Copr. © West 1999 No Claim to Orig. U.S. Govt. Works
28 CTLR 981
(Cite as: 28 Conn. L. Rev. 981)
Connecticut Law Review
Summer, 1996
Symposium: Legal Regulation of the Internet
*981 A RIGHT TO READ ANONYMOUSLY: A CLOSER LOOK AT "COPYRIGHT MANAGEMENT" IN
CYBERSPACE
Julie E. Cohen [FNa1]
Copyright © 1996 by the Connecticut Law Review; Julie E. Cohen
It has become commonplace to say that we have entered the age of information.
The words conjure up images of a reader's paradise -- an era of limitless
access to information resources and unlimited interpersonal communication.
In truth, however, the new information age is turning out to be as much
an age of information about readers as an age of information for readers.
The same technologies that have made vast amounts of information accessible
in digital form are enabling information providers to amass an unprecedented
wealth of data about who their customers are and what they like to read.
In the new age of digitally transmitted information, the simple, formerly
anonymous acts of reading, listening, and viewing -- scanning an advertisement
or a short news item, browsing through an online novel or a collection
of video clips -- can be made to speak volumes, including, quite possibly,
information that the reader would prefer not to share.
This Article focuses specifically on digital monitoring of individual
reading habits for purposes of so-called "copyright management" in cyberspace,
and evaluates the import of this monitoring for traditional *982 notions
of freedom of thought and expression. [FN1] A fundamental assumption underlying
our discourse about the activities of reading, thinking, and speech is
that individuals in our society are guaranteed the freedom to form their
thoughts and opinions in privacy, free from intrusive oversight by governmental
or private entities. The new copyright management technologies force us
to examine anew the sources and extent of that freedom.
Part I of this Article describes the various copyright management technologies
that are being developed to enable copyright owners to monitor readers'
activities in cyberspace and the uses they make of reading materials acquired
there. Part II provides an overview of proposed federal legislation designed
to reinforce copyright owners' power unilaterally to institute intrusive
copyright management systems. Part III considers, and rejects, the possibility
that the impending digital copyright management regime constitutes no more
than legitimate private ordering regarding the terms and conditions of
access to copyrighted works. Part IV discusses the sources and justifications
for an individual right to read anonymously, and argues that reading is
so intimately connected with speech and freedom of thought that the First
Amendment should be understood to guarantee such a right. Part V suggests
that the proposed federal protection for digital copyright management technologies
may be unconstitutional to the extent that it penalizes *983 individuals
who seek only to exercise their rights to read anonymously, or to enable
others to do so. Finally, Part VI argues that rather than seeking to enshrine
a set of practices designed to negate reader anonymity, Congress should,
instead, adopt comprehensive legislation designed to shield individual
reading habits from scrutiny.
I. THE NEW COPYRIGHT MANAGEMENT TECHNOLOGIES
The amount of copyrighted material available online has grown exponentially
in the last few years, and will continue to do so for the foreseeable future.
[FN2] The same technologies that enable readers to access digitally stored
works, however, also will enable copyright owners to generate precise and
detailed records of such access. Copyright owners then can use that data,
together with other new technological tools, to monitor on a continuing
basis, and extract additional royalties for, readers' subsequent uses of
the works they have acquired. [FN3] Thus, for example, if I purchase a
collection of essays online, the copyright owner can charge me for the
file containing the essays, generate a record of my identity and what I
purchased, and insert pieces of microcode into the file that will: (1)
notify the copyright owner every time I "open" one of the essays and specify
which one I opened; (2) notify me when I must remit additional fees to
the copyright owner -- this much to browse the essay, this much to print
it out, this much to extract *984 an excerpt, and so on; and (3) prevent
me from opening, printing, or excerpting the piece until I have paid. Together,
these new digital monitoring and metering technologies define the burgeoning
field of "copyright management." [FN4] Within the last two years, a copyright
management industry has begun to emerge, directed at the development of
integrated digital systems that can not only conduct online transactions
and generate customer records, but also implement desired technological
and price restrictions on subsequent uses of copyrighted works. [FN5]
As justification for the development of digital copyright management
systems, copyright owners cite the ease of reproducing and transmitting
unauthorized copies of digital works over electronic networks. They argue
that technological protection for their works is necessary to prevent widespread
infringement, thus giving them the incentive to make their works available
online. [FN6] As the above example suggests, *985 however, many copyright
owners envision copyright management systems that will be capable of doing
far more than simply preventing unauthorized reproduction. One study of
existing technologies for copyright management characterizes the ideal
technology as "capable of detecting, preventing, and counting a wide range
of operations, including open, print, export, copying, modifying, excerpting,
and so on." [FN7] In addition, the wish list continues, the copyright management
system should maintain "records indicating which permissions ha[ve] actually
been granted and to whom." [FN8] The system can then create a record each
time the work is used and notify the copyright owner if additional "usage
rights" are sought. [FN9] This vision of the future of copyright management
could entail total loss of reader anonymity in cyberspace. [FN10]
In addition to using new digital technologies to exert continuing control
over readers' uses of digital works, some copyright owners may use the
transaction records generated by their copyright management systems to
learn more about their customers through a process known as "profiling."
The activity of profiling, per se, is not new. It is a well-established
practice through which businesses of all types seek to learn as much as
possible about customers who show interest in their products or services.
For transactions that occur in "real" (as opposed to digital) space, however,
the ability to profile one's customer base is limited to some extent by
customers' willingness to self- report -- for example, by filling out product
registration cards. In contrast, profiling in the digital age holds out,
for the first time, the tantalizing promise of "perfect" information, because
digital communications can be structured to create detailed records of
consumer purchases and reading *986 activities. [FN11]
At its most crude, profiling might consist of gathering basic demographic
information about readers who "visit" a copyright owner's site on the World
Wide Web and/or acquire digital copies of copyrighted works made available
there. When I pay for the collection of essays, my electronic mail address
and, if applicable, credit card information, furnish some information about
my identity. [FN12] More sophisticated reader profiling is made possible
by the use of intelligent "search agents" that comb the World Wide Web
for other information about me -- other things I have purchased, discussion
groups and newsgroups to which I belong, and so on. [FN13] The copyright
owner may also use complex "data mining" techniques that analyze its customer
database, together with personal data purchased or acquired from other
sources, to identify patterns or correlations that might illuminate the
preferences of particular types of customers. [FN14] The copyright owner
can then use the information it has amassed about my tastes and purchasing
habits to market other works to me. It can also sell the information to
third parties.
*987 None of these intrusions need occur. A digital copyright management
system could perform the essential continuing control functions while still
preserving reader anonymity. At its most basic, such a system might simply
provide pricing information, negotiate the purchase transaction, and release
a copy of the work for downloading to the customer's computer -- without
generating permanent customer records at all. While some consumers might
choose to pay for digital works with credit cards, thereby revealing their
identities, others might opt for some form of anonymous-payer digital cash.
[FN15] Even for credit card purchases, the copyright owner could design
a system that would retain records of user identities only until payment
is received and/or that would deny copyright owners the ability to extract
the individualized transaction data necessary to conduct reader profiling.
Getting slightly more complicated, one could also imagine a remote debit
system that would simply extract an additional, but anonymous, payment
from the reader each time the work is used in a designated way. [FN16]
Finally, to prevent unauthorized copying, the copyright owner could simply
insert a piece of microcode in every copy of a digital work that would
automatically bar the reader from making perfect second-generation digital
copies, or from printing more than one copy. [FN17] Similar "serial copy
management" technology is now required in all digital audio recording devices
and media sold in the United States. [FN18]
It is not yet apparent which model, if any, will become the standard*988
for online copyright management. However, neither private nor public research
efforts appear to contemplate built-in technological limits on copyright
owners' monitoring capabilities. The Library of Congress, in conjunction
with the Corporation for National Research Initiatives and the Department
of Defense, is working to develop an automated copyright registration and
recordation system that will incorporate a prototype "rights management"
component. [FN19] The publicly-available documentation for the system does
not indicate what measures, if any, have been taken to preserve for would-be
readers an option to remain anonymous. [FN20] Privacy is discussed only
with reference to the use of public key cryptography to keep purchase transactions
secure from third parties. [FN21] Private industry groups also are working
to develop their own copyright management systems and standards. [FN22]
The Copyright Clearance Center, which handles photocopy licensing for many
large copyright owners, is developing a system capable of extremely fine-grained
monitoring and control. [FN23] A number of computer technology companies
are pursuing similar capabilities, and the Association of American Publishers
is following their progress closely. [FN24] Concern for reader privacy
appears limited to the "market acceptance problems" that might develop
once systems to capture "detailed report[s] of daily usage" are in *989
place. [FN25] Thus, it seems certain that the digital copyright management
systems of the not-so- distant future will enable copyright owners who
desire it to maintain comprehensive databases of who is reading what.
The National Telecommunications and Information Administration recently
released a report that discusses in some depth the implications of digital
monitoring technologies and profiling practices for individual privacy.
[FN26] However, no statutory or regulatory barrier currently exists that
would preserve a right of anonymity for readers who purchase digital works
from private copyright owners. [FN27] Instead, Congress is currently considering
legislation of a very different sort.
II. THE PROPOSED ANTI-TAMPERING LAW
The National Information Infrastructure Copyright Protection Act ("NIICPA"),
[FN28] introduced in both houses of Congress in September 1995, represents
an attempt to set "rules of the road" for use of and access to copyrighted
works in cyberspace. [FN29] The provisions of the NIICPA are taken verbatim
from a "White Paper" issued by the Clinton Administration's Information
Infrastructure Task Force that sets forth the Administration's position
on why changes in the existing copyright law are necessary. [FN30] Both
the NIICPA and the NII White Paper have been analyzed in their entirety
elsewhere. [FN31] I will focus only on section *990 4 of the NIICPA, which
consists of a new Chapter 12, titled "Copyright Protection and Management
Systems," to be added to the Copyright Act. The new chapter would establish
comprehensive protection for copyright owners' decisions regarding copyright
management in cyberspace.
The NIICPA's protections for copyright management systems are twofold.
First, a new section 1201 of the Copyright Act would prohibit the importation,
manufacture, or distribution of devices or services "the primary purpose
or effect of which is to avoid, bypass, remove, deactivate, or otherwise
circumvent ... any process, treatment, mechanism or system which prevents
or inhibits the violation of any of the exclusive rights of the copyright
owner under section 106" of the Copyright Act. [FN32] Section 1202 would
prohibit tampering with "copyright management information" appended to
a digital work by the copyright owner. [FN33] In addition to such straightforward
items as the names of the author and copyright owner, "copyright management
information" is defined to include "terms and conditions for uses of the
work." [FN34] According to the NII White Paper, these provisions are needed
to help copyright owners police their copyrights, in light of the otherwise
trivial ease of generating and distributing unauthorized copies of their
works throughout cyberspace. [FN35] Their combined effect is far more sweeping,
and far less benign. Together, they authorize copyright owners to implement
the full range of "smart" copyright management technologies described in
Part I, above, and prevent readers from taking measures to protect themselves
against intrusive monitoring of their activities. [FN36]
*991 Proposed section 1203 provides that the anti-tampering provisions
of the NIICPA are to be enforced, in the first instance, by the avail-ability
of civil damages, together with any profits earned as a result of the prohibited
acts. [FN37] Neither the NIICPA nor the NII White Paper specifies how the
damages afforded under section 1203 are to be measured. However, section
1203 does not purport to supplant section 504 of the Copyright Act, which
authorizes the court to award the copyright owner "actual damages suffered
... as a result of the infringement, and any profits of the infringer that
are attributable to the infringement and are not taken into account in
computing the actual damages." [FN38] This suggests that section 1203 should
be interpreted as authorizing only those damages and profits attributable
to the act of tampering, as distinct from damages attributable to the act
of infringement, which will remain available under section 504. It is difficult
to imagine how such additional damages might be quantified, which in turn
suggests that section 1203, properly understood, is punitive rather than
remedial in nature.
In addition to civil penalties, the NIICPA also authorizes criminal
penalties for certain violations of section 1202, the provision that protects
"copyright management information" against tampering. [FN39] Conviction
under section 1204 will require a showing of "intent to defraud." [FN40]
However, section 1204 does not state what the violator must have intended
to defraud the copyright owner of. Here again, more than mere infringement
seems indicated. Interpreting section 1204 to require only intent to defraud
the copyright owner of the right to charge rents for the infringing use
would render meaningless existing statutory provisions that already authorize
criminal penalties for willful infringement. [FN41]
These new statutory provisions regarding copyright management systems
appear intended to give copyright owners carte blanche to *992 adopt whatever
copyright management technologies they conclude will best serve their interests.
[FN42] The NII White Paper gives only the barest of nods to the possible
consequences for reader privacy and anonymity. It notes that copyright
management systems "must be carefully designed and implemented to ensure
that they ... do not unduly burden use of the work by consumers or compromise
their privacy." [FN43] Apart from this vague and fleeting show of concern,
however, the NII White Paper expresses no opinion as to the types of copyright
management practices that would be unduly burdensome or intrusive, and
takes no position on the safeguards for reader privacy that a satisfactory
system should contain. Nor does it suggest that the government should require
adoption of such safeguards. The language of the NIICPA itself contains
no mention of these concerns.
The Working Group on Intellectual Property Rights, which drafted the
NII White Paper, was only one arm of the Information Infrastructure Task
Force. The Task Force also convened a Working Group on Privacy to address
questions relating to the protection of individual privacy in cyberspace.
[FN44] The results of that effort provide little comfort, however. While
the Working Group on Intellectual Property Rights came up with a detailed
legislative proposal, the Working Group on Privacy compiled only a list
of "principles" for both government and private industry to use in structuring
future privacy policies. [FN45] These principles "do not have the force
of law and do not create any substantive or procedural right enforceable
at law." [FN46] In addition, although the *993 NII Privacy Report expressly
recognizes that "individuals should have the opportunity to remain anonymous,
when appropriate," [FN47] the examples it provides suggest a definition
of "appropriate" that is narrow and highly deferential to the perceived
needs of private copyright owners. "[B]rows [ing] a public electronic library"
would be included [FN48]; by implication, browsing materials held out for
purchase by a private content provider would not be considered an "appropriate"
occasion for readers to assert, or take measures to protect, their anonymity
rights.
