h i v e s , and i n , e f f e c t l a b e l l e d them " h i s t o r i c a l . " The modern a r c h i v i s t was born and the h i s t o r i c a l a r c h i v e s emerged e s s e n t i a l l y as a r e p o s i t o r y of raw m a t e r i a l f o r the h i s t o r i a n who, using von Ranke's model as a p r o t o t y p e , would mine t h e i r rich veins of documentary evidence...62 139  of  records  a d m i n i s t r a t i o n ; and  i t s own  national affairs  French R e v o l u t i o n  because  the Middle Ages the of  at  The  legitimacy  of  this  re-examined i n the on  current  "historical  face of a c c e s s and  access and  not  on  long  These debates have u n d e r l i n e d assert  their  believes, for  the  privacy  traditional  "the  p r i v a c y debates which  focus  need  for  public  trustees.  i n d i v i d u a l s a r c h i v i s t s are  issue within  repository  discussion personal  about  progress  the  for  a  number  d e s t r u c t i o n has computerized  register  personal  few  carried  serious  purged  data  of  their  unconvicted  during  the  still  of  of and  years.  The  6 4  To  countries,  issue  criminal  out.  In  Sweden,  i s , for  keeps m a g n e t i c 140  years tapes  to  birthday, (the of  the  ethical fear  that  upon  example,  Swedish  the  reasons,  criminals or  the  destruction  humanitarian  relating  eightieth 10  for  been i n  of  encroach ethical  a  sensitive  justifiable  some extent,  to  i s s u e of  p r i m a r i l y to  r e g i s t e r s might  last  debates  destroying  relating  a l l information  passed  privacy  i n d i v i d u a l i n t e g r i t y has  criminals  died,  Statistics  of  individual.  being  of  regularly  last  ethically  western  emerged i n response to the  i n t e g r i t y of the already  of  desirability  protection  the  both  protection  c l o s e a t t e n t i o n i s the  information—information  offences—for  Ruth Simmons  f o r the  c o n s t e l l a t i o n of  In  the  and  re-  6 3  the  destruction.  access.  d e c i s i o n s on access,  rights  of  and  a r c h i v i s t s to  of  which a r c h i v i s t s w i l l need to pay  have  being  protection  One  is  is  time i s over f o r ad hoc the  archives  term p r e s e r v a t i o n  the  r o l e as  l e g a l l y bound to u p h o l d . "  ethical  shunt" of  who  remained Bureau  contents  of  of the  r e g i s t e r f o r the most recent The  response  of  the  e t h i c a l d e s t r u c t i o n has 1983,  that  which had and  anger  years). ^ 6  research  been, not  focused  on  j u s t been passed by  a r c h i v i s t s object  authorizing  the  to was  destruction  archival  community  to  s u r p r i s i n g l y , one  of anger.  In  the  and  Canadian  the  government.  section of  Young  45  of  What  the  Young Offender  Offenders  researchers  Act,  a  files  of the  have  receiving  Under 45  completed,  or  upon that  person's  provision  two  years a f t e r a l l d i s p o s i t i o n s made i n respect been  Act  to  five  young person a  pardon.  (1):  a l l records kept pursuant to s e c t i o n s 40 to 43 [ i . e . , c a s e f i l e s , c r i m i n a l h i s t o r y ] and records taken pursuant to s e c t i o n 44 [ i . e . , f i n g e r p r i n t s , photograph] t h a t r e l a t e t o the young p e r s o n i n r e s p e c t of the a l l e g e d o f f e n c e and a l l c o p i e s , p r i n t s or n e g a t i v e s of such records s h a l l be d e s t r o y e d . Section these  45  stipulated  records  that  constituted  retroactively  to  the  Act a s s e r t e d ,  refusal  offence;  records  D e l i n q u e n t s Act which had The  an  any  or  the  maintained  failure  to  destroy  stipulation  applied  under  the  preceded the Young O f f e n d e r s  Juvenile Act.  i n i t s d e c l a r a t i o n of p r i n c i p l e s , t h a t :  in the a p p l i c a t i o n of t h i s Act, the r i g h t s and freedoms of young persons i n c l u d e a r i g h t to the l e a s t p o s s i b l e i n t e r f e r e n c e with freedom that i s c o n s i s t e n t with the p r o t e c t i o n of s o c i e t y , having regard to the needs of young persons and the i n t e r e s t s of t h e i r f a m i l i e s . The the  historical  measure as  vandalism."  6 6  community  denounced S e c t i o n  "wanton d e s t r u c t i o n " While  historians 141  and  "an  act  acknowledged  45, of the  describing bureaucratic principle  underlying grounds and  that  that  Given  the d e s t r u c t i o n  only  that  moment,  such  records  "serious  the l e g a l  uncertain,  credentials  i t was q u i c k l y  possessed  researchers undemocratic  of c o n f i d e n t i a l i t y  currency  discussed,  of " s e r i o u s  value  access.67  i s , at the researcher"  for negotiating  access.  the p r a c t i c e of a l l o w i n g c e r t a i n  t o see c o n f i d e n t i a l p r a c t i c e whose  on t h e  research  would be allowed  the possession  i s questionable  Moreover, as a l r e a d y  significant  researchers"  viability  set aside  records  legitimacy  i s an e l i t i s t should  be  and  questioned  r a t h e r than assumed both by a r c h i v i s t s and h i s t o r i a n s . More practice about  importantly, of m a i n t a i n i n g  t h e argument c e r t a i n kinds  i n d i v i d u a l s ignores  Christian  c u l t u r e , that  redemption. information disappear  On such  that  misses  of derogatory  a fundamental  premise  premise,  as a c r i m i n a l  certain record  kinds should  of  of Judaeofor selfderogatory  be a l l o w e d  from view a f t e r a c e r t a i n p e r i o d of time. Wasserstrom  to  In " P r i v a c y : states the  thus: A s o c i e t y t h a t i s c o n c e r n e d t o encourage persons t o b e l i e v e i n the p o s s i b i l i t y of genuine individual r e d e m p t i o n a n d t h i s i s c o n c e r n e d n o t t o make t h e process of redemption unduly onerous o r i n t e r m i n a b l e m i g h t , t h e r e f o r e , a c t i v e l y discourage the development of i n s t i t u t i o n s t h a t impose permanent marks o f d i s a p p r o b a t i o n upon any o f t h e i n d i v i d u a l s i n t h e s o c i e t y . One o f t h e t h i n g s ...wrong w i t h Hester P r y n n e ' s "A" was t h a t i t was an u n r e m o v a b l e s t a i n impressed upon her body. The s t o r a g e of i n f o r m a t i o n a b o u t c o n v i c t i o n s i n a d a t a bank i s s i m p l y a more contemporary method of a f f i x i n g the i n d e l i b l e brand.68 142  The  information  i s , that we possess a c a p a c i t y  Some Arguments and Assumptions," R i c h a r d case  the p o i n t .  In  a letter  disposition of  section  Canadian  files  Archivists  the c o u r t s  relationship  argued  against  the value  a record  of j u v e n i l e s  between  j u v e n i l e s and Canadian underlying  society."  i t , is a  of h i s t o r i c a l documentation r e p r e s e n t s  To j u s t i f y  on which  moral  the p r e s e r v a t i o n  greater  value  that  are s t r i c t l y  society  i t must be  Hans Jonas has argued necessary  can j u s t i f i a b l y  terms of the s o c i a l  relations,  i t i s clear  records,  contract that  that  a sacrifice  projects  at essentially  course;  i t should  should  promoted  only  activities  existence  of  i n terms of human  political does  conclusion and s o c i a l  not e n t a i l  a  improvement of the human l o t over and  preservation  something that  underlying  such a c o n t r a c t  above the b a s i c  not  research i s  destruction.  f o r the continued  extract  commitment t o the c o n t i n u a l  aimed  only one of  of such  autonomy such as the r i g h t t o p r i v a c y . I f we c a s t that in  compelling  t o the community as a whole than that  philosopher  while  ultimately  by the r i g h t to p r i v a c y governing the f i l e s ' The  6 9  decision-making  demonstrated that the l i b e r t y promoted by h i s t o r i c a l of  of the  i s v i t a l t o our h i s t o r i c a l understanding of the  number of values  rests.  the destruction  "maintaining  argument, and the p r i n c i p l e  one, a  i t s "deep concern" over the records  of the Young O f f e n d e r s A c t , the A s s o c i a t i o n  on the grounds t h a t  before  the  expressing  of s o c i a l  order.  meliorative  Participation in  goals  i s , therefore,  be expected of c i t i z e n s as a matter of  be, r a t h e r ,  a  fully  i n d i v i d u a l s t o decide f o r t h e m s e l v e s . ^ 7  143  voluntary  matter f o r  A  related  prevalent of  threat to personal privacy i n a free  personal  been  i s s u e , and one that c o n s t i t u t e s an  i n f o r m a t i o n gathered  obtained  retaliation. campaigns  through  investigations 1981  Canadian  and c e r t a i n  maintained  the l e g a l i t y  by the p o l i c e .  i n Canada on the f i l e s  Police,  discovered  i n France  with  that  A  of the R o y a l  t h e R.C.M.P. had  regard  The i s s u e s u r f a c e d  to p o l i c e  records  on Jews" t h a t had been s e t up d u r i n g the Nazi  by the V i c h y government. acknowledges that destruction  C i t i n g these  "archivists  have never  looked  situations  defence  of p u b l i c  archivists  take  involving  practices,  archives  or r a t i f y  with  ethical  argues,  i t i s obviously  more  lives."  7 1  d e s t r u c t i o n , the moral  and, c o n s e q u e n t l y , respect  he  i n d i v i d u a l s a g a i n s t any  d e s i r a b l e t o d e s t r o y documents than t o endanger human In  occupation  f o n d l y upon the  of documents of any k i n d . " N e v e r t h e l e s s ,  of p e r s e c u t i o n or i l l e g a l  and t h e  i n c i d e n t s , M i c h e l Duchein,  "when the q u e s t i o n a r i s e s of s a f e g u a r d i n g risk  police  i n f o r m a t i o n p r o h i b i t e d by law on the p r i v a t e l i f e of  same year  "files  t h a t has  of c e r t a i n  c i t i z e n s ; these f i l e s were ordered d e s t r o y e d . the  i s that  l e g a l debates and p r e s s  r e c o r d s maintained  inquiry  Mounted  by government agencies  twenty years  questioned  parliamentary  society,  i m p l i e d , a c t u a l o r b e l i e v e d t h r e a t of  Over the l a s t  have  increasingly  any d e c i s i o n  to records d e s t r u c t i o n  must r e s t , not s o l e l y on the grounds of r e s e a r c h v a l u e , which has always been a changeable  c r e a t u r e , b u t on t h e p u r s u i t of two  fundamental p r i n c i p l e s .  The f i r s t 144  principle  i s that  archivists  preserve public  policy;  records case  records  that  t o the o r i g i n  the second p r i n c i p l e  p r o t e c t people's  against  argument  relating  ethical  should  preservation humanitarian  cannot  i s that  rights.  destruction,  derive  from be  those  made  and a d m i n i s t r a t i o n of archivists  I f we wish t o argue the  the grounds principles.  on  these  f o r such  do have  an  grounds,  o b l i g a t i o n t o guard  d e s t r u c t i o n of records c o n t a i n i n g p e r s o n a l reasons of a d m i n i s t r a t i v e convenience.  an  I f a case f o r  reasons u n d e r l y i n g the -destruction should  Archivists  preserve  then  the  prevail.  