A subsequent report issued by the National Telecommunications and Information
Administration ("NTIA") expands upon this voluntary approach to the protection
of individual privacy rights in cyberspace. [FN49] The NTIA Privacy Report
recommends that holders of personal information adopt privacy policies
based on principles of informed consent. [FN50] The report makes clear
that its proposed notice-and-consent guidelines should be hortatory rather
than mandatory. [FN51] Neither the Working Group's "principles" nor the
NTIA's proposed guidelines provide much of a counterweight to the NIICPA's
express scheme for the protection of copyright management systems, which
would allow intrusions upon reader privacy and anonymity by technological
fiat.
If information consumers are to be afforded meaningful protection against
loss of their anonymity to intrusive copyright management practices, that
protection must be found elsewhere. Before turning to that question, however,
I consider whether the NIICPA and the copyright management regime it is
designed to protect should be viewed as the products of an emerging societal
consensus or bargain regarding the appropriate default rules for access
to digital works.
*994 III. COPYRIGHT MANAGEMENT, PRIVATE ORDERING, AND SOCIAL CONTROL
Many commentators have hailed cyberspace as a relatively costless medium
of interaction that will permit experimentation with decentralized, contract-based
forms of social ordering. Some espouse the libertarian view that individuals
should be free to contract, or refuse to contract, with whomever they choose
and about whatever they choose without government interference. [FN52]
Others, including many academic commentators, view such "private ordering"
as presumptively more efficient in many cases. [FN53] Still others favor
private ordering as the antidote to "big government." [FN54] The NII White
Paper appears to reflect a combination of these views. As described there,
digital copyright management systems are a desirable and presumptively
legitimate form of private ordering. [FN55]
Private ordering is not an unequivocal good, however, but a choice that
may be acceptable or not, depending on the context. Whatever the abstract
force of arguments that the law should not intervene in a functioning system
of social control based on private agreements, those arguments merit little
weight in the debate over how much discretion to allow copyright owners
in the realm of online rights management. Among readers and copyright owners,
the threads of "community" are too tenuous and the power imbalances too
stark to support the conclusion that the nascent digital copyright management
regime is a legitimate, bargained-for result.
*995 Advocates of private ordering have identified several different
models, any of which might plausibly provide a pattern for rulemaking in
cyberspace. First, the forces of custom and community might combine to
produce a system of consensual norms for governing access to copyrighted
works. [FN56] Second, one might envision a less consensual but equally
informal regime of virtual copyright management based on the freedom of
individual authors and copyright owners to set terms for access to their
works and the freedom of individual readers to reject those terms and purchase
reading material elsewhere. [FN57] Finally, one might seek to understand
the proposed digital copyright management regime, including the anti-tampering
provisions of the NIICPA, as the result of bargaining at the interest group
level. None of these models explains, much less justifies, the institution
of anonymity-destroying digital copyright management systems. I address
each in turn.
A leading recent study of informal private ordering suggests that, in
general, systems of consensual extra-legal norms are likely to emerge among
fairly well-defined, close-knit communities of repeat players. [FN58] In
his study of dispute resolution among Shasta County, California cattle
ranchers and their neighbors, Professor Ellickson found that the small,
relatively self- contained community had developed its own set of internal
rules for responding to property damage caused by trespassing live-stock
and for ensuring the construction and repair of boundary fences. [FN59]
The parties affected by the impending digital copyright management regime
exhibit none of the characteristics that Ellickson identifies as important
for the development of such norms.
First, the "community" of authors, owners, and readers of copyrighted
works is neither well-defined nor close-knit. It encompasses, on the one
hand, giant publishing and entertainment conglomerates such as Time-Warner
and, on the other, anyone who has ever read a newspaper article or watched
a movie. While all members of the copyright "community" depend on one another,
in some sense, for the production, distribution, and consumption of creative
works, the community's sheer size and diversity of tastes ensures that
members do not depend on *996 each other with the same immediacy as two
Shasta County neighbors who share a boundary fence. [FN60]
A second, and related, objection is that to the extent digital copyright
management systems can be said to reflect shared extra-legal norms developed
by repeat-player members of a copyright "community," that community does
not include readers. [FN61] The transient nature of the reader's interest
in particular copyrighted works, compared with the more enduring interests
of the authors and copyright owners in administering the rights to all
of their works, marks the reader as the outsider. Ellickson offers a highway
collision involving a passing tourist as an example of a situation in which
Shasta County locals are content to leave adjudication of fault and determination
of remedy to the legal superstructure. [FN62] The passing tourist has no
authority to invoke the system of third-party enforcement that has arisen
among neighbors who are repeat players in interactions with each other.
Similarly, it is extremely unlikely that the individual reader who wishes
anonymous access to a copyrighted work will be able to pressure the owner
to grant it by invoking shared norms that the reader helped create.
This is not to say that Ellickson's model can never be valid in cyberspace.
Geographic proximity need not be the touchstone for community. Thus, for
example, the model of consensual private ordering based on shared extra-legal
norms may have some validity in the case of a small, inherently self-contained
online discussion group. This is so because the notion of consent plays
a critical role in the process of community self-definition. As a result,
all members of the community will assist in enforcing the extra-legal norms
that have developed within the community. [FN63] Members of online discussion
groups have a shared interest in keeping the discussion within certain
broadly defined parameters *997 of relevance, and in making sure that fellow
list members adhere to certain standards, however minimal, of courteous
online behavior. Even those members who occasionally transgress group norms
will assist in enforcing those rules of "netiquette" against others. [FN64]
It is this sense of common interest and perceived interdependence that
the group composed of readers, authors, and owners of copyrighted works
lacks. [FN65] Compelling evidence of this lack of community is the urgency
with which copyright owners have supported passage of the anti-tampering
provisions of the NIICPA -- contrasted with the behavior of Shasta County
residents, who simply resolved their own disputes without recourse to the
legal system and often without knowledge or apparent concern as to what
the law actually said. [FN66] The monitoring and metering capabilities
now being incorporated into prototype digital *998 copyright management
systems are not community responses to isolated incidents of misbehavior
by transgressors, but the unilateral, self- help response of copyright
owners to the ordinary behavior of readers. [FN67]
The second model of private ordering, which focuses on the cumulative
effect of many arms-length transactions, would suggest that individual
readers might nonetheless exert pressure on copyright owners who demand
identifying information -- either by bargaining for more acceptable terms
or by taking their business elsewhere. If enough readers are unwilling
to purchase a particular copyrighted work on the terms offered, market
forces will lead the copyright owner to rethink its position. Contracts
fare no better than norms in this regard, however. If copyright owners
as a class adopt digital copyright management systems designed to capture
readers' identities and monitor individual reading activities, it is unlikely
that disgruntled readers will have any significant impact on that practice.
[FN68]
Neither abstract notions of freedom of contract nor theories about efficient
markets justify slavish adherence to contractarianism in all cases involving
intellectual property rights. [FN69] Reader anonymity is the paradigmatic
example of an issue that a contract model is ill-suited to resolve. From
a purely economic standpoint, market pressures will reach high enough levels
to affect particular copyright management choices only if enough individual
readers conclude that the benefits of *999 withholding their custom outweigh
the costs. In the particular case of a demand for reader identifying information,
there is no reason to assume this is likely, and much reason to suspect
the opposite. Professor Farber has argued that speech has public good characteristics
that may require special protection precisely because information consumers
do not accurately value the benefits of incremental speech. [FN70] The
identical analysis applies to anonymous reading. It is difficult, if not
impossible, to grant the benefits of anonymity to some individuals and
withhold them from others. [FN71] It is also difficult to value anonymity
in the abstract. Most likely, readers who seek access to "ordinary," mainstream
materials for "ordinary," non-embarrassing reasons -- that is, most readers
in most instances -- will conclude that holding out for anonymous access
is not worth it. Moreover, the perceived costs of forgoing access to desired
reading material will rise, and the likelihood of reader hold-out will
fall, as more reading material is technologically protected. In other words,
the more pervasive digital copyright management systems become, the less
likely readers will be to refuse to contract with them. It is worth noting,
moreover, that the anti-tampering provisions of the NIICPA, if enacted,
can only decrease readers' aggregate leverage over copyright management
decisions by foreclosing resistance through self-help.
If the argument that individual readers can influence copyright management
decisions by withholding their business is implausible, the argument that
they may seek such changes by bargaining with copyright owners one-on-one
is, quite simply, absurd. First, the whole point of a digital copyright
management regime is to eliminate the per-transaction bargaining that copyright
owners find so cumbersome to administer. [FN72] The only way to "bargain"
with a digital rights management *1000 system is by hacking around it --
the precise conduct that the NIICPA will prohibit. Second, and self-evidently,
a right to read anonymously cannot be preserved if it must first be bargained
for on a case by case basis. The act of bargaining negates the goal of
concealment. [FN73]
Individual anonymity can be preserved, if at all, only by effective
representation of readers as a group, through arms-length bargaining with
the group of copyright owners -- the third model of private ordering in
cyberspace -- or through the quasi-private, indirect bargaining characteristic
of "public choice." [FN74] There are significant economic obstacles to
collective action by readers, however. For the same reasons that most readers
will simply acquiesce to the loss of anonymity on most occasions, many
individuals will decide that the costs of organization outweigh the benefits.
[FN75] It is true that some costs of collective action, particularly those
associated with intra-group communication, are medium-specific. Thus, it
is conceivable that in time, the ease and affordability of real-time communication
in cyberspace might eliminate some of the more obvious transaction costs
that might foreclose collective action by readers in the "real" world.
In other contexts, the Internet has proved an unprecedentedly effective
medium for harnessing collective protests by "netizens" against both government
and private actions. [FN76] However, effective lobbying for legal change
requires a far *1001 more sustained investment of effort and resources,
and some real- world infrastructure to coordinate that effort. [FN77]
A theory of collective action also must consider whether one interest
group might effectively "capture," or simply preempt, the bargaining process.
[FN78] The institution of digital copyright management systems -- an action
entirely within the discretion of copyright owners to undertake or forgo
-- affords an excellent example of preemption. Such unilateral action renders
wholly irrelevant the interest group priorities that the group of readers
might assert in a hypothetical private bargaining process. The anti-tampering
provisions of the NIICPA, in contrast, raise suspicions of legislative
capture. Those provisions, described above, would vest copyright owners
with absolute authority to define the scope of the digital rights management
regime, and would make any interference with their choices illegal. [FN79]
It is difficult to imagine a more blatant example of single-interest group
legislation. Not surprisingly, publishers of copyrighted works have given
the proposed law their enthusiastic support. [FN80]
The problem with all three models of private ordering, in short, is
that the process of rule-formation may not reflect the participation of
all the groups whose interests should be considered. [FN81] In particular,
when some market participants are comparatively well-heeled and well-organized
repeat players and others are not, the resulting rule -- whether characterized
as norm or arms-length bargain, and whether *1002 legal or extra-legal
-- will simply reflect the balance of power. [FN82] Professor Merges has
suggested that interest-group priorities unilaterally imposed via standardized
contracts may achieve such a high degree of market penetration as to amount
to private legislation imposed on other, unrepresented interest groups.
[FN83] He argues that in such cases, the contracts "'become effective instruments
in the hands of powerful industrial and commercial overlords, enabling
them to impose a new feudal order of their own making."' [FN84] This analysis
applies equally to the unilateral institution of copyright management systems
-- which, after all, are simply standardized adhesion contracts in digital
form. [FN85]
In sum, "private ordering" is not a talisman, but simply a descriptor
for a variety of activities that occur, to some degree, within any legal
regime. When the terms and conditions of access to copyrighted works are
at issue, the paradigmatic small, close-knit community of repeat players
necessary for a legitimate -- i.e., consensual and self-enforcing -- system
of "order without law" simply does not exist. And to the extent readers
lack the ability to bargain effectively, either individually or collectively,
and copyright owners possess the ability unilaterally to impose technological
gateways that maximize their control over the conditions of access to copyrighted
works, the resulting regime can hardly be characterized as the result of
"market pressures," "interest-group bargaining," or "public choice." In
the electronic copyright management regime now under construction, consumers
of digital works will lose the ability to read anonymously whether they
like it or not. *1003 That copyright management systems may nonetheless
represent "private ordering" of a sort does not resolve -- or even begin
to answer -- the question whether that result represents good policy or
good law. [FN86] The remainder of this Article addresses that question.
IV. A RIGHT TO READ ANONYMOUSLY
For the most part, First Amendment jurisprudence has defined readers'
rights only incidentally. Historically, both courts and commentators have
been more concerned with protecting speakers than with protecting readers.
Protection of speech is, of course, the First Amendment's central, express
guarantee. Until recently, however, the technological means to monitor
individuals' reading habits did not exist. Thus, the questions whether
the First Amendment should be read to establish a right to read and what
scope to accord such a right have demanded, and received, comparatively
little attention. [FN87] They merit a great deal of attention now. In light
of the new digital monitoring technologies, it is vitally important that
we reexamine our understanding of reading, its relationship to speech,
and its place in our jurisprudence of speech and speaker's rights. This
Article begins one part of that project, by considering whether there is
or should be a right of anonymous access to reading materials that are
otherwise made available by willing distributors. [FN88] It concludes that
the close interdependence between receipt and expression of information
and between reading and freedom *1004 of thought make recognition of such
a right sound constitutional policy. [FN89]
The question whether the First Amendment protects a right to read anonymously
is, in essence, the question whether the textual reference to "speech"
may or should be understood to encompass and shield from interference all
of the modes by which we participate in the process of communication. Communication
may be oral or written, and participation in a given act of communication
may be active or passive. [FN90] It is a truism that both "active" modes
of communication -- speaking and writing -- qualify as constitutional "speech."