against  the  i n f o r m a t i o n merely f o r  The o b l i g a t i o n t o ensure  that records d e s t r u c t i o n i s i n the p u b l i c i n t e r e s t and not simply i n the i n t e r e s t of a d m i n i s t r a t i v e e f f i c i e n c y a l s o emerges, Norton suggests, theory  that  destroyed people  from our democratic system of government, "that i s , the government  without  records  once c r e a t e d  a u t h o r i z a t i o n from  i n general  assembly—by  that  may  not l e g a l l y  the r e p r e s e n t a t i v e s body  which  "Integral  to the n o t i o n  of p r o p e r  of the  authorized  c r e a t i o n of the records by d i r e c t i o n or by i m p l i c a t i o n .  be  the  7 2  a r c h i v a l management o f  r e c o r d s , " Ruth Simmons argues, " . . . e s p e c i a l l y those which r e q u i r e decision-making, practice our  which shows care  we  establishment  will  need  of p o l i c i e s  dissemination  t o demonstrate  and c o n c e r n . "  o b l i g a t i o n s t o the records  records,  and  i s the n e c e s s i t y  7 3  a p a t t e r n of  i f we a r e t o f u l f i l l  and t o the p u b l i c who  to play governing  of p e r s o n a l  a more  active  the c o l l e c t i o n ,  information  145  held  owns  role  those  i n the  maintenance i n government  agencies. and of  We need t o know how p e r s o n a l  f o r what purpose; and we need t o i n c r e a s e our understanding the environment i n which such records a r e c r e a t e d . Once the i n f o r m a t i o n i s c o l l e c t e d ,  to  be a d d r e s s e d .  existence of  information i s c o l l e c t e d  First,  four b a s i c q u e s t i o n s need  what d e t a i l s  are available  of records c o n t a i n i n g p e r s o n a l  about the  i n f o r m a t i o n : what  i n f o r m a t i o n should be c o l l e c t e d about the e x i s t e n c e of r e c o r d s  and  by whom?  To whom should  such  for  example,  t o government  agencies,  purpose? long?  Secondly,  Who w i l l  which  decide  embargo on access  other  i n f o r m a t i o n be made a v a i l a b l e ,  records  the p u b l i c ,  a r e t o be kept  and f o r what and f o r  for? than  Thirdly,  when,  i f ever,  c a n an  by the p r o v i d e r of the i n f o r m a t i o n  and by the o r i g i n a l agency be l i f t e d and f o r what purpose? lifted,  should  how  and how a r e d e c i s i o n s t o be documented,  made known and accounted  is  kind  i t be l i f t e d  i n favour  of other  If i t  agencies or  p a r t i e s f o r management purposes? In favour of the g e n e r a l p u b l i c ? F i n a l l y , where a r e the r e c o r d s t o be kept?  In what  are they t o be h e l d by a c u s t o d i a l o r g a n i z a t i o n ? exist  for p r o t e c t i n g personal information?  circumstances  What  safeguards  How a r e they  assessed  and by whom? A  f u r t h e r way t o demonstrate our c a r e  integrity  of r e c o r d s  establish  a s e t of e t h i c a l  decisions. Robbin,  containing  personal  standards  A set of e t h i c a l standards  enshrining  the a r c h i v i s t s ' 146  and concern  for  the  information  i sto  on which t o base  access  has been proposed by A l i c e commitment  t o a number of  traditional principles public  i n c l u d i n g : a r e s p o n s i b i l i t y to p r o t e c t the  t r u s t with which p e r s o n a l  maintenance  of a high  respect  non-disclosure  to  sensitivity public  to  standard  the  social  community  which  confidentiality establishing confidential  of  and  that maintain  own  alerted  publicizing  moral  serve;  historical  identifiable  of  the the  information;  for  protecting  establishing appropriate  security  storage  devices  7 4  F l a h e r t y and community  Joan Hoff-Wilson  to the  need to  house in order so as to a v o i d , i n p a r t i c u l a r ,  f e d e r a l governments and  with  safeguarding  conditions  information.  the  information;  expectations  access to data p r o c e s s i n g and  personal  the  confidential  they  H i s t o r i a n s such as David also  of  codes and  and  been g i v e n ;  of p r o f e s s i o n a l competence  individually  records;  measures to prevent  i n f o r m a t i o n has  the c o u r t s . "  have  "set [ i t s ]  i n t e r v e n t i o n by  F l a h e r t y p o i n t s out t h a t :  7 5  Other d i s c i p l i n e s have to worry about p r a c t i t i o n e r s who a r e u n e t h i c a l , c a r e l e s s or i n s e n s i t i v e to p r i v a c y and c o n f i d e n t i a l i t y . . . I t can be argued t h a t the h i s t o r i c a l p r o f e s s i o n . . . r u n s major r i s k s t o i t s i n t e g r i t y and r e p u t a t i o n from the occurrence of even one s i g n i f i c a n t w e l l p u b l i c i z e d breach of c o n f i d e n t i a l i t y , whether i n u s i n g i n f o r m a t i o n on i n d i v i d u a l s i n t h e h a n d s of government or i n p r i v a t e d e p o s i t o r i e s . 7 6  Detailed personal  and  explicit  data  codes to p r o t e c t  should  be  the  established,  confidentiality Flaherty  argues,  of by  p r o f e s s i o n a l a s s o c i a t i o n s ; f u r t h e r , "such codes should be brought to  the  attention  information.  of  appropriate  custodians  Agencies might be j u s t i f i e d  147  of  i n making the  personal existence  of  an  ethical  personal As  information cases  implemented, personal ensuring are  code  are a  a  in their argued,  custody." decisions  jurisprudence  information that  prerequisite for  will  checks and  established during  of  to  sensitive  and  practices  records  containing  7 7  appealed,  access  gradually  balances  this  access  to  evolve.  One  method  r e s p e c t i n g access  process  may  be  through  and the  privacy creation  of e t h i c s committees, s i m i l a r to p u b l i c documents committees, on  which the  i n t e r e s t s of a l l the  represented—the service.  