The relationship between the receipt of information and expression is less
well-explored. [FN91]
*1005 As a matter of both historical and current practice, the distinction
between "active" expression and "passive" receipt is less clear than one
might suppose. From a historical perspective, the strict demarcation between
speaking and reading is a relatively recent one. For much of human history,
everything from stories to important business matters was transmitted orally.
[FN92] Even after the advent of written manuscripts, the words they contained
were first "read" by speaking them aloud. [FN93] We have come a long way
from the days of medieval scribes and public readings of texts and missives.
However, with the advent of electronic networks and hypertext links, expression
and receipt of information are blurring once again. [FN94] Electronic text
is dynamic; rather than following a single, linear progression, the reader
is free to choose his or her own path through a network of linked material.
Through this process, the reader participates in the construction of the
author's message. [FN95] While it may be premature to speak of the demise
of the author, [FN96] the creation of at least some "speech" in cyberspace
thus reflects *1006 the combined efforts of both "authors" and "readers."
The uncertain separation between speaking and reading in the digital
medium is simply an external manifestation of a process that all readers
and listeners undergo. Functionally, the activities of the recipient and
the proponent of speech -- reading/hearing and speaking/writing, respectively
-- are properly viewed as two halves of the same whole. Freedom of speech
is an empty guarantee unless one has something -- anything -- to say. A
central insight that both copyright and literary theory can lend to First
Amendment jurisprudence is that the content of one's speech is shaped by
one's response to all prior speech, both oral and written, to which one
has been exposed.
The principle that individual expression is necessarily cumulative has
a rich lineage in both copyright law and critical copyright theory. "Originality,"
as a prerequisite for copyright protection, is a term of art; it is well-
understood that every "original" work of authorship is, in many respects,
a distillation of the works that came before it. [FN97] The same is true
of any expression of an idea, whether or not "fixed" enough to qualify
for copyright protection. [FN98] Thoughts and opinions, which are the predicates
to speech, cannot arise in a vacuum. Whatever their content, they are responses
formed to things heard or read. [FN99] It is *1007 this iterative process
of "speech- formation" -- which determines, ultimately, both the content
of one's speech and the particular viewpoint one espouses -- that the First
Amendment should shield from scrutiny. [FN100]
To object that comparatively few people conduct in-depth research before
sharing their views on a particular topic is to miss the point. [FN101]
All speech responds to prior speech of some sort. The person who expresses
vigorous disapproval of Hillary Clinton after months of reading electronic
bulletins on "femi-nazis" from Rush Limbaugh and subscribing to anti-feminist
Usenet newsgroups is no different in this regard than the person who reads
a judicious mixture of New York Times op-ed pieces and scholarly literature
on feminism before venturing to express an opinion regarding Mrs. Clinton's
conduct. When the two readers choose to express their own views, the First
Amendment protects both speakers equally. Logically, that zone of protection
should encompass the entire series of intellectual transactions through
which they formed the opinions they ultimately chose to express. Any less
protection would chill inquiry, and as a result, public discourse, concerning
politically and socially controversial issues -- precisely those areas
where vigorous public debate is most needed, and most sacrosanct. [FN102]
The doctrinal groundwork for a right to read anonymously is discernible
in the First Amendment jurisprudence of the McCarthy era. *1008 Even in
cases that accepted some degree of government power to inquire into individual
involvement with suspected communist organizations, the Supreme Court's
opinions reflect a sense that individual freedom to read and think lie
at the heart of the zone of activity that the First Amendment protects.
Thus, for example, in Sweezy v. New Hampshire, [FN103] the Court held that
New Hampshire's Attorney General could not, in the course of investigating
alleged communist activities, inquire into the contents of a university
professor's lectures. [FN104] Although no analysis commanded a majority
of the Court, six Justices made clear their view that the line of questioning
pursued by the state threatened a core First Amendment interest in freedom
of intellectual inquiry. [FN105] In other cases, such as Schneider v. Smith,
[FN106] the Court construed statutes empowering legislative investigation
into "subversive" activities narrowly, to preclude a broad authorization
to "probe the reading habits" of individuals. [FN107]
The most direct support for a right to read anonymously appears in Lamont
v. Postmaster General [FN108] and Stanley v. Georgia. [FN109] In Lamont,
the Court struck down a postal regulation that authorized interception
of mail classified as communist propaganda and required addressees to specially
notify the postal service of their desire to receive the material. The
regulation invalidated in Lamont concerned government surveillance of the
mails, rather than a more general right of anonymity. Nonetheless, the
Court's reasoning supports a broader application. Writing for the Court,
Justice Clark relied on the chilling effect that disclosure of individual
reading preferences would produce, and reasoned that the regulation was
"almost certain to have a deterrent effect" on individuals' ability to
receive reading materials of their choice. [FN110] Accordingly, *1009 he
concluded, the regulation was "at war with the 'uninhibited, robust, and
wide-open' debate and discussion that are contemplated by the First Amendment."
[FN111]
In Stanley, the Court ruled that a state could not criminalize the private
possession of "obscene" materials -- even though it might regulate commercial
distribution of the identical reading materials. [FN112] Justice Marshall's
majority opinion characterized the state's argument as, in essence, "the
assertion that the State has the right to control the moral content of
a person's thoughts," and termed that objective "wholly inconsistent with
the philosophy of the First Amendment." [FN113] Again, the opinion contains
language supporting a broader right of anonymity with respect to one's
choice of reading material. The Court described the right being asserted
as "the right to satisfy [one's] intellectual and emotional needs in the
privacy of [one's] own home" and "the right to be free from state inquiry
into the contents of [one's] library." [FN114] This is privacy language,
and has been recognized as such, but it is anonymity language as well.
[FN115]
*1010 The right to read anonymously implicit in Lamont and Stanley is
predicated on the likely chilling effect that exposure of a reader's tastes
would have on expressive conduct, broadly understood -- not only speech
itself, but also the information-gathering activities that precede speech.
[FN116] More recently, the Court has held that Stanley's "zone of privacy"
extends only to the home, and thus does not protect even private individuals'
importation or transportation of obscene material for their personal use.
[FN117] However, the Court also has reaffirmed Stanley's *1011 First Amendment-based
recognition of a right of freedom of thought and intellectual inquiry --
a right that necessarily includes the freedom to read unobserved. [FN118]
Logically, the same principles that forbid the state from "inquir[ing]
into the contents of [one's] library" also forbid it from monitoring additions
to one's library as they are acquired. [FN119]
The Court's recent decision in Denver Area Educational Telecommunications
Consortium, Inc. ("DAETC") v. FCC [FN120] appears based in part on this
reader's right of anonymity. DAETC concerned distribution of and access
to material deemed merely indecent rather than obscene, and therefore eligible
for First Amendment protection. The Court struck down a statutory provision
requiring cable system operators to segregate "patently offensive" programming
on a separate channel and to make that channel available to viewers only
upon receipt of a written request, on the ground that the statute was more
restrictive than necessary to protect minors. [FN121] Citing Lamont, the
Court indicated that the First Amendment rights at stake included those
of "subscribers who fear for their reputations should the operator, advertently
or inadvertently, disclose the list of those who wish to watch the 'patently
offensive' channel." [FN122] Beyond this single sentence, however, the
Court offered no further discussion of the nature or extent of subscribers'
First Amendment rights. The Third Circuit's opinion in Fabulous Associates,
Inc. v. Pennsylvania Public Utility Commission, [FN123] which invalidated
Pennsylvania *1012 regulations requiring users of dial-a-porn services
to preregister for personalized "access codes," contains a slightly more
detailed analysis. The court reasoned that "the First Amendment protects
against government 'inhibition as well as prohibition,"' including the
"inhibitory effect" created by a requirement that would-be listeners identify
themselves. [FN124]
Above and beyond the chilling effects that flow from intrusion on reader
anonymity, however, such anonymity has inherent First Amendment value.
Last Term, in McIntyre v. Ohio Elections Commission, [FN125] the Supreme
Court reaffirmed that anonymity occupies a central place in the First Amendment
lexicon. At issue was an Ohio statute that prohibited the distribution
of anonymous literature designed to influence the outcome of an election.
Observing that anonymous advocacy has a long and distinguished literary
and political history, the Court held that an author's decision to remain
anonymous is a decision about the content of his or her speech, and, as
such, entitled to First Amendment protection. [FN126]
A similar analysis applies where reader anonymity is concerned. The
freedom to read anonymously is just as much a part of our tradition, and
the choice of reading materials just as expressive of identity, as the
decision to use or withhold one's name. Indeed, based purely on tradition,
the freedom to read anonymously may be even more fundamental than the freedom
to engage in anonymous political speech. Anonymous advocacy has always
been controversial. [FN127] Anonymous reading, in contrast, is something
that is taken for granted. The material conditions for non-anonymous reading
-- the technologies that enable content providers to monitor readers' activities
and choices -- have only recently come to exist. [FN128] With them has
come the realization that *1013 the act of reading communicates, and that
our tradition of anonymous exploration and inquiry is threatened. Reader
profiles are valuable to marketers precisely because they disclose information
about the reader's tastes, preferences, interests, and beliefs. That information
is content that the reader should have a constitutionally protected interest
in refusing to share. [FN129] Moreover, the most powerful justification
advanced for requiring speakers to disclose their identities -- an asserted
need to ensure speaker accountability for harms to others resulting from
defamation, harassment, and the like [FN130] -- does not apply to readers,
for the mere act of reading cannot injure. [FN131]
Last but not least, reading is an important dimension of the individual
right of associational freedom. The Supreme Court has repeatedly held that
there is a constitutionally protected right of associational anonymity.
[FN132] As first articulated in NAACP v. Alabama, this protection is *1014
in part a function of the expressive aspects of association and of the
chill that disclosure of unpopular associations might impose. [FN133] It
has also been argued that a right of anonymity in one's interpersonal affiliations
protects the individual's right to construct his or her identity without
public scrutiny. [FN134] Reading is intellectual association, pure and
simple. As such, it is as profoundly constitutive of identity as direct
interpersonal association. There are reasons for according even stronger
protection to reading, moreover. Interpersonal association and group affiliation
are, by definition, voluntary expressions of a common purpose or interest.
Although disclosure of one's affiliations may chill protected conduct,
the information revealed by such disclosure is, at least, accurate. In
contrast, one may not wish to affiliate oneself with the authors of some
materials one chooses to read; indeed, one may affirmatively wish otherwise.
I may read The Turner Diaries or The Fountainhead for purely scholarly
reasons, without any intent or desire to associate myself with the movements
they have come to represent. To the extent that the dangers of being labeled
by one's reading choices are greater than the dangers of being labeled
by one's choice of associates, the case for First Amendment protection
of association through reading is correspondingly stronger.
Lamont and Stanley, DAETC, McIntyre, and NAACP v. Alabama all suggest
the glimmerings of judicial recognition of a broad right of anonymity extending
to all of the constitutive activities of communication. As discussion above
suggests, to describe this right as merely derivative of the First Amendment's
express guarantee of freedom of speech begs the question of antecedence.
While it might be correct to say that we should recognize a right to read
anonymously in order to safeguard the right to speak, the activities of
speaking and of receiving information are symbiotic; one cannot exist without
the other, and any definition of "speech" in the constitutional sense properly
encompasses both. [FN135] A First Amendment jurisprudence for the new information
age *1015 should expressly reflect and affirm this broad definition. As
four justices of the Supreme Court recently acknowledged, "in times of
fast-changing technology," the doctrines developed "to give effect to the
broad command of the First Amendment to protect speech from government
interference" must be construed in light of this underlying purpose. [FN136]
Now that digital copyright management technology has made it possible to
monitor reading habits, preferences regarding political commentary, artistic
tastes -- in short, to intrude to an unprecedented degree on private intellectual
activity of all types -- the doctrines that protect "speech" must be reshaped
to ensure that the protection they afford is not diminished.
Where anonymous access to privately-owned digital works is sought, however,
readers' rights do not exist in a vacuum. The rights and freedoms of private
copyright owners also must be considered. First, to the extent that the
Supreme Court's First Amendment decisions recognize a right to read, they
expressly or implicitly characterize that right as the right to receive
information from a willing speaker. [FN137] This formulation suggests that
the right to read is not absolute. [FN138] There is no right, for example,
to force information from one who is unwilling to speak. [FN139] The right
to read, thus formulated, is the correlative of the right to speak -- no
narrower in scope, perhaps, but certainly no broader. [FN140] As a preliminary
matter, then, any discussion of a right to *1016 read anonymously must
consider whether an online information provider that declines to do business
with an anonymous would-be customer is simply exercising its own First
Amendment right not to "speak" to a unknown audience. [FN141]
The Supreme Court has suggested that an author's right to control the
public distribution of his or her work has a constitutional dimension.
In Harper & Row, Publishers, Inc. v. Nation Enterprises, [FN142] which
involved the unauthorized release of excerpts from a soon-to-be-published
book, the Court made clear that its refusal to invoke the fair use doctrine
was motivated in part by concern for the author's First Amendment rights.
The Court observed that the Framers of the Constitution "intended copyright
itself to be the engine of free expression." [FN143] It reasoned that copyright
policies reserving control over distribution to the author serve First
Amendment as well as copyright purposes. In particular, authors enjoy the
same right not to speak accorded other speakers. [FN144] Copyright protects
this right by securing to authors a right of creative control -- a right
not to publish ideas before they have been developed and polished to the
author's satisfaction. [FN145]
Arguably, Harper & Row might be read to stand for the proposition
that authors and their publishers also have a constitutionally protected
right to refuse -- for whatever reason -- to distribute "their" works to
anonymous readers. [FN146] However, Harper & Row addressed only the
relatively narrow issue of the author's right to control the circumstances
surrounding the first publication of a work. The reasoning that supports
recognition of a First Amendment right with respect to initial publication
does not necessarily indicate anything about the *1017 constitutional rights
of authors and/or publishers with respect to works that have been judged
ready for release and have been made available for electronic distribution.