The  governmental  public,  f u n c t i o n of  relevant  researchers, such  committees  information-gathering  communities would  archivists, would  p r a c t i c e s to  be  the  of  the  but be  civil  to  expose  clear  light  of p u b l i c s c r u t i n y .  Such committees c o u l d p l a y an a c t i v e r o l e i n  the  disposition  scheduling  information  and  and  ensure  of  t h a t access  records  containing  personal  i s being  negotiated  for  p u b l i c good and not only f o r the good of the r e s e a r c h In a paper presented i n 1982,  to the  Society  of  the  community.  American A r c h i v i s t s  G e r a l d Grob observed t h a t :  ...the tendency of most s c h o l a r s has been to make t h e i r c l a i m f o r access take precedence over a l l other r i g h t s , a p o s i t i o n t h a t i s both i r r e s p o n s i b l e and dangerous. A system t h a t r e s t s s o l e l y on good i n t e n t i o n s i s , i n e f f e c t , no system; there are few i n d i v i d u a l s who would admit to h a r b o r i n g anything but the best of i n t e n t i o n s . Consequently i t i s imperative that [ h i s t o r i a n s ] recognize that the i n t e r e s t s of d i f f e r e n t groups, each with d i f f e r e n t concerns, must be taken i n t o a c c o u n t . 7 8  Appeals of the s o r t put that  in conflicts  forward  between  the  by h i s t o r i a n Robert C r a i g Brown, principle 148  of  respect  for privacy  and  the needs of r e s e a r c h e r s  the  researcher",  did.  What  t h e need  researcher's As  no longer  7 9  i s required  eliminate  we should  instead  carry  " t r u s t i n the i n t e g r i t y of the moral  i s a variety  f o r conventional  they  once  of mechanisms  that  appeals  force  to f a i t h  i n the  integrity.  "a s t e a d f a s t  keeper  of t h e r e c o r d s  held  in trust,"  a r c h i v i s t s a r e charged with the r e s p o n s i b i l i t y of p r o t e c t i n g the integrity them.  of the records  Implicit  f o r the b e n e f i t  in this  of the p u b l i c who owns  r e s p o n s i b i l i t y i s the o b l i g a t i o n to  r e s p e c t and p r o t e c t the i n t e g r i t y of the v a r i o u s between  citizens  witness, record  an o b l i g a t i o n  subjects.  enshrined which  and government  this  of American  " a r c h i v i s t s respect  i n d i v i d u a l s who c r e a t e d those  who  or a r e the s u b j e c t h a d no v o i c e  bear  the p r i v a c y of  A r c h i v i s t s has  o b l i g a t i o n i n i t s code of e t h i c s that  contracts  the records  entails protecting  The S o c i e t y  maintains  especially  that  to which  social  for archivists  the p r i v a c y  of records  of  and papers,  i n the d i s p o s i t i o n of  materials." One o f t h e g u i d e l i n e s Consultative since  view  Group on E t h i c s  concepts  question of  of p r i v a c y  of i n v a s i o n those  r e s e a r c h e r . "80" expectation  recommended  when  i n respect  vary  of p r i v a c y  being Given  from  that  dealing  rather  informed  with 149  vast  of p r i v a c y  culture  be looked  studied  by t h e Canada  is,  "that  t o c u l t u r e , the  a t from than  consent  Council  the p o i n t of that  of t h e  i s an u n r e a l i s t i c  quantities  of a r c h i v a l  records, behalf  i t i s necessary  that  i n d i v i d u a l s and  apply  of  privacy."SI  archivists  "act  restrictions  V i r g i n i a Stewart has  independently to  protect  on  their  argued:  the a r c h i v i s t has the immediate r e s p o n s i b i l i t y f o r maintaining rigorous standards i n the p r o t e c t i o n of p e r s o n a l p r i v a c y on behalf of persons who may be unable to a s s e r t t h e i r r i g h t s - - b e c a u s e they are l e g a l l y i n c o m p e t e n t t o do so ( c h i l d r e n , i n s t i t u t i o n a l i z e d p e r s o n s ) or b e c a u s e t h e y a r e unaware t h a t records i n v o l v i n g them have been t r a n s f e r r e d to an archives.82 In  any  social  degraded. records  Whatever  containing  thoughtful created  privacy  and  on  personal  who  supplied  of c o l l e c t i o n  1927  immigration Canadian  officials agency,  Council  grounds t h a t  a  take  the  of  matter  the  the  should  should  purposes of  principle  be  f o r which the  information. assert  of  i n determining  information  a c l e a r understanding  subsequent uses of that In  as  d e c i s i o n we  c o n s i d e r a t i o n of  individual context  enquiry,  access based  records  expectations The  on  is to a  were  of  the  administrative  some d e c i s i v e power  over  information. of  Dr.  refused Child  records  Barnardo's to allow  Welfare were not,  an  Homes,  the  juvenile  i n v e s t i g a t o r from  to examine case strictly  files  speaking,  on  theirs  supply: They a r e the records of the c h i l d r e n r a t h e r than the r e c o r d s of the Homes, and they a r e c e r t a i n l y not records intended f o r the p u b l i c . The view taken by Dr. Barnardo's has always been that these u s u a l l y humble members of s o c i e t y a r e e n t i t l e d t o demand t h a t the h i s t o r y of t h e i r c h i l d h o o d should be as much s h i e l d e d from p u b l i c c u r i o s i t y as the h i s t o r y of more f o r t u n a t e c h i l d r e n who have been b r o u g h t up i n the p r i v a c y of t h e i r p a r e n t s ' homes.83 150  the the to  The  documentation of  the  "non-elites"  scrutinize object.  