[FN147] For such works, the right of creative control is no longer implicated.
The only question is the terms on which the reader will be permitted to
acquire a copy. [FN148]
One can envision circumstances in which the reader's identity might
nonetheless matter a great deal to the author or publisher of a completed
work. For example, the Church of Scientology might prefer that its literature
be made available only to its own members. For such limited distribution
works -- works intended exclusively for a particular, limited audience
-- a right to refuse to engage in anonymous transactions makes sense. [FN149]
The vast majority of works, however, are offered to *1018 anyone who wishes
to acquire them. Even works that have a limited audience because of their
subject matter -- for example, many scientific and technical publications
-- typically are made available to all who are interested. As to these
"general distribution" works, the copyright owner wants identifying information
for its own recordkeeping purposes, rather than because some identifying
characteristic of the reader would affect its decision whether or not to
distribute the work to that particular reader. [FN150] When an identification
requirement serves administrative or copyright management purposes only,
the copyright owner's First Amendment argument is at its weakest.
The force of the argument that the Constitution protects a copyright
owner's right to require identifying information from readers, then, depends
on the type of work to which it is applied. A copyright owner may prefer
not to sell to nameless individuals, but in the vast majority of cases
the First Amendment will not support that preference in the same way that
it supports the right to control first publication. [FN151] When *1019
a copyright owner's desire for identifying information is motivated simply
by copyright management concerns, the reader's right of anonymity should
prevail.
A second and more important argument, however, is that the First Amendment
can guarantee anonymous access to privately-owned works only to the extent
that state action is implicated in copyright owners' efforts to deny such
access. Even then, the right to read anonymously, like other First Amendment
rights, may be subject to restrictions so long as the restrictions survive
the appropriate level of scrutiny. [FN152] In Fabulous, for example, the
Third Circuit had little difficulty deciding that the government interest
in ensuring that pornography is not distributed to children could entail
some sacrifice of anonymity on the part of adult dial-a-porn recipients.
[FN153] It is against this background that the constitutionality of the
proposed protection for anonymity-destroying copyright management efforts
must be examined.
V. THE FIRST AMENDMENT CASE AGAINST THE PROPOSED ANTI-TAMPERING LAW
The existence of a right to read anonymously, in the abstract, does
little to guarantee individual readers protection against private conduct.
The First Amendment affords protection only against governmental conduct
that threatens reader anonymity. How, then, is the right to read anonymously
triggered by the so-called "copyright management" efforts of private content
providers? Quite simply, it is not -- but the proposed *1020 anti-tampering
provisions of the NIICPA are a different story. The proposed Chapter 12
of the Copyright Act would prohibit -- and in some cases, criminalize --
efforts to "remove or alter" copyright management information or to "avoid,
bypass, remove, deactivate, or otherwise circumvent ... any process, treatment,
mechanism, or system" put in place for copyright protection. [FN154] On
their face, these provisions would reach both the conduct of the willful
infringer and that of the concerned libertarian who tampers with copyright
management soft-ware only, and only to the extent necessary, to preserve
his or her anonymity. [FN155] Arguably, enforcement of these provisions
supplies the requisite government action. If so, their breadth cannot be
justified by any governmental interest.
Merely using the judicial system to enforce a property right -- or even
a government-created quasi-property right -- doesn't usually constitute
state action. [FN156] Thus, for example, the Supreme Court has held that
the federally-created nature of trademark rights does not automatically
import state action into every lawsuit for trademark infringement. [FN157]
The Court's analysis applies equally to copyright infringement actions.
However, it is also well-accepted that the scope of copyright protection
is limited by the First Amendment, by way of judicially-developed doctrines
such as fair use and the idea/expression distinction. [FN158] These doctrines
reflect a recognition that allowing certain private *1021 uses of the copyright
laws would threaten constitutionally-protected interests. A finding of
state action is implicit in this conclusion, and is neither far-fetched
nor doctrinally unsound. Although the Constitution empowers Congress to
confer and define the scope of copyright protection, and the courts to
interpret the congressional mandate, neither may do so in a way that the
First Amendment forbids. [FN159] The question, then, is how to characterize
a legislative act that allows the institution of, and enforces compliance
with, private copyright management regimes.
As the preceding paragraph suggests, the public/private distinction
that forms the basis of state action doctrine is particularly problematic
as applied to copyright law. [FN160] Even in the case of real property,
the Supreme Court has recognized that "[o]wnership does not always mean
absolute dominion," and that in some circumstances an owner's rights may
"become circumscribed by the statutory and constitutional rights of *1022
those who use" the property. [FN161] Copyright, unlike real property, reflects
a careful, expressly-drawn balance between private (author's) rights and
public rights. [FN162] Thus, for example, the Copyright Act does not give
a copyright owner the right to control a reader's private use of a lawfully
acquired copy of his or her work. [FN163] In addition, as I have mentioned,
the Act withholds copyright protection from ideas, processes, and the like,
and also allows members of the public to make fair use of protected expression.
[FN164] These public rights are intended to stimulate the creation of new
copyrightable works, but they also are intended to safeguard the public's
freedom of expression. [FN165] Any congressional act that appears to allow
copyright owners to alter them at will should be carefully scrutinized.
The anti-tampering provisions of the NIICPA fare poorly under such scrutiny.
The NIICPA superimposes upon the existing framework of copyright and
contract law an additional layer of private legislation regarding the terms
and conditions of access to copyrighted works. [FN166] The law's effect,
and apparent intent, is to ensure that these private terms are automatically
honored, whatever their merits or defects as a matter of contract or copyright
doctrine or policy. [FN167] In effect, then, the NIICPA delegates the enforcement
of contracts -- a core public function traditionally carried out by the
judicial system -- to private copyright *1023 owners. [FN168] In Flagg
Brothers, Inc. v. Brooks, [FN169] the Supreme Court indicated that private
resolution of a commercial dispute ordinarily will not implicate state
action. [FN170] The proposed anti-tampering law, however, does not merely
facilitate private ordering within an existing legal framework, but constitutes
a wholesale delegation of power to both make the rules and prevent their
violation. The Flagg Brothers Court expressly declined to hold that private
dispute resolution could never run afoul of constitutional limits. [FN171]
Arguably, a law that authorizes private re-ordering of rights defined in
part by the First Amendment presents an appropriate situation for the imposition
of such constraints. [FN172]
The anti-tampering regime established by the NIICPA is distinguishable
from the private self-help at issue in Flagg Brothers in two ways, moreover.
First, the NIICPA contains no provision that would allow an individual
reader to seek a remedy for copyright management practices perceived as
unfair. Rather, it appears that the anti-tampering provisions of the NIICPA
will be the exclusive means afforded for mediating conflicts regarding
digitally-imposed access restrictions. [FN173] Requirements imposed by
a copyright owner's standard-form electronic contract and enforced by its
copyright management software may be challenged only by violating the anti-tampering
provisions, subjecting oneself to prosecution *1024 or suit, and raising
the desired challenges as defenses once the machinery of official process
has been set in motion. [FN174]
Second, unlike the creditor in Flagg Brothers, copyright owners cannot
obtain redress for violations of the proposed anti-tampering law without
a government actor's assistance. [FN175] This is so regardless of which
of the NIICPA's penalty provisions is invoked. Criminal prosecution under
proposed section 1204 plainly would constitute state action. [FN176] Beyond
dispute, the government may not prosecute individuals for engaging in constitutionally
protected conduct. However, government involvement exists even in a civil
action under the statute. As discussed above, the civil remedies afforded
under the proposed anti-tampering law are not remedies for copyright infringement,
but separate civil penalties tied to the act of "tampering" itself. [FN177]
This penalty scheme directly implicates the government in the enforcement,
as well as the authorization, of copyright owners' private contract regimes.
[FN178]
The conclusion that the NIICPA's penalty provisions should be deemed
to supply state action does not end the inquiry, however. We also must
consider whether the NIICPA's restrictions on tampering concern speech
at all, or merely "nonspeech" elements of readers' conduct. If the latter,
they are subject to much more deferential review. [FN179] Thus, in United
States v. O'Brien, [FN180] the Supreme Court held that the government's
interest in maintaining a draft registration system based on registration
certificates was sufficient to justify a law prohibiting mutilation or
destruction of the certificates, notwithstanding any incidental limits
the statute might impose on expressive conduct. [FN181] Arguably, tampering
with copyright management systems is no different. Other federal statutes
criminalize tampering with information stored on *1025 someone else's computer,
and it has never been seriously argued that the First Amendment prevents
their enforcement. [FN182]
When reader anonymity is at issue, tampering with copyright management
systems to preserve that anonymity is intimately associated with the exercise
of a First Amendment freedom. Nine years after O'Brien, in Wooley v. Maynard,
[FN183] the Supreme Court held that a state could not constitutionally
punish an individual for tampering with a license plate to obscure the
unwanted message displayed there. [FN184] The Court reached this conclusion
even though the statute at issue, like the statute in O'Brien (and like
the NIICPA), "d [id] not punish only destruction engaged in for the purpose
of expressing views." [FN185] Wooley reflects the Court's recognition that
the proscribed conduct was the defendant's only means of preserving his
freedom of expression. Similarly, failure to engage in the conduct necessary
to preserve the freedom to read anonymously results in its immediate, irretrievable
loss. In the particular case of anonymity, then, the anti-tampering provisions
of the NIICPA are inextricably bound up with the exercise of protected
rights.
Restrictions on speech unrelated to the content of the burdened speech
activities -- as the NIICPA's anti-tampering provisions plainly are --
must survive an "intermediate" level of scrutiny. [FN186] The case for
the proposed anti-tampering law, then, rests on the proposition that the
governmental interests associated with copyright management are "substantial"
enough to warrant invasion of the freedom to read anonymously as a matter
of course, and that the restriction imposed on that freedom "'is no greater
than is essential to the furtherance of that interest."' [FN187] Even the
most staunch copyright protectionist should have difficulty making that
argument with a straight face.
The government interest most often invoked to justify intrusive monitoring
of electronic communications -- a need to empower law enforcement*1026
agencies to detect signs of illicit activity [FN188] -- is peculiarly inapt
where copyright management systems are concerned. First, given that the
NII White Paper expressly disclaims any intent to require copyright owners
to adopt digital "rights management" systems, it is hard to imagine a plausible
argument that law enforcement needs justify such monitoring of readers'
identities as copyright owners elect. [FN189] Second, access to preexisting
copyrighted works that are held out to the public does not implicate "communication"
of the sort that could serve as a predicate act for a conspiracy or wire
fraud charge. Rather, the targeted activity is intellectual inquiry --
an activity that the Supreme Court has suggested is entitled to the highest
levels of First Amendment protection. To accept that the government has
a substantial -- or even any -- need to monitor what citizens read for
law enforcement reasons would negate that guarantee. [FN190] The government
interest that supports public libraries' maintenance of patron checkout
records is different and highly medium-specific. Physical libraries have
a substantial interest in securing the timely return of loaned materials.
[FN191] In cyberspace, no such interest exists, because the sender's computer
retains the original file and distributes only copies. [FN192]
That copyright infringement may occasionally rise to a level that constitutes
criminal activity does not change the government interest analysis. [FN193]
While the government has an obvious interest in preventing wholesale piracy
of copyrighted works, that interest is not implicated, much less threatened,
by the actions of individuals who seek to acquire, *1027 lawfully but anonymously,
copies of such works for their personal use. The more general government
interest in protecting private quasi-property rights cannot justify routine
monitoring of what people read any more than the government interest in
protecting private reputations against libel or slander can justify routine
monitoring or prior restraint of what people say. [FN194]
Even if the government interest in deterring copyright infringement
were substantial enough to justify some restriction on First Amendment
freedoms, however, the anti-tampering provisions of the NIICPA fail the
second half of the intermediate scrutiny test. It is technically feasible
to design copyright management systems that protect the underlying works
without compromising reader anonymity. For example, a digital work might
contain embedded software that automatically frustrates second-generation
copying without reporting the attempted duplication to the copyright owner.
[FN195] Alternatively, the system might collect fees via an anonymous payment
system, or prevent the extraction of reader identifying data. [FN196] Thus,
it is difficult to avoid the conclusion that the anti-tampering provisions
of the NIICPA are broader than necessary to protect copyright owners' legitimate
interests.
A slightly more substantial government interest, where reading is concerned,
is the interest in shielding children from "obscene" and "indecent" material.
This interest has been held compelling in other contexts; [FN197] thus,
it is certainly conceivable that it could justify some limitation on anonymous
access to digital works. Here again, however, the fact that the government
is not planning to require any particular copyright management schemes
undercuts any such argument. And here again, mandatory disclosure of reader
identities is a measure that is far *1028 more restrictive than is necessary
to protect the government's interest. Obscene material is considered wholly
ineligible for First Amendment protection; [FN198] thus, there is no need
to screen readers by age or any other factor. The range of material that
might be considered indecent is far too broad and uncertain to define with
sufficient clarity. While it appears that some purveyors of sexually explicit
material, such as the "dial-a-porn" at issue in Fabulous, make attempts
to screen would-be customers, the term "indecent" as defined by the courts
"would cover a broad range of material from contemporary films, plays and
books ... to controversial contemporary art." [FN199] A requirement that
copyright owners attempt to identify and regulate access to such material
would lead inexorably to universal screening, and universal denial of anonymity
to adult readers -- an unacceptable result. [FN200]
For material distributed by commercial pornographers, moreover, it is
technically feasible to design an anonymous "adult password" system, under
which of-age readers might obtain passwords or certificates of majority
from a reliable entity unconnected to any particular purveyor of copyrighted
works. [FN201] The government's interest in protecting children also might
support the argument that copyright owners should design copyright management
systems that support screening software developed for private use. For
example, publishers of digital works might be required to institute or
participate in a rating system, so that parents, elementary schools, and
the like could configure their own systems to deny access (or require a
password for access) to materials rated above a certain level. [FN202]
Such a "self-screening" regime would *1029 require no sacrifice of anonymity
on the part of adult readers.
In sum, there is a strong argument that the anti-tampering provisions
of the NIICPA encompass conduct protected by the First Amendment and, if
enacted, cannot constitutionally be enforced against individuals who exercise
technological self-help to protect their freedom to read anonymously. One
might validly ask, though, where that leaves the rest of us. The right
to exercise self-help where necessary to protect one's anonymity may seem
cold comfort to the great majority of consumers who lack the technical
wherewithal to do so. Although some commentators have argued otherwise,
[FN203] merely alleging that the anti-tampering law chills the exercise
of First Amendment rights probably will not confer standing to challenge
it. [FN204] What, then, is the "ordinary" reader to do?
The unavailability of a direct legal challenge to the NIICPA need not
mean that "ordinary" readers will be left without recourse. As the first
line of defense, it is possible that readers who so choose will be able
to pay for works using anonymous digital cash. [FN205] However, digital
cash may not be acceptable to some copyright management systems - for example,
systems designed to extract differential per-use royalties based on the
nature of the user as well as the nature of the use. [FN206] In addition,
it is entirely possible that the government will attempt to prohibit anonymous
payment systems for law enforcement reasons. [FN207] Thus, it is more likely
that would-be anonymous readers will seek to purchase the technological
capabilities they lack, and that a market for software and services will
develop in response to this demand -- unless copyright owners can use the
NIICPA to prevent that result.
If the proposed anti-tampering law is unenforceable against so-called
"tamperers" who merely seek to protect their own anonymity, *1030 however,
it should be equally unenforceable against individuals who seek to market
that capability, and only that capability, to others. Although litigants
generally may not assert the constitutional rights of third parties, the
Supreme Court has allowed such third-party standing where there are legal
or practical obstacles to a direct challenge by the rights-holder, and
where the relationship between the rights-holder and the litigant "suggests
that the third party presumably wishes assertion of the right and that
the litigant is capable of raising it effectively." [FN208] The Court has
recognized that a right of anonymity affords a particularly compelling
justification for third- party standing, because "[t]o require that it
be claimed by the [rights- holders] themselves would result in nullification
of the right at the very moment of its assertion." [FN209] And it has repeatedly
allowed providers of allegedly unlawful products or services to raise the
rights of their clientele in situations where enforcement of the challenged
law would effectively violate those rights by making the products or services
unavailable. [FN210] Thus, assuming the state action hurdle is surmounted,
there is no barrier to this type of third-party challenge to the NIICPA's
penalty provisions. If such a challenge succeeded, "ordinary" readers might
then be offered the opportunity to purchase the software or services that
best fit their needs.
*1031 VI. CLOSING THE CIRCLE: DESIGNING EFFECTIVE PROTECTION FOR READER
ANONYMITY
Up to this point, I have considered only the implications of government
intervention on the side of copyright owners. Government intervention in
the development of digital copyright management systems could, of course,
assume a very different form. Rather than penalizing legitimate and constitutionally
protected individual conduct, the government could enact legislation that
would outlaw intrusive, anonymity-destroying practices by copyright owners
-- or, at the very least, set strict controls on the permissible uses of
reader identifying information. Under a law designed to protect the interests
of readers as well as copyright owners, "ordinary" readers would not be
forced to depend on judicial findings of state action and third-party standing,
and on the outcome of a war of wits between hackers and developers of copyright
management software, to secure their First Amendment freedoms.
Ample precedent for legislation of this type exists in the form of state
and federal statutes enacted to protect consumer privacy in specific contexts.
States and the federal government have enacted legislation to protect the
privacy of video rental records [FN211] and cable TV subscription records.
[FN212] Most directly analogous, nearly all states have enacted legislation
to protect the identities of library patrons. [FN213] These context- specific
*1032 privacy statutes might serve as a starting point for the design of
comprehensive federal legislation to safeguard reader anonymity.
Existing privacy statutes alone afford insufficient protection to readers
of digital works, for three reasons. First, these statutes, whether federal
or state, typically are narrow provisions designed to protect privacy only
in particular contexts. [FN214] Second, the NIICPA casts doubt on the applicability
of even these specific protections in cyberspace. The example of video
rental records is illustrative. When a consumer views a video made available
by an online video service, which provision governs -- the federal Video
Privacy Protection Act, which says that a "rental" service may not keep
or distribute records of that rental, [FN215] or the NIICPA, which provides
safeguards to ensure that the owner of the copyright in the video may do
so?
Third, and ultimately most important, although anonymity and privacy
are closely related concepts, statutes enacted to protect privacy do not
necessarily serve anonymity concerns. [FN216] The focus of existing privacy
statutes, at least, is on making sure that consumer "personal identifying
information" is not disclosed to unauthorized third parties. Yet the chilling
effect on individual freedom to read and react to a work arises not only
because information about one's reading habits might be *1033 shared with
others, but also because it is collected at all -- and because, even if
not shared, it might be used by the entity that collected it. [FN217] And
the legal interests that justify overriding some privacy concerns have
greatly diminished force where anonymous access to reading materials is
at issue.
Some existing privacy statutes provide that the entity collecting the
personal identifying information may use or disclose that information,
as long as such use falls within the ordinary course of its business. [FN218]
In the context of the NIICPA, an "ordinary course of business" exception
would allow a copyright owner to use reader identifying information to
monitor readers' uses of reading materials they have purchased, particularly
if the copyright owner has elected to charge on a per-use basis. Nor would
such an exception necessarily prevent copyright owners themselves from
using reader information to develop accurate customer profiles and then
using those profiles to market other titles to customers. Thus, for example,
one could imagine an HIV-positive individual who purchases a work on coping
with AIDS and, shortly thereafter, *1034 begins to receive marketing literature
from the work's publisher concerning other, similar titles -- along, perhaps,
with other promotional literature that tends to suggest that the publisher
has assembled a fairly complete picture of the customer's tastes and intellectual
interests. The chilling effect of this conduct might be considerable, but
it is not something that existing privacy statutes were designed to prevent.
Privacy statutes also uniformly allow disclosure of personal identifying
information to law enforcement authorities pursuant to a valid subpoena
or warrant, [FN219] and some allow disclosure in response to civil subpoenas
as well. [FN220] Where reader anonymity is concerned, it is difficult to
imagine any justification for allowing routine civil discovery access to
this information. Civil litigants should be required to make a showing
of "compelling need," as they must before gaining access to other types
of information that are presumptively privileged. [FN221]
The question of law enforcement access to information about individual
reading habits is more complicated. As discussed above, the justification
for law enforcement access to information about digital transactions is
substantially weakened when the subject of the inquiry is the public's
reading habits. [FN222] Nonetheless, reading patterns may sometimes become
relevant to an investigation; [FN223] therefore, complete denial of *1035
access to readers' personal identifying information is probably infeasible.
[FN224] The real question, then, is not whether to allow law enforcement
access to this information, but how much procedural protection to require.
As Professor Freiwald has demonstrated, the level of procedural protection
accorded to digital communications generally has turned on whether the
information sought is the content of the communication or some other "communication
attribute." [FN225] To gain access to communication contents requires a
probable cause-based court order, while many stored records that reveal
communication attributes may be easily accessed upon a broad showing of
relevance. [FN226] If this two-tiered approach is retained as the universe
of digital communications expands to include commercial transactions in
cyberspace, [FN227] it is not clear how information such as the title of
a purchased work -- an item that reveals both the general nature of the
"communication" and its content -- would be classified. The federal Video
Privacy Protection Act imposes a probable cause-based standard for disclosure,
and also requires prior notice to the affected consumer, [FN228] but many
other privacy statutes adopt the communication attribute model for all
transaction records. Where reader anonymity is concerned, the nature of
the right at stake warrants stronger protection. Reading preexisting copyrighted
works -- whether online or off -- has no necessary nexus to conduct, and
is not the sort of "communication" with which law enforcement will or should
*1036 ordinarily be concerned. [FN229]
The voluntary "informed consent" system outlined in the NTIA Privacy
Report also does not answer anonymity concerns. [FN230] The report recommends
a two-tiered system under which personal information designated as "sensitive"
may be disclosed only if the consumer expressly "opts in," but "nonsensitive"
information may be disclosed unless the consumer expressly "opts out."
[FN231] Examples of "sensitive" information include medical records, "sexual
matters and orientation," personal financial information, and "political
persuasion." [FN232] But where anonymity, rather than privacy, is the primary
concern, the most "sensitive" piece of information is the consumer's name.
Viewed through the lens of anonymity, a system that requires consumers
individually to "opt out" of subsequent disclosure of their identities
is logically incoherent.
It is possible that citizen concern with reader anonymity might lead
individual states to legislate in the area of online reader anonymity,
but less clear what such efforts could accomplish. Although several states
have attempted to regulate activity in cyberspace, it is unclear whether
states have authority to legislate regarding permissible uses of subscriber
data by online information providers. [FN233] A state's jurisdiction stops
at its boundaries, while the essential nature of online activity is that
it does not. [FN234] Even assuming, however, that the individual states
could validly enact laws designed to protect the anonymity of consumers
of digital information, the NIICPA might prevent such laws from having
any meaningful effect. Certainly, a state could not authorize readers to
exercise self-help that the NIICPA expressly prohibits.
A federal statute governing online content providers, in contrast, would
create comprehensive protection for individual readers. To be most effective,
such a law would prohibit outright the collection of reader identity data.
However, an absolute ban is probably undesirable and may well be impracticable.
For example, if customers cannot use *1037 anonymous-payor digital cash,
online purchases of copyrighted works may necessarily reveal their identities.
In addition, some customers may want copyright owners to maintain identifying
records -- for example, a classical music aficionado who wants to be notified
as new digital recordings become available for purchase, and wants the
copyright owner to remember that she likes instrumental works, but not
opera.
More realistically, statutory protection for reader anonymity should
recognize that initial collection of reader identity data may occur, but
should require copyright owners to preserve an anonymous payment option
for readers who desire it. As to those readers who elect a payment system
that entails disclosure of identity, or who elect such disclosure for other
reasons, the statute should erect near-impermeable barriers against aggregation,
disclosure, use, and retention of identifying information for any purpose
other than the one(s) the reader has expressly and specifically authorized.
Such strong pro- reader default rules would counteract the disparities
in bargaining power that exist between readers and copyright owners. [FN235]
First, the statute should forbid disclosure of any reader identifying
information to anyone except law enforcement authorities without the reader's
express, fully informed authorization -- both as to each transaction or
category of information disclosed (for example, a purchase of Bach's Suites
for Unaccompanied Cello or a general preference for classical recordings)
and as to each recipient of that information. The statute should allow
civil litigants access to such information over the reader's objection
only after the affected reader has been given notice and an opportunity
to challenge the subpoena. [FN236] In any such proceeding, the requesting
party should bear the burden of proving that its request is justified.
[FN237] As to law enforcement authorities, the statute should accord reader
identifying information the status of communication contents, and require
a probable cause-based court order as a condition of access. [FN238]
Second, a statute designed to protect reader anonymity should substantially
*1038 restrict the "ordinary course of business" exception that appears
in many consumer privacy statutes. [FN239] Where reading is concerned,
the only compelling reason to maintain consumer identity data at all is
that some purchase transactions, such as credit card purchases, may take
time to be completed. Plainly, when a reader elects to use a credit card,
the law should not preclude the copyright owner from collecting and retaining
the information necessary to protect its financial interests in the transaction
in progress. Absent express, fully informed waiver by the consumer, however,
the statute should prohibit the copyright owner from any other subsequent
use of personal identifying information, including aggregation for internal
profiling purposes, and should require that the information be destroyed
as soon as payment has been completed. [FN240] Moreover, there should be
a separate waiver, or "opt in," requirement as to each transaction. [FN241]
The value each individual places on anonymity may vary greatly, depending
on the context. The HIV-positive classical music buff should not lose his
right to read information about HIV and AIDS anonymously simply because
he has asked to be notified when new classical recordings are released.
VII. CONCLUSION
Digital copyright management systems capable of monitoring and charging
for every use of a copyrighted work, no matter how de minimis, are not
some remote, futuristic nightmare. Prototype systems exist now, and there
is every reason to believe that actual systems will begin to appear online
in the very near future. Once in place, they will enable an unprecedented
degree of intrusion into and oversight of individual decisions about what
to read, hear, and view. Perhaps the "reader's paradise" analogy is apt
after all; in the digital age, it seems we will all be naked. In the face
of this development, it is important that we rethink our assumptions about
reading -- its nature, its importance, and its relation to the activities
of thinking and of speaking one's thoughts. This Article is intended as
a first step in that direction.
I have argued that reading is so intimately connected with speech, *1039
and so expressive in its own right, that the freedom to read anonymously
must be considered a right that the First Amendment protects. To the extent
that the NIICPA and the copyright management regime it enshrines require
readers to surrender their anonymity as a condition of access to digital
works, neither can be considered a legitimate private bargain between copyright
owners and readers. Arguably, the provisions of the NIICPA that would give
private copyright management systems, and private copyright management
decisions, the force of law amount to unconstitutional state action, and
could not be enforced against readers who tamper with copyright management
systems solely to preserve their own anonymity or the anonymity of others.
A far better solution, however, would be for Congress to recognize the
implications of the new copyright management technologies for readers,
and rethink the private copyright management regime it is on the verge
of approving. As one of the "rules of the road" for the digital age, Congress
should extend to all readers comprehensive protection against anonymity-destroying
practices adopted by copyright owners.
FN1. Much has been written about the impact of new digital technologies
on individual privacy generally. See, e.g., Anne W. Branscomb, Who Owns
Information? From Privacy to Public Access (1994); Oscar H. Gandy, Jr.,
The Panoptic Sort: A Political Economy of Personal Information (1993);
Anne W. Branscomb, Internet Babylon? Does the Carnegie Mellon Study of
Pornography on the Information Superhighway Reveal a Threat to the Stability
of Society?, 83 Geo. L.J. 1935 (1995); Susan Freiwald, Uncertain Privacy:
Communication Attributes After the Digital Telephony Act, 69 S. CAL. L.