the  And  the  h i s t o r y of what we  in society private  lives  while t h e i r  expose i n e q u i t i e s and  frequently of  requires  citizens  i n t e n t i o n s may  so,  euphemistically that  who  are  powerless  redress  become the  subject  an e s s e n t i a l abuse of the  society and,  invasion  and  to  f o r that  personal than  integrity  reason,  researcher.  limitations  on  powerlessness  by  perpetuating  the  of  the  profession  archival bias  be  i n favour  That  the  historical  climate  in  of the  that  issues  record  enquiry  is  but  we  also  need  between c i t i z e n s  records,  i s respected.  goods, c i t i z e n s give variety  of  not  adopting  private  concerning  unfortunate.  In  rather impose  But  any  one's freedom of movement; t h a t  feel  confident  that  government, embodied the  i n t e r e s t of  It i s true  ways, a permission integrity  of  paternalistic attitude 151  grounded  the  the  and  social  collective  to know them i n a in public t r u s t .  archival profession  toward  our  i n government  numerous  the government permission  advance the a  and  to  free  permits i t  possess a c o l l e c t i v e need to understand o u r s e l v e s  contract  do  a  p o s i t i o n taken here w i l l  stance imposes l i m i t s on  society;  We  of  subject  does not mean that the stance i s an unreasonable one. that we  very  privacy.  i s damaging both to the  p r i v a c y should  the  ethical  the  the  r i g h t of a l l i n d i v i d u a l s — r e g a r d l e s s of  economic or s o c i a l s t a t u s — t o Privacy  of t h e i r enquiry,  to  kind—to  them—by  nature of t h e i r endeavour they e x p l o i t f u r t h e r the of those who  historians  be of the purest  symbolically  call  documentary  by  material  that  encroaches on  often  based  on  the  poorly  good."  Any  personal  information  l i v e s of p r i v a t e c i t i z e n s , defended  decision  to enhance research  concerning  must be but,  notions  a l s o , by the  as moral b e i n g s .  152  concerning  access  guided, not  an a t t i t u d e  to only  the  records by  obligations  the that  too  "public  containing obligation fall  to  us  CHAPTER V ENDNOTES 1. J u d i t h Rowe, " P r i v a c y L e g i s l a t i o n : I m p l i c a t i o n s f o r A r c h i v e s , " A r c h i v i s t s and Machine-Readable Records: Proceedings of t h e C o n f e r e n c e on A r c h i v a l Management of Machine-Readable R e c o r d s , F e b r u a r y 7-10, 1979, Ann A r b o r M i c h i g a n ( C h i c a g o : S o c i e t y of American A r c h i v i s t s , 1980) 194. 2. For the survey r e s u l t s , see A l i c e Robbin, "State A r c h i v e s and Issues of P e r s o n a l P r i v a c y : P o l i c i e s and P r a c t i c e s , " American A r c h i v i s t 49 .2 ( S p r i n g 1986): 163-75. 3. Margaret L. Hedstrom, "Computers, P r i v a c y , and Research A c c e s s t o C o n f i d e n t i a l I n f o r m a t i o n , " Midwestern A r c h i v i s t 6 .1 (1981): 6. 4. A l i c e R o b b i n , " E t h i c a l S t a n d a r d s and Data A r c h i v e s , " Secondary Data A n a l y s i s : New D i r e c t i o n s f o r Program E v a l u a t i o n , ed. Robert Boruch (San F r a n s i s c o : Jossey-Bass, 1978) 8~i 5. Brown, "Government and H i s t o r i a n " 121. 6. S t a n l e y B e n n , " P r i v a c y , Persons," Nomos XIII 12-13.  Freedom,  and R e s p e c t f o r  7. M i c h e l Duchein, O b s t a c l e s t o Access 22. 8. Duchein 21. 9. See, f o r example, Cox B r o a d c a s t i n g Corp. v. Conn, 420 U.S. 469 (1975) (parent a l l e g e d that h i s r i g h t t o p r i v a c y was invaded by i d e n t i f i c a t i o n of daughter as v i c t i m of rape-murder); C o r l i s s v . E.W. Walker Co., 57 F. 434 ( C C D . Mass. 1893), i n j u n c t i o n d i s s o l v e d , 64 F. 280 ( C C D . Mass. 1894) ( p l a i n t i f f s a l l e g e d p u b l i c a t i o n of biography and p i c t u r e of dead husband and father constituted injury to t h e i r f e e l i n g s ) . Both c a s e s a r e c i t e d i n G a r v i n , " P r i v a c y and the L i m i t s of the Law" 431. See a l s o F l a h e r t y , " P r i v a c y and C o n f i d e n t i a l i t y " 421-22. 10. " I n t e r n a t i o n a l C o u n c i l B u l l e t i n 10 .2 (November 1985).  of A r c h i v e s a t P.A.C," A.C.A.  11. Tener 19. 12. Quoted i n J e a n T e n e r , A r c h i v a r i a 6 (Summer 1978): 18. 153  "Accessibility  and A r c h i v e s , "  13. Quoted i n Tener 14.  See  Tener  19.  19.  15. Kathy Roe Coker, " C o n f i d e n t i a l i t y of Records and A c c e s s : A S u r v e y of S t a t e A r c h i v a l I n s t i t u t i o n s , " Records Management Quarterly 16 ( J u l y 1982): 26. 16. Reg Whittaker, "Access to Information: The P e r s p e c t i v e , " paper p r e s e n t e d a t the T o r o n t o A r e a Group Access to Information Forum, 15 November 1986. 17. " I n t e r n a t i o n a l C o u n c i l B u l l e t i n 10 .2 (November 1985).  of  Archives  18. Anderson, " P u b l i c Welfare Case Records" and  19. H e l e n Y o x a l l , " P r i v a c y and Manuscripts 12 (May 1984): 42 20. Tener  Personal  at  Historian's Archivists  PAC,"  A.C.A.  174. Papers,"  Archives  18.  21. Sue E. H o l b e r t , A r c h i v e s and M a n u s c r i p t s : Reference Access (Chicago: S o c i e t y of American A r c h i v i s t s , 1977) 9. 22.  Tener  and  26.  23. C i t e d i n D u c h e i n , O b s t a c l e s t o the T r a n s f e r of I n f o r m a t i o n from A r c h i v e s : A g u i d e l i n e s ( P a r i s : Unesco, 1983) 30.  A c c e s s , Use and RAMP s t u d y w i t h  24. C i t e d i n G u i d e l i n e s f o r the d i s c l o s u r e of personal i n f o r m a t i o n f o r h i s t o r i c a l r e s e a r c h at the P u b l i c A r c h i v e s of Canada (Ottawa: P u b l i c A r c h i v e s of Canada, 1983) 3. 25. G u i d e l i n e s  f o r D i s c l o s u r e 3-4.  26. G u i d e l i n e s  f o r D i s c l o s u r e 4.  27. G u i d e l i n e s  for Disclosure  6.  28. G u i d e l i n e s  for Disclosure  5-6.  29. G u i d e l i n e s  for Disclosure  5.  30. G u i d e l i n e s  f o r D i s c l o s u r e 6.  31. G u i d e l i n e s  f o r D i s c l o s u r e 7.  154  32. G u i d e l i n e s  for Disclosure  7.  33.  Stewart, "Problems of C o n f i d e n t i a l i t y " 396.  34.  Stewart  396.  35. R o n a l d M. Baumann, "The A d m i n i s t r a t i o n of Access to C o n f i d e n t i a l Records i n S t a t e A r c h i v e s : Common P r a c t i c e and the Need f o r a Model Law," American A r c h i v i s t 49 .4 ( F a l l 1986): 363. 36. See Baumann, " A d m i n i s t r a t i o n of A c c e s s " 349-70 f o r d e t a i l e d c a s e s t u d i e s of s t a t e a r c h i v e s t h a t have a d o p t e d c o n t r a c t u a l agreements of v a r i o u s k i n d s as a way of m e d i a t i n g c l a i m s f o r access and p r i v a c y . 37. Tener 38.  26.  Y o x a l l , " P r i v a c y and  39. Henry W. Problems i n S o c i a l and L e g a l Problems S. C e c i l (New York:  Riecken, Research: in Social Academic  Personal  Papers"  42.  " S o l u t i o n s t o E t h i c a l and Legal An Overview," S o l u t i o n s to E t h i c a l Research, ed. Robert Boruch and Joe Press, 1983) 8.  40. A c c o r d i n g t o V i r g i n i a S t e w a r t , i n the a b s e n c e of a w r i t t e n statement by r e s e a r c h e r s t h a t they w i l l " h o l d h a r m l e s s and indemnify" the a r c h i v e s , "a r e p o s i t o r y f u r n i s h i n g m a t e r i a l to a r e s e a r c h e r may i n c u r l i a b i l i t y as " g e n e r a l p u b l i s h e r " t o l a w s u i t s a r i s i n g from p u b l i s h e d r e s e a r c h . " See "Problems of C o n f i d e n t i a l i t y " 390n. 41. S o c i a l s c i e n c e data a r c h i v e s r e c e i v e data from a v a r i e t y of sources with the s p e c i f i c o b j e c t i v e of o r g a n i z i n g these data i n t o m a c h i n e - r e a d a b l e form f o r p u r p o s e s of s u b s e q u e n t r e d i s s e m i n a t i o n and u t i l i z a t i o n i n a v a r i e t y of r e s e a r c h s e t t i n g s . See Joseph S t e i n b e r g , " S o c i a l Research Use of A r c h i v a l Records: P r o c e d u r a l S o l u t i o n s to P r i v a c y Problems," S o l u t i o n s to E t h i c a l and Legal Problems i n S o c i a l Research 249-262. 42. See, f o r example, C h a r l e s M. D o l l a r , " M a c h i n e - R e a d a b l e R e c o r d s of the F e d e r a l Government and the N a t i o n a l A r c h i v e s , " A r c h i v i s t s and M a c h i n e - R e a d a b l e R e c o r d s : P r o c e e d i n g s of the C o n f e r e n c e on A r c h i v a l Management of Machine-Readable Records, F e b r u a r y 7-10, 1979, Ann A r b o r , Michigan (Chicago: S o c i e t y of American A r c h i v i s t s , 1980) 85; and H a r o l d Naugler, "The MachineR e a d a b l e A r c h i v e s Program of the P u b l i c A r c h i v e s of Canada," A r c h i v i s t s and M a c h i n e - R e a d a b l e R e c o r d s : P r o c e e d i n g s of the C o n f e r e n c e on A r c h i v a l Management of Machine-Readable Records, F e b r u a r y 7-10, 1979, Ann A r b o r , Michigan (Chicago: S o c i e t y of 155  American A r c h i v i s t s , 1980)  76.  43. The P u b l i c A r c h i v e s of Canada and t h e U n i v e r s i t y of Saskatchewan have d e v e l o p e d a p r o c e d u r e i n which sensitive i n f o r m a t i o n i s removed from m i c r o f i l m e d l e g a l records by c o v e r i n g c e r t a i n frames on the f i l m with l i g h t s e n s i t i v e t a p e p r i o r t o producing d u p l i c a t e c o p i e s of the r e c o r d s . See James M. Whalen, "The A p p l i c a t i o n of S o l i c i t o r - C l i e n t P r i v i l e g e t o Government Records," A r c h i v a r i a 18 (Summer 1984): 148. 44. H a r o l d N a u g l e r , The A r c h i v a l A p p r a i s a l of machinereadable r e c o r d s : A RAMP Study w i t h g u i d e l i n e s (UNESCO: P a r i s , 1984) 86. 45. S e e , f o r e x a m p l e , S o l u t i o n s t o E t h i c a l and L e g a l Problems i n S o c i a l . R e s e a r c h , ed. Boruch and C e c i l ; A s s u r i n g the C o n f i d e n t i a l i t y of S o c i a l Research Data, ed. Boruch and C e c i l y D a v i d H. F l a h e r t y , P r i v a c y and Government Data Banks; Paul T. Z e i s s e t , "Census Bureau C o n f i d e n t i a l i t y P r a c t i c e s and T h e i r I m p l i c a t i o n s f o r A r c h i v i s t s , " i n A r c h i v i s t s and Machine-Readable Records. 46. The a s s e r t i o n that t h e r e are l e g i t i m a t e r e s e a r c h uses which r e q u i r e t h e use of i n d i v i d u a l l y i d e n t i f i a b l e d a t a i s e n s h r i n e d i n the B e l l a g i o P r i n c i p l e s . 47. In Tener  29.  48. F o r a more d e t a i l e d d e s c r i p t i o n of l o n g i t u d i n a l and c o r r e l a t i o n a l r e s e a r c h , see A s s u r i n g t h e C o n f i d e n t i a l i t y of S o c i a l Research Data 30, 47. 49. Bogue, " H i s t o r i c a l Research and S t a t e A r c h i v i s t s and Machine-Readable Records 26.  Archival  Data,"  50. Canadian A s s o c i a t i o n of U n i v e r s i t y Teachers, Freedom of I n f o r m a t i o n : A B r i e f submitted to the Government of Canada by the C a n a d i a n A s s o c i a t i o n of U n i v e r s i t y Teachers (Ottawa: Canadian A s s o c i a t i o n of U n i v e r s i t y Teachers, 1978) 3. 