REV. 949 (1996); A. Michael Froomkin, Flood Control on the Information
Ocean: Living with Anonymity, Digital Cash, and Distributed Databases,
15 J.L. & COM. 395 (1996); Joel R. Reidenberg, Privacy in the Information
Economy: A Fortress or Frontier for Individual Rights, 44 FED. COMM. L.J.
195 (1992); Joel R. Reidenberg & Francoise Gamet-Pol, The Fundamental
Role of Privacy and Confidence in the Network, 30 WAKE FOREST L. REV. 105
(1995); Glenn C. Smith, We've Got Your Number! (Is It Constitutional to
Give It Out?): Caller Identification Technology and the Right to Informational
Privacy, 37 UCLA L. REV. 145 (1989); Symposium, Privacy and IVHS, 11 SANTA
CLARA COMPUTER & HIGH TECH. L.J. 13 (1995); Symposium, Data Protection
Law and the European Union's Directive: The Challenge for the United States,
80 IOWA L. REV. 431 (1995); see also Seth F. Kreimer, Sunlight, Secrets,
and Scarlet Letters: The Tension Between Privacy and Disclosure in Constitutional
Law, 140 U. PA. L. REV. 1, 3-11 (1991) (predicting that the modern "information
explosion" will exacerbate existing tensions in constitutional privacy
doctrine). This Article will not revisit that ground, but will focus more
specifically on the relationship between privacy, anonymity, and freedom
of thought and expression. As used in this Article, "reading" includes
viewing and listening.
FN2. See, e.g., Economic Indicators, THE ECONOMIST, Feb. 24, 1996, at
110 (number of Internet hosts growing at 85% annually, and number of multi-media
World Wide Web pages growing at 2500% annually).
FN3. Consistent with the planned extraction of royalties on a per-use
basis, copyright owners and developers of copyright management systems
refer to the initial transaction in the copyrighted work as a "license"
rather than a sale. Whether purveyors of copyrighted works held out for
mass-market purchase may characterize consumer transactions as licenses
to justify imposing more restrictive terms than allowed by copyright law
is hotly debated, as is the larger question whether copyright law and the
substantive policies it embodies preempt certain contract terms outright.
See, e.g. ProCD, Inc. v. Zeidenberg, 86 F.3d 1447, 1453-55 (concluding
that contract terms ordinarily will not be preempted) (7th Cir. 1996);
Mark A. Lemley, Intellectual Property and Shrinkwrap Licenses, 68 S. CAL.
L. REV. 1239 (1995); David A. Rice, Public Goods, Private Contract and
Public Policy: Federal Preemption of Software License Prohibitions Against
Reverse Engineering, 53 U. PITT. L. REV. 543 (1992). The proposed Article
2B of the Uniform Commercial Code, which is intended to cover licensing
of intangibles, makes no reference to these debates. See Draft Revised
Article 2B: Licenses, available online <http:// www.lawlib.uh.edu/ucc2b/0503/0503_2b.html.>
This Article will not address the question of copyright preemption of license
terms, except to note that the answer will affect significantly the range
of copyright management practices a copyright owner may lawfully adopt.
See infra notes 42-43 and accompanying text.
FN4. See Mary G. Smith & Robert Weber, A New Set of Rules for Information
Commerce -- Rights-Protection Technologies and Personalized-Information
Commerce Will Affect All Knowledge Workers, COMM. WEEK, Nov. 6, 1995, at
34; Mark Stefik, Letting Loose the Light: Igniting Commerce in Electronic
Publication, in MARK STEFIK, ED., INTERNET DREAMS: ARCHETYPES, MYTHS, AND
METAPHORS 3 (forthcoming MIT Press 1996); Robert Weber, Digital Rights
Management Technologies, available online <http://www.ncri.com/articles/
rights_management/> (describing desired functions and capabilities of a
copyright management system and surveying available technologies and providers).
FN5. See CHRISTOPHER BURNS, COPYRIGHT MANAGEMENT AND THE NII: REPORT
TO THE ENABLING TECHNOLOGIES COMMITTEE OF THE ASSOCIATION OF AMERICAN PUBLISHERS
(1995); Charles Clark, The Publisher in the Digital World, in Intellectual
Property Rights and New Technologies: Proceedings of the Knowright '95
Conference 85, 96-101 (1995); Smith & Weber, supra note 4; Stefik,
supra note 4; Mark Stefik, Shifting the Possible: How Digital Property
Rights Challenge Us To Rethink Digital Publishing (1996) (unpublished paper
on file with author); Steve G. Steinberg, Software Metering, Wired 3.07,
July 1995, at 137; Steve G. Steinberg, Tracking Usage Rights, Wired 3.07,
July 1995, at 140; Steve G. Steinberg, Digital Watermarks, Wired 3.07,
July 1995, at 141; Weber, supra note 4; see also John Perry Barlow, The
Economy of Ideas: A Framework for Rethinking Patents and Copyrights in
the Digital Age, Wired 2.03, March 1994, at 84, 129; Esther Dyson, Intellectual
Value, Wired 3.07, July 1995, at 136, 139, 184.
FN6. See, e.g., On-Line Security Issues: Hearings on S. 1726 Before
the Subcomm. on Science, Technology and Space of the Senate Comm. on Commerce,
104th Cong., 2d Sess. (June 12, 1996) (statement of Jack Valenti, Chairman
and Chief Executive Officer, Motion Picture Association of America, Inc.),
available online WESTLAW, USTestimony database; National Information Infrastructure:
Hearings on S. 1284 Before the Senate Comm. on the Judiciary, 104th Cong.,
2d Sess. (May 7, 1996) (statement of Kenneth R. Kay, Executive Director,
Creative Incentive Coalition), available online WESTLAW, USTestimony database;
Copyright Protection on the Internet: Hearings on H.R. 2441 Before the
Subcomm. on Courts and Intellectual Property of the House Comm. on the
Judiciary, 104th Cong., 2d Sess. (Feb. 7, 1996) (statements of the Association
of American Publishers; Barbara A. Munder, Senior Vice President, The McGraw-
Hill Companies; Frances W. Preston, President and CEO, Broadcast Music,
Inc.; Jack Valenti, Chairman and Chief Executive Officer, Motion Picture
Association of America, Inc.), available online WESTLAW, USTestimony database;
Creative Incentive Coalition, Ten Myths About the NII Copyright Protection
Act (1996), available online http://www.cic.org/myths.html; see also U.S.
~DEP'T OF COMMERCE, INFORMATION INFRASTRUCTURE TASK FORCE, WORKING GROUP
ON INTELLECTUAL PROPERTY RIGHTS, INTELLECTUAL PROPERTY AND THE NATIONAL
INFORMATION INFRASTRUCTURE: THE REPORT OF THE WORKING GROUP ON INTELLECTUAL
PROPERTY RIGHTS 10-12, 177-78, 230 (1995) [hereinafter NII WHITE PAPER].
FN7. Weber, supra note 4, § 3.1.1; see also BURNS, supra note 5,
at 17-21, 31- 35; Clark, supra note 5, at 97-99; Stefik, supra note 4,
at 14-24; Steinberg, Software Metering, supra note 5; Steinberg, Usage
Rights, supra note 5.
FN8. Weber, supra note 4, § 3.2.
FN9. See, e.g., BURNS, supra note 5, at 32 ("In addition to regulating
access to the local data-base, the systems capture a record of what the
user actually looked at, copied or printed, and this usage record is sent
to the clearinghouse when the user seeks additional access, at the end
of a billing period or whenever the user runs out of credit."); Smith &
Weber, supra note 4, at 36-37.
FN10. It could also entail the demise of the fair use doctrine. See
Pamela Samuelson, The Copyright Grab, WIRED 4.01, Jan. 1996, at 134. However,
that is a subject for another article.
FN11. See Alan Wexelblat, How Is the NII Like A Prison?, available online
< http://wex.www.media.mit.edu/people/wex/panoptic-paper.html> (characterizing
profilers' goal as "the panoptic sort," an "information collection and
use regime" that will enable perfect prediction of individual conduct);
see generally GANDY, supra note 1. In cyberspace, of course, "perfect"
information is a myth. Email addresses may be shared by families or even
by co-workers, so that it may be impossible to assemble accurate demographic
profiles. However, that is unlikely to deter digital profilers from trying.
FN12. See, e.g., Mitch Betts, Privacy Fades for Web Visitors: Lust for
Data, New Tracking Techniques Dog Users, COMPUTERWORLD, Sept. 25, 1995,
at 162; Steve Moore, Internet Security Split: Let the Browser Beware, COMPUTERWORLD,
Aug. 28, 1995, at 59; Froomkin, supra note 1, at 484-88. Industry commentators
refer to such Web site "hits" as "mouse droppings." See, e.g., Larry Irving,
Progress Report on the Information Superhighway: Privacy High on the Fed's
Priority List -- Surprised?, MACWORLD, Mar. 1996, at 260.
FN13. See, e.g., Betts, supra note 12 (describing "DejaNews" search
tool that allows retrieval of individuals' postings to Usenet discussion
groups); Forbes ASAP, How Smart Agents Will Change Selling, FORBES, Aug.
28, 1995, at 95; Debra Aho Williamson, Smart Agents Build Brains Into Net
Ads: More Companies Tap Technology to Better Target Web Users Who Visit
Their Sites, ADVERTISING AGE, Apr. 8, 1996, at 26.
FN14. See Reidenberg, supra note 1, at 200-06 & n.42 ("Random House
is testing a database that enables it to send specialized mail order catalogs
to customers with specific reading preferences."); Reidenberg & Gamet-Pol,
supra note 1, at 112, 121-22; Dan Richman, Data Mining Chisels Its Niche,
COMPUTER WORLD, Jan. 29, 1996, at 49 (explaining general principles of
data mining); Froomkin, supra note 1, at 481-88 (describing the convergence
of sophisticated data mining techniques with the increased availability
of data pertaining to individual histories, purchasing patterns, and reading
habits); U.S. DEP'T OF COMMERCE, NATIONAL TELECOMMUNICATIONS AND INFORMATION
ADMINISTRATION, PRIVACY AND THE NII: SAFEGUARDING TELECOMMUNICATIONS-RELATED
PERSONAL INFORMATION app. (1995) [hereinafter NTIA PRIVACY REPORT] (same);
Wexelblat, supra note 11, at 2-4 (same).
FN15. See Froomkin, supra note 1, at 415-20, 459-70.
FN16. See Smith & Weber, supra note 4, at 36 ("To protect the privacy
of individuals ... the usage data can be aggregated or made anonymous before
it reaches rights holders."); Weber, supra note 4, S2.5.2.1; cf. Dorothy
J. Glancy, Privacy and Intelligent Transportation Technology, 11 SANTA
CLARA CPTR. & HIGH TECH. L.J. 151, 181-83 (1995) (observing that the
most effective way to protect individual privacy in the digital age is
to design technological tools so that they prevent or limit the identification
of individuals).
FN17. See, e.g., Stefik, supra note 4, at 31; Stefik, supra note 5,
at 4.
FN18. See 17 U.S.C. §§ 1001-1002. Without the required modifications,
digital audio recording devices can produce near-perfect copies of musical
recordings. The "serial copy management" provisions were added to the Copyright
Act to prevent the development of a market in unauthorized "perfect" second-
generation recordings. See H.R. REP. NO. 102-873(II), 102d Cong., 2d Sess.
2 (1992), reprinted in 1992 U.S.C.C.A.N. 3578, 3601. The provisions were
drafted to exclude computers and computer programs from the definitions
of "digital audio recording medium" and "digital musical recording." 17
U.S.C. § 1001(4)(B)(ii), (5)(B)(ii); see 138 CONG. REC. H9029, H9033
(statement of Rep. William Hughes, then-chairman of the Subcommittee on
Intellectual Property of the House Judiciary Committee). An analogous provision
for inclusion of serial copy management technology in digital works published
in cyberspace easily could be drafted. For a discussion of various anti-copying
functions and strategies that might be incorporated into digital copyright
management systems, see BURNS, supra note 5, at 15-21, 44-47.
FN19. NII WHITE PAPER, supra note 6, at 192 & n.518. The rights
management system is conceived as a means for licensing rights in copyrighted
works using electronic mail. See Robert E. Kahn, Deposit, Registration
and Recordation in an Electronic Copyright Management System, available
online <http://www.nlc- bnc.ca/documents/infopol/copyright/kahn.txt.>
Field tests of the system began in late 1994. Otis Port, Halting Highway
Robbery on the Internet, BUSINESS WEEK, Oct. 17, 1994, at 212.
FN20. See NII WHITE PAPER, supra note 6, at 192 & n.518; U.S. Copyright
Office, Copyright Office Electronic Registration, Recordation and Deposit
System, available online <http://lcweb.loc.gov/copyright/cords.html.>
FN21. See Kahn, supra note 19. For a brief overview of public key cryptography,
see Froomkin, supra note 1, at 418-419 & n.74. For more in-depth treatments
of cryptography generally and the encryption of digital communications
in particular, see BRUCE SCHNEIER, APPLIED CRYPTOGRAPHY 19-56 (1994); A.
Michael Froomkin, The Metaphor Is the Key: Cryptography, the Clipper Chip,
and the Constitution, 143 U. PA. L. REV. 709, 713-14, 718-63 (1995).
FN22. It is unlikely that the government would mandate adoption of the
Copyright Office's system by copyright owners who prefer something different.
As in other areas of federal technology policy, it is more likely that
future legislation or regulation in this area will simply encourage private
sector development of systems and standards. This is the approach recommended
by the government in the NII WHITE PAPER. NII WHITE PAPER, supra note 6,
at 233 ("Copyright owners should be free to determine what level or type
of protection (if any) is appropriate for their works, taking into consideration
cost and security needs, and different consumer and market preferences.").
FN23. See Weber, supra note 4, §§ 3.3, 5.5.1
FN24. See BURNS, supra note 5, at 30-35; Weber, supra note 4.
FN25. Burns, supra note 5, at 36; see also Reidenberg, supra note 1,
at 206-07 (noting disparity between industry and individual views on consumer
privacy issues).
FN26. NTIA PRIVACY REPORT, supra Note 14. The report proposes the adoption
of voluntary privacy guidelines. See infra pp. 993, 1036-1037.
FN27. Nearly all states have statutes that protect the identities and
checkout records of library patrons. See infra note 213. Federal laws protect
the privacy of video rental and cable consumers, but those protections
may not cover online transactions. See 18 U.S.C. § 2710; 47 U.S.C.
§ 551; NTIA PRIVACY REPORT, supra note 14, at 16-17. For an overview
of existing statutes that afford privacy rights to information consumers
in narrower contexts, and discussion of their flaws where anonymity is
concerned, see infra Part VI.
FN28. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. (1995).
FN29. As of this writing, it appears that efforts to agree on a legislative
markup of the original bill have failed, and that the NIICPA will not be
put to a vote this year. See Heather Boyles, FARNET's Washington Update
(May 17, 1996), available online http://www.eff.org/pub/Alerts/farnet_on_copyr_bill_
960517.article. However, it is overwhelmingly certain that the bill will
be reintroduced when Congress reconvenes in the fall.
FN30. NII WHITE PAPER, supra note 6, app. 1.
FN31. See, e.g., Jessica R. Friedman, Report, A Lawyer's Ramble Down
the Information Superhighway: Copyright, 64 FORDHAM L. REV. 705 (1995);
Jessica Litman, The Exclusive Right to Read, 13 CARDOZO ARTS & ENT.
L.J. 29 (1994); Marybeth Peters, The Spring 1996 Horace S. Manges Lecture
-- The National Information Infrastructure: A Copyright Office Perspective,
20 COLUM.-VLA J.L. & ARTS 341 (1996); Samuelson, supra note 10; Pamela
Samuelson, Intellectual Property Rights and the Global Information Economy,
39 COMM. OF THE ACM 23 (1996); Symposium, Is Congress Turning the Internet
into an Information Toll Road?, INSIGHT MAG., Jan. 15, 1996, at 24 (debate
between Professor James Boyle, a leading opponent of the NIICPA, and Rep.
Carlos J. Moorhead, a sponsor of the bill).
FN32. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed § 1201 of the Copyright Act). A draft committee print prepared
by the House Judiciary Committee's Subcommittee on the Courts during the
unsuccessful markup negotiations, see supra note 29, would extend protection
to any mechanism or system "an effect of which" is to prevent infringement,
when there is reckless disregard of facts showing that the accused device
"primarily enables such infringement." See Draft Committee Print of H.R.
2441 (on file with author).
FN33. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed § 1202 of the Copyright Act).
FN34. Id. § 1202(c).
FN35. See NII WHITE PAPER, supra note 6, at 10-12, 177-78, 230.
FN36. See Samuelson, supra note 10, at 188 ("[I]n the future, it won't
be possible to say no, and any effort you make to block [copyright management
systems'] intrusions may make you a felon.").
FN37. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed § 1203 of the Copyright Act).
FN38. 17 U.S.C. § 504(b) (1994).
FN39. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed § 1204 of the Copyright Act). The draft committee print
would criminalize certain violations of § 1201 as well. See Draft
Committee Print of H.R. 2441, supra note 32.
FN40. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed § 1204 of the Copyright Act).
FN41. See 17 U.S.C. § 506(a) (1994); 18 U.S.C. § 2319 (1994);
cf. United States v. LaMacchia, 871 F.Supp. 535 (D.Mass. 1994) (reasoning
that illegal conduct alone, without some independent source of duty to
the injured party, cannot satisfy the fraud element of the federal wire
fraud statute) (citing United States v. Dowling, 739 F.2d 1445, 1449-50
(9th Cir. 1984), rev'd in part on other grounds, 473 U.S. 207 (1985)).
FN42. See, e.g., NII WHITE PAPER, supra note 6, at 233 ("Copyright owners
should be free to determine what level or type of protection (if any) is
appropriate for their works.").
FN43. Id. at 191.
FN44. U.S. Dep't of Commerce, National Telecommunications & Information
Administration, The National Information Infrastructure: Agenda For Action,
58 FED. REG. 49,025, at 49,035 (1993).
FN45. U.S. Dep't of Commerce, Information Infrastructure Task force,
Privacy Working Group, Privacy and the National Information Infrastructure:
Principles for Providing and Using Personal Information (1995) [hereinafter
NII PRIVACY REPORT], available online <gopher:// ntiantl.ntia.doc.gov:70/h0/papers/documents/files/niiprivprin_final.html>.
FN46. Id. at Introduction. In contrast, the European Union has adopted
a directive requiring all member countries to enact laws that govern the
collection, maintenance, use, and disclosure of personal data, and has
designated threshold standards that such laws must meet. See Directive
95/46/EC of the European Parliament and of the Council of 24 October 1995
on the Protection of Individuals with Regard to the Processing of Personal
Data and on the Free Movement of Such Data, 1995 O.J. (L 281) 31; Spiros
Simitis, From the Market to the Polis: The EU Directive on the Protection
of Personal Data, 80 IOWA L. REV. 445 (1995). The European Union's Green
Paper dealing with intellectual property and the global information infrastructure
(the counterpart to the NII White Paper) is correspondingly more sensitive
to the privacy and anonymity implications of digital copyright management
systems. Commission of the European Communities, Green Paper: Copyright
and Related Rights in the Information Society, COM(95)382, 79-80 (1995)
(calling for "a detailed examination" of the privacy implications of copyright
management technologies); see also Samuelson, supra note 10, at 25.
FN47. NII PRIVACY REPORT, supra note 45, at III.B., ¶ 31.
FN48. NII PRIVACY REPORT, supra note 45, at III.B., ¶ 31.
FN49. NTIA PRIVACY REPORT, supra note 14.
FN50. NTIA PRIVACY REPORT, supra note 14, at 19-27. For a more detailed
description of the NTIA proposal, see infra p. 1036-1037.
FN51. NTIA PRIVACY REPORT, supra note 14 at 20-21; see Irving, supra
note 12, at 260 ("[T]he plan's success depends on service providers' willingness
to be self-regulating."). The report suggests that the government should
mandate privacy standards only "[i]f such private sector action is not
forthcoming." NTIA PRIVACY REPORT, supra note 14, at 21.
FN52. See, e.g., David D. Friedman, Why Encryption Matters, available
online < http://www.best.com/ddfr/ Libertarian/Why_Crypto_Matters.html>;
Timothy C. May, Crypto Anarchy and Virtual Communities, available online
<http:// www.c2.org/arkuat/consent/Anarchy.html>; Timothy C. May, Cyphernomicon
2.13, available online <http:// ocaxpl.cc.oberlin.edu/brchkind/cyphernomicon/chapter2/2.13.html>;
DigitaLiberty FAQ, available online <http://www.digitalib.org/dl-faq.html>.
FN53. See, e.g., Robert L. Dunne, Deterring Unauthorized Access to Computers:
Controlling Behavior in Cyberspace Through A Contract Law Paradigm, 35
JURIMETRICS J. 1 (1994); I. Trotter Hardy, The Proper Legal Regime for
"Cyberspace", 55 U. PITT. L. REV. 993 (1994); Henry H. Perritt, Jr., Dispute
Resolution in Electronic Network Communities, 38 VILL. L. REV. 349 (1993).
FN54. See David Kline & Daniel Burstein, Is Government Obsolete?,
WIRED 4.01, Jan. 1996, at 86 (outlining this argument and identifying some
of its proponents).
FN55. NII WHITE PAPER, supra note 6, at 58-59, 192 n.517 (characterizing
"rights management" systems simply as a form of electronic contracting).
FN56. See, e.g., Hardy, supra note 53, at 1022-24, 1036-41.
FN57. See, e.g., Hardy, supra note 53, at 1019-21, 1028-36; Perritt,
supra note 53, at 367-72; NII WHITE PAPER, supra note 6, at 58-59, 192
n.517.
FN58. Robert C. Ellickson, Order Without Law: How Neighbors Settle Disputes
177-206 (1991); see also Mark A. Lemley, Shrinkwraps in Cyberspace, 35
JURIMETRICS J. 311, 314 (1995).
FN59. Ellickson, supra note 58, at 41-81, 185-89.
FN60. See Ellickson, supra note 58, at 65-81, 188-89 (describing norms
that govern fence construction and repair); cf. Perritt, supra note 53,
at 360 (observing that the "multidimensional relationships" necessary for
the development of a functioning system of extra-legal norms typically
do not exist on electronic networks).
FN61. See, e.g., BURNS, supra note 5, at 59-62 (recommending that the
Association of American Publishers "lead the evolution" of the digital
copyright management regime); ELLICKSON, supra note 58, at 169 (acknowledging
that some closely knit groups may have norms that maximize their own welfare
at the expense of other groups); Lewis A. Kornhauser, Are There Cracks
in the Foundation of Spontaneous Order?, 67 N.Y.U. L. REV. 647, 652-55
(1992) (noting the potential problem of "exploitation of some external
group," and further noting that unequal distribution of power within groups
also may preclude formation of consensual, informal norms of the type Ellickson
describes).
FN62. Ellickson, supra note 58, at 82-103.
FN63. Ellickson, supra note 58, at 207-29, 236-39.
FN64. See Dunne, supra note 53, at 11; Lemley, supra note 58, at 313-14;
Peter H. Lewis, An Ad (Gasp!) In Cyberspace, N.Y. TIMES, Apr. 19, 1994,
at D1.But see Perritt, supra note 53, at 360 (suggesting that the efficacy
of third-party enforcement will diminish as the online population grows).
FN65. See Perritt, supra note 53, at 360; cf. Lemley, supra note 58,
at 314 ("Unlike e-mail discussions, or the posting of free information,
commerce requires either a legal enforcement mechanism or a high degree
of trust among market participants.").
FN66. See Ellickson, supra note 58, at 48-64, 69-81. For testimony and statements in support of the NIICPA's anti-tampering provisions, see National Information Infrastructure: Hearings on S. 1284 Before the Senate Comm. on the Judiciary, 104th Cong., 2d Sess. (May 7, 1996) (statement of Kenneth R. Kay, Executive Director, Creative Incentive Coalition), available in WESTLAW, USTestimony database; Copyright Protection on the Internet: Hearings on H.R. 2441 Before the Subcomm. on Courts and Intellectual Property of the House Comm. on the Judiciary, 104th Cong., 2d Sess. (Feb. 7, 1996) (statements of the Association of American Publishers; Barbara A. Munder, Senior Vice President, The McGraw-Hill Companies; Frances W. Preston, President and CEO, Broadcast Music, Inc.; Jack Valenti, Chairman and Chief Executive Officer, Motion Picture Association of America, Inc.), available in WESTLAW, USTestimony database; Creative Incentive Coalition, Ten Myths About the NII Copyright Protection Act (1996), available online <http://www.cic.org/myths.html>; see also On-Line Security Issues: Hearings on S. 1726 Before the Subcomm. on Science, Technology and Space of the Senate Comm. on Commerce, 104th Cong., 2d Sess. (June 12, 1996) (statement of Jack Valenti, Chairman and Chief Executive Officer, Motion Picture Association of America, Inc.), available in WESTLAW, USTestimony database.
It is also worth noting that the NIICPA's anti-tampering provisions
have been opposed by a coalition of organizations representing, inter alia,
educators and libraries; presumably, this would not be the case if the
provisions merely restated a consensus. See National Information Infrastructure:
Hearings on S. 1284 Before the Senate Comm. on the Judiciary, 104th Cong.,
2d Sess. (May 7, 1996) (statement of Prof. Robert Oakley, Georgetown University
Law Center, for the Digital Future Coalition), available in WESTLAW, USTestimony
database; Digital Future Coalition, Statement of Members of the Digital
Future Coalition on H.R. 2441: The NII Copyright Protection Act of 1995
(Feb. 15, 1996), available online <http://www.ari.net/dfc/info/Copyright.html>.
I should note that I belong to the Committee of Concerned Intellectual
Property Educators, a member organization of the Digital Future Coalition.
FN67. See Litman, supra note 31, at 31-32, 39-42; cf. Edward L. Rubin,
The Nonjudicial Life of Contract: Beyond the Shadow of the Law, 90 NW.
U.L. REV. 107, 125-31 (arguing that self-help is an important element of
private ordering via contract and that repeat players enjoy "simply overwhelming"
advantages in implementing the self-help strategies of their choice); see
also Edward L. Rubin, The Nonjudicial Life of Contract: Beyond the Shadow
of the Law, 90 NW. U. L. REV. 107, 125-31 (arguing that self-help is an
important element of private ordering via contract and that repeat players
enjoy "simply overwhelming" advantages in implementing the self-help strategies
of their choice).
FN68. There is every reason to believe that copyright owners will do
so. See BURNS, supra note 5, at 59-62 (recommending that the Association
of American Publishers "move as swiftly as possible toward" the development
of a standard for attaching usage restrictions to digital works and that
it "lead the evolution" of digital copyright management technologies);
Weber, supra note 4 (describing Copyright Clearance Center's plan to offer
comprehensive digital copyright management services to member publishers);
see also On-Line Security Issues: Hearings on S. 1726 Before the Subcomm.
on Science, Technology and Space of the Senate Comm. on Commerce, 104th
Cong., 2d Sess. (June 12, 1996) (statement of Jack Valenti, Chairman and
Chief Executive Officer, Motion Picture Association of America, Inc.),
available online WESTLAW, USTestimony database.
FN69. See Lemley, supra note 3, at 1283-86. Professor Perritt acknowledges
that contract theories based on presumed equality of bargaining power may
be "artificial," and that in such situations societal norms of fairness
should play a role in determining the acceptability of particular terms.
Perritt, supra note 53, at 369-71.
FN70. See Daniel A. Farber, Free Speech Without Romance: Public Choice
and the First Amendment, 105 HARV. L. REV. 554, 560-61 (1991).