51. R i c h a r d I . H o f f e b e r t , " C o n f i d e n t i a l i t y , P r i v a c y and S o c i a l Data A r c h i v e s : S p e c i a l P r o b l e m s f o r P o l i c y Analysis," A r c h i v i s t s and Machine-Readable Records 228. 52. See, f o r example, B r u c e Bowden and Roger H a l l , Impact of Death: An H i s t o r i c a l and A r c h i v a l Reconnaisance V i c t o r i a n O n t a r i o , " A r c h i v a r i a 14 (Summer 1982): 104. 156  "The into  53. S i r H i l a r y J e n k i n s o n , A Manual of A r c h i v e A d m i n i s t r a t i o n (Oxford: Clarendon P r e s s , 1922) 66. 54. S.N. P r a s a d , "The L i b e r a l i s a t i o n of Access and Use," I n t e r n a t i o n a l C o u n c i l on A r c h i v e s volume XXVI. Proceedings of the 8th I n t e r n a t i o n a l Congress on A r c h i v e s Washington, 27 September-1 O c t o b e r 197 6 (Munchen, New Y o r k , London, P a r i s : K.G. Saur, 1979) 143. 55. Jenkinson 39. 56. 1984).  "Archivist:  A Definition,"  S.A.A. Newsletter (January  57. Jenkinson 15. 58. Jenkinson 15. 59. Margaret Cross Norton, Norton on A r c h i v e s , ed. Thornton M i t c h e l l ( C a r b o n d a l e and E d w a r d s v i 1 l e : S o u t h e r n Illinois U n i v e r s i t y P r e s s , 1975) 26, 32. the  60. Hugh T a y l o r , " I n f o r m a t i o n Ecology and 1980s," A r c h i v a r i a 18 (Summer 1984): 25-37. 61. T a y l o r  26.  62. T a y l o r  26.  the A r c h i v e s of  63. R u t h Simmon, "The P u b l i c ' s R i g h t t o Know and the I n d i v i d u a l ' s Right to be P r i v a t e , " Provenance 1 .1 ( S p r i n g 1983): 3. 64. Ake Kromnow, "The A p p r a i s a l of Contemporary I n t e r n a t i o n a l C o u n c i l on A r c h i v e s , volume XXVI 52.  Records,"  65. See Jan Sundin and Ian Winchester, "Towards I n t e l l i g e n t Databases: Or the Database as H i s t o r i c a l A r c h i v i s t , " A r c h i v a r i a 14 (Summer 1982): 140. 66. See Frank Jones, " D e s t r o y i n g these r e c o r d s i s shameful," Toronto S t a r 7 October 1985: A15. 67. W i l l i a m Ormsby, A r c h i v i s t of O n t a r i o , c i t e d i n Frank Jones, "Destroying these f i l e s i s shameful," Toronto Star 7 October 1985: A15.  157  68. R i c h a r d W a s s e r s t r o m , " P r i v a c y : Some Arguments and A s s u m p t i o n s , " P h i l o s o p h i c a l Law: A u t h o r i t y , Equality; Adjudication, Privacy, ed. Richard Bronaugh (Westport, C o n n e t i c u t : Greenwood Press, 1978) 160. 69. A s s o c i a t i o n of Canadian A r c h i v i s t s , l e t t e r to Hon. Mark McGuigan, M i n i s t e r of J u s t i c e and the A t t o r n e y General of Canada, 13 March 1984. 7 0 . S e e H a n s J o n a s , " P h i l o s o p h i c a l R e f l e c t i o n s on E x p e r i m e n t i n g w i t h Human S u b j e c t s , " Contemporary I s s u e s i n B i o e t h i c s , e d . Tom L : Beauchamp and L e r o y W a l t e r s (Belmont, C a l i f o r n i a : Wadsworth, 1982) 524-532. 71. Duchein 22. 72. Norton 32. 73.  Simmons 3.  74.  Robbin, " E t h i c a l Standards" 15-17.  75. See F l a h e r t y , " P r i v a c y and C o n f i d e n t i a l i t y " 419-429; H o f f - W i l s o n , "Access t o R e s t r i c t e d C o l l e c t i o n s " 441-447 76.  Flaherty  421. ,  77.  F l a h e r t y 427.  78. G e r a l d N. Grob, " A r c h i v i s t s and H i s t o r i a n s : Problems of A p p r a i s a l , " paper d e l i v e r e d a t the Annual Meeting of the S o c i e t y of American A r c h i v i s t s , Boston, 20 October 1982. 79.  Brown, "Government and H i s t o r i a n " 123.  80.  Canada C o u n c i l , E t h i c s 17.  81.  Y o x a l l , " P r i v a c y and P e r s o n a l Papers" 40-41.  82.  Stewart, "Problems of C o n f i d e n t i a l i t y " 398.  83.  Parr,  "Case Records" 135.  158  CONCLUSION  I can imagine r a t h e r e a s i l y the day when two men w i l l have no more s e c r e t s from one another because they w i l l keep s e c r e t s from no one, s i n c e the s u b j e c t i v e l i f e , j u s t as much as the o b j e c t i v e l i f e , w i l l be t o t a l l y o f f e r e d , g i v e n . Jean-Paul S a r t r e A number of s o c i a l c r i t i c s that  we  suffer  unhealthy social and  obsession  pathology  privacy  connection The one  and f e e l  such c r i t i c s  stress  enough,  s o c i e t y , an  turning  argue,  liberal  away  i n d i c a t o r of  when we g e t  ideology  from  places  the p u b l i c  on  aspects  has damaged the t i s s u e s of s o c i a l  i d e a l invoked, i m p l i c i t y ,  2  Meister  t o others  S i m i l a r l y , Sartre itself  only  to surmise  when m a t e r i a l  r e l a t i o n s were no longer i t presently  held  i n such c r i t i c i s m , i s  Eckhart  that  " c a l l [ e d ] him a  and i n so doing that  a t a l l times f o r s e c r e c y . "  however,  achievable  as  which  of u n i v e r s a l t r a n s p a r e n c y .  substitute  i t has become an  and withered p u b l i c s p i r i t e d n e s s .  societal  them."  that  justification,  more and more a l i e n a t e d  good man who r e v e a l s h i m s e l f to  some  than s o c i a l h e a l t h wherein we "seek more  and the consequent  life,  privacy,  of modern l i b e r a l  The e x c e s s i v e  1  t o o much  rather  more p r i v a c y ,  it."  of  from  a l l e g e , with  such  "transparency 3  He was  e x i s t s , privacy  with antagonisms.  must  realistic  transparency  want had been e r a d i c a t e d  fraught  i s of use  would  be  and human  In the world  possesses a p a r a d o x i c a l  ability  both t o f a c i l i t a t e the development of s o c i a l r e l a t i o n s h i p s and t o 159  diminish  human  incorporated  with  institutions.  