FN71. See id. at 558-59 (discussing attributes of public goods). Requiring
eligible individuals to identify themselves to demonstrate entitlement
to anonymity would defeat the purpose.
FN72. Although some commentators have argued that the rise of electronic
distribution systems will allow authors to eliminate large publishing intermediaries
and transact business with readers on an individual basis. See, e.g., Eugene
Volokh, Cheap Speech and What It Will Do, 104 YALE L.J. 1805, 1834-1836
(1995); see also Barlow, supra note 5, at 126-28, the rise of digital copyright
management technologies suggests precisely the opposite trend. On the information
superhighway of the very near future, publishers who formerly controlled
the physical plant necessary to distribute a work will administer the copyright
management software that performs the equivalent function, and the bargaining
position of individual readers will be, if anything, worse than before.
Professor Perritt acknowledges that contract theories based on presumed
equality of bargaining power may be "artificial," and that in such situations
societal norms of fairness should play a role in determining the acceptability
of particular terms. Perritt, supra note 53, at 369-71.
FN73. Cf. NAACP v. Alabama ex rel. Patterson, 357 U.S. 449, 459 (1958)
("To require that [the First Amendment right to nondisclosure of group
membership] be claimed by the members themselves would result in nullification
of the right at the very moment of its assertion.").
FN74. See, e.g., Einer R. Elhauge, Does Interest Group Theory Justify
More Intrusive Judicial Review?, 101 YALE L.J. 31, 35-44 (1991) (defining
interest group theory as based on the presumption that interest groups
act to further their own welfare at the expense of other groups); cf. Daniel
A. Farber & Philip P. Frickey, The Jurisprudence of Public Choice,
65 TEX. L. REV. 873, 900-01, 906-07 (1987) (arguing that a pure interest
group theory does not adequately describe the legislative process, but
that interest groups do "play a significant role" in that process).
FN75. See Farber, supra note 70, at 560-61 (discussing MANCUR OLSON,
THE LOGIC OF COLLECTIVE ACTION: PUBLIC GOODS AND THE THEORY OF GROUPS 163-64
(1971)). Olson demonstrated that larger groups are disadvantaged in the
bargaining arena because their members, each perceiving a low benefit from
organization relative to its costs, will tend to free ride on the efforts
of other group members, thereby reducing the group's overall strength.
For a straightforward illustration of this process, see David McGowan &
Mark A. Lemley, Antitrust Immunity: State Action and Federalism, Petitioning
and the First Amendment, 17 HARV. J.L. & PUB. POL'Y 293, 324-25 (1994).
FN76. See, e.g., Sandy Close & Nick Montfort, Free-Speech Activists
in Cyberspace Gird for Virtual War, BALTIMORE SUN, Mar. 13, 1996, at 15A
(describing Internet protests against the Communications Decency Act);
Jeffrey Weiss, '24 Hours of Democracy' Puts Free Speech Protesters On Line,
DALLAS MORNING NEWS, Feb. 23, 1996, at 7A (same); Academics Stir Internet
Protest as Cambridge Press Shuns Book, SAN DIEGO UNION-TRIB., Feb. 17,
1996, at A17 (describing protest by academic authors of publisher's decision
not to publish controversial book); Associated Press, Internet Now Home
of Attack on Big Mac: McDonald's Protesters, Spurred By A 2-Year-Old Libel
Trial, Have Set Up A Site on the Internet, ORLANDO SENTINEL, Mar. 26, 1996,
at B5 (describing use of Internet site to coordinate protest against McDonald's).
FN77. The NIICPA itself may become a test of whether such an effort
by a relatively diffuse coalition of groups and individuals can succeed.
See Digital Future Coalition, Statement of Members of the Digital Future
Coalition on H.R. 2441: The NII Copyright Protection Act of 1995 (Feb.
15, 1996), available online <http://www.ari.net/dfc/info/Copyright.html>,
supra note 66.
FN78. See generally John S. Wiley, Jr., A Capture Theory of Antitrust
Federalism, 99 HARV. L. REV. 713, 724-26, 741-43 (1986) (outlining special
interest capture theory and suggesting that it explains some, though not
all, instances of government regulation).
FN79. See supra pp. 990-92.
FN80. See supra note 66 and accompanying text. This strong support for
the proposed anti-tampering law is consistent with Professor Galanter's
thesis that repeat players who have the resources to do so will seek to
shape the formal rules of play in ways that favor their interests. See
Marc Galanter, Why the "Haves" Come Out Ahead: Speculations on the Limits
of Legal Change, 9 L. & SOC'Y REV. 95, 98-104 (1974).
FN81. See Kornhauser, supra note 61, at 652-53.
FN82. See DANIEL A. FARBER & PHILIP P. FRICKEY, LAW AND PUBLIC CHOICE:
A CRITICAL INTRODUCTION 36-37, 132-43, 146 (1991); Galanter, supra note
80, at 103-04, 123-24, 135; Lloyd L. Weinreb, Custom, Law, and Public Policy:
The INS Case as an Example for Intellectual Property, 78 VA. L. REV. 141,
144 (1992) (arguing that theories of "spontaneous social order" merely
"confirm [ ] and celebrate[ ] power").
FN83. Robert P. Merges, Intellectual Property and the Costs of Commercial
Exchange: A Review Essay, 93 MICH. L. REV. 1570, 1611-13 (1995).
FN84. Id. at 1611 (quoting Friedrich Kessler, Contracts of Adhesion
-- Some Thoughts About Freedom of Contract, 43 COLUM. L. REV. 629, 640
(1943)).
FN85. See Lemley, supra note 58, at 319-21. Thus, Professor Lemley observes,
"this new law of the Internet would be unlike any form of legislation known
to modern society. No one elected its drafters .... They are accountable
to no one. There is no provision for varying the model code in individual
cases, or for amending the code itself at popular request. Nor is there
any provision for 'opting out' of this new social contract, other than
by withdrawing from cyberspace." Id. at 321. If, as I have predicted is
likely, digital copyright management systems become universal and are judged
a valid, consent-based form of contracting, and if federal copyright law
does not preempt inconsistent license terms, see supra note 3, the substantive
limits that copyright law places on owners' rights may become irrelevant
for all practical purposes.
FN86. See Weinreb, supra note 82, at 143; see also Merges, supra note
83, at 1611-13 (arguing that ostensibly private but universally-adopted
contract provisions may have the effect of subverting federal copyright
policy and substituting private, undemocratically determined conceptions
of good policy in its place).
FN87. Notable exceptions are Ulrika Ekman Ault, The FBI's Library Awareness
Program: Is Big Brother Reading Over Your Shoulder?, 65 N.Y.U. L. REV.
1532, 1540-46 (1990); William E. Lee, The Supreme Court and the Right to
Receive Expression, 1987 SUP. CT. REV. 303; and Robert M. O'Neil, Libraries,
Liberties and the First Amendment, 42 U. CIN. L. REV. 209 (1973). For a
preliminary discussion of reader anonymity in the context of digital payment
systems generally, see Froomkin, supra note 1, at 496-503. Professor Lee's
1987 review of Supreme Court decisions demonstrated that the "right to
receive" had been addressed solely on a piecemeal, ad hoc basis, and that
the Court had yet to articulate a cohesive vision of the right. Nor has
it done so in more recent years.
FN88. The Supreme Court has repeatedly indicated that the First Amendment
encompasses a right to receive information from a willing speaker. See
infra note 137 and accompanying text. My purpose here is to examine the
scope of that right. The questions whether and when there might exist an
affirmative right of access to particular reading materials are subjects
for another Article.
FN89. Of course, a constitutional right to read anonymously will not
afford protection against the actions of private copyright owners unless
those actions somehow implicate state action. Part V, infra, addresses
the state action problem.
FN90. As is appropriate in an article about reading, my working definition
of the nature and scope of communication is derived in part from copyright
law -- the body of law that grants and protects authorship rights in written
speech. See Harper & Row Publishers, Inc. v. Nation Enterprises, 471
U.S. 539, 558 (1985) ("[T]he Framers intended copyright itself to be the
engine of free expression."). A copyrightable work of authorship may consist
of words, images, or sounds, but also may consist of "numbers, or other
verbal or numerical symbols or indicia." See 17 U.S.C. § 101. Thus,
numerical or symbolic works, like verbal works, may constitute constitutional
"speech." Bernstein v. U.S. Dep't of State, 922 F.Supp. 1426, 1434-36 (N.D.
Cal. 1996). However, to be copyrightable, a work must be "fixed" in some
tangible medium from which it is capable of being "perceived, reproduced,
or otherwise communicated." 17 U.S.C. § 101. Thus, my working definition
is narrow as well as broad, in that it does not take into account the debate
over the communicative significance of unfixed, nonverbal acts. Thus, for
example, it is not my intent to define as "reading" the experience of witnessing
an act of flag-burning. Arguably, some of the conduct one witnesses may
be as constitutive of individual thoughts, beliefs, and subsequent expression
as anything one reads. See infra pp. 1007- 08. Nonetheless, it is hard
to imagine a limiting principle, and wholly implausible to contend that
First Amendment protection extends to everything one does and sees. In
my view, it is neither inconsistent nor undesirable to single out the receipt
of core First Amendment communication -- listening and reading (including
the viewing of fixed images) -- as worthy of special protection.
FN91. See supra notes 87, 88. The debate over the extent of constitutional protection for scientific research also touches on this issue. See, e.g., Richard Delgado & David R. Millen, God, Galileo, and Government: Toward Constitutional Protection for Scientific Inquiry, 53 WASH. L. REV. 349 (1978); Gary L. Francione, Experimentation and the Marketplace Theory of the First Amendment, 136 U. PA. L. REV. 417 (1987); John A. Robertson, The Scientist's Right to Research: A Constitutional Analysis, 51 S. CAL. L. REV. 1203 (1977). Both Professor Robertson and the team of Professor Delgado and Mr. Millen argue that scientific research should be privileged as a necessary precondition for the dissemination of scientific information. Both sets of authors rely in part on a First Amendment right to receive information, although their arguments take slightly different paths. Robertson contends that a scientist's right to receive the information necessary to conduct research derives from the public's right to receive information about the end-result of such research, and suggests that scientific information is particularly important for the public to receive. Robertson, supra, at 1216-25. Delgado and Millen argue that a scientist's right to receive information mirrors the more general right of all citizens to receive information on issues of public concern. Delgado & Millen, supra, at 382-85.
Pointing out the contingent and culturally determined nature of efforts
to identify the activities that are properly considered "scientific" or
"informative," Professor Francione persuasively rebuts efforts to single
out scientific research for special treatment. Francione, supra, at 482-510.
He concludes, however, that the First Amendment cannot be understood to
protect any preconditions for speech without thereby protecting all of
human conduct. Id. at 448, 501. As discussed in note 90, supra, I believe
that reading can be privileged without such a risk. Unlike Delgado and
Millen, however, I believe that the relationship between reading and speech
is fundamental and structural; receipt of external information is an essential
precondition not just for "informed" speech, but for any speech. See infra
pp. 1007-1008.
FN92. See M.T. CLANCHY, FROM MEMORY TO WRITTEN RECORD: ENGLAND 1066-1307
at 266-93 (2d ed. 1993).
FN93. See id. at 266-93. Only gradually did solitary, silent reading
become the predominant method of using written texts.
FN94. For a concise, readable introduction to the concepts of hypertext
and "hypermedia," see JAY DAVID BOLTER, WRITING SPACE: THE COMPUTER, HYPERTEXT,
AND THE HISTORY OF WRITING 21-31 (1991); see also M. ETHAN KATSH, LAW IN
A DIGITAL WORLD 198-211 (1995).
FN95. See BOLTER, supra note 94, at 59-61, 113-19; GEORGE P. LANDOW,
HYPERTEXT: THE CONVERGENCE OF CONTEMPORARY CRITICAL THEORY AND TECHNOLOGY
14-17 (1992) (development of hypertext "reconceive[d] reading as an active
process that involves writing"), id. at 88-92; see also Paul Roberts, Virtual
Grub Street: Sorrows of a Multimedia Hack, 292 HARPER'S MAGAZINE 71, 75-77
(1996) ( "The nexus of creativity is shifted from the writer to either
the producers, who lay out the text links, or the readers, who make use
of those links."); cf. American Civil Liberties Union v. Reno, 992 F.Supp.
824, 843-44 (E.D. Pa. 1996) ("Once one has entered cyberspace, one may
engage in the dialogue that occurs there. In the argot of the medium, the
receiver can and does become the content provider, and vice-versa.").
FN96. Compare BOLTER, supra note 94, at 153-66 (suggesting that the
electronic author loses direct control over the path of the text but gains
the power to "manipulate the reader's time at one remove" by careful construction
of textual cross-references), with Roberts, supra note 95, at 75-77 (predicting
that the author will vanish in the electronic age).
FN97. See, e.g., Campbell v. Acuff-Rose Music, Inc., 114 S.Ct. 1164,
1169 (1994) ("Every book in literature, science and art, borrows, and must
necessarily borrow, and use much which was well known and used before.")
(quoting Emerson v. Davies, 8 F. Cas. 615, 619 (D. Mass. 1845) (Story,
J.)); Jessica Litman, The Public Domain, 39 EMORY L.J. 965, 966 (1990);
Robert H. Rotstein, Beyond Metaphor: Copyright Infringement and the Fiction
of the Work, 68 CHI.-KENT L. REV. 725, 756-57 (1993); see also JAMES BOYLE,
SHAMANS, SOFTWARE, AND SPLEENS: LAW AND THE CONSTRUCTION OF THE INFORMATION
SOCIETY 54- 57 (1996) (arguing that the concept of the "romantic author"
is a cultural construct that conveniently obscures the extent to which
so-called "original" works of authorship are based on shared, preexisting
cultural referents); Peter Jaszi, Toward A Theory of Copyright: The Metamorphoses
of 'Authorship,' 41 DUKE L.J. 455 (1991) (tracing the evolution of the
"Romantic vision