4  balance human  interaction other  depending  social  values  on  t h e way  and embedded  in social  I n d i v i d u a l s must be i n some intermediate  between p r i v a c y  and i n t e r a c t i o n - - i n o r d e r  r e l a t i o n s , develop  their  c a p a c i t i e s and  i tis  state—a  to maintain sensibilities,  c r e a t e and, u l t i m a t e l y , t o s u r v i v e . Part  of t h e p r i c e  we  pay f o r community membership  i s the  s a c r i f i c e of some degree of p r i v a c y , when t h i s i s r e q u i r e d e i t h e r to  fulfil  ourselves  interest.  The p r o b l e m  individual's regulate  as s o c i a l  claim  conduct  individuals  f o r general  own  Freedom  of enquiry  freedom  i n modern  possesses a moral distinction  then  becomes  to privacy  to exercise  individual's  beings or to f u r t h e r  need  against  the c l a i m  stature  o f knowledge  society  other  communities. is a  to that  and a r i g h t  5  crucial  but i t i s not a r i g h t  equivalent  a freedom  of  r i g h t s and a g a i n s t the  f o r p a r t i c i p a t i o n i n wider  liberal  the  the community's c l a i m t o  legitimate  i n the p u r s u i t  between  one o f b a l a n c i n g  good, a g a i n s t  their  the p u b l i c  that  of p r i v a c y .  The  i s , C h r i s t i a n Bay  maintains, e s s e n t i a l : " R i g h t " r e f e r s t o a p r o t e c t e d freedom. "Human r i g h t " r e f e r s t o a kind of freedom that can be, and t h e r e f o r e , must be, made a v a i l a b l e t o and p r o t e c t e d f o r a l l the people i n a given s o c i e t y . A freedom that c a n n o t be extended t o a l l i s an e x a m p l e o f a "social p r i v i l e g e " . . . [ a n d ] i n a f r e e s o c i e t y a p r i v i l e g e must y i e l d whenever i t demonstrably becomes an o b s t a c l e to a f u l l e r p r o t e c t i o n and expansion of human r i g h t s . 6 If research  we a r e j u s t i f i e d  i n imposing  i n t h e i n t e r e s t of p r i v a c y , 160  a s e t of c o n s t r a i n t s however,  on  i t i s important  that  we a l w a y s  principle. been  remain  A l e g i t i m a t e concern  against  corruptions  of the r e s e a r c h  privacy.  of that  community h a s  the p o t e n t i a l f o r the misguided use or d i r e c t  p r i n c i p l e s underlying and  vigilant  abuse of the  Researchers such as Robert Boruch  Joe C e c i l argue t h a t , a t times,  the s h i e l d of p r i v a c y i s h e l d  up t o p r o t e c t abuses t h a t a r e i n no way p e r s o n a l ,  " i n the best of  these i n s t a n c e s , the appeal t o p r i n c i p l e  but i r r e l e v a n t -  -that  i s , there  confidentiality dedicated secrecy  i s no r e a l  threat  of r e c o r d s .  runs counter  to i n d i v i d u a l p r i v a c y  or to  At worst, the appeal i s c o r r u p t i v e ,  not to p r e s e r v i n g that  i s pious  individual privacy to the p u b l i c  but t o a s s u r i n g  interest."  Claims of  7  p r i v a c y a r e o f t e n invoked f o r p r a c t i c e s of l a r g e s c a l e c o l l e c t i v e secrecy  i n t h e i n t e r e s t s of " n a t i o n a l s e c u r i t y . "  philosopher are  Sissela  Bok makes c l e a r , while  "claims  for privacy  o f t e n made f o r such p r a c t i c e s , and the metaphors of p e r s o n a l  space are s t r e t c h e d t o apply of  But, as the  privacy,  with  t o them  i t s metaphors  ...the use of the language  of p e r s o n a l  space,  s a n c t u a r i e s and boundaries, t o p e r s o n a l i z e c o l l e c t i v e should  n o t go u n c h a l l e n g e d .  Such usage  ...can  understanding of the r o l e of these e n t e r p r i s e s . " Our in us,  acceptance  finally,  development, typified  as moral b e i n g s . the psychologist  by an embrace  enterprises  . . . d i s t o r t our  8  of l i m i t a t i o n s on the p u r s u i t  the i n t e r e s t of a g r e a t e r "common good,  spheres,  of knowledge,  i s what d i s t i n g u i s h e s  The second h i g h e s t  stage of moral  Lawrence Kohlberg  has argued, i s  of " d e m o c r a t i c  161  contract,"  involving  collective  action.9  moral the  discussion  notion  The  and  agreement, as  the b a s i s  of i n d i v i d u a l  commitment t o a common humanity, i m p l i c i t  of a d e m o c r a t i c  contract,  and  the  self-containing  sense of r e s p o n s i b i l i t y t h a t grows out of i t , are the f o r c e s will  guide  claims  us  through  the  ethical  f o r access and p r i v a c y .  troubled  waters  will  depend  dilemmas  Our on  commitment to those f o r c e s .  162  the  posed  by  and  that  competing  success i n n e g o t i a t i n g breadth  in  depth  those  of  our  CONCLUSION ENDNOTES 1. P h i l i p S l a t e r , The P u r s u i t P r e s s , 1970) 7.  of L o n e l i n e s s (Boston: Beacon  2. C i t e d i n Bok, S e c r e t s 17. 3. C i t e d  i n Bok 17.  4. S c h a e f e r , " P r i v a c y : A P h i l o s o p h i c a l Overview" 19. 5. Schaefer 19. 6. C h r i s t i a n Bay, "Access t o P o l i t i c a l Knowledge as a Human R i g h t , " Government S e c r e c y i n Democracies, ed. Itzhak Galnoor (New York: New York U n i v e r s i t y P r e s s , 1977) 23. 7. Boruch and C e c i l , A s s u r i n g C o n f i d e n t i a l i t y 81. See a l s o Howard Zinn, "Secrecy, A r c h i v e s , and the P u b l i c I n t e r e s t , " Boston U n i v e r s i t y J o u r n a l 19 (1971): 37-44. 8. Bok 13-14. 9. The h i g h e s t stage i n Kohlberg's schema i s stage 6 i n which the b a s i s of moral a c t i o n i s found i n i n d i v i d u a l p r i n c i p l e s of c o n s c i e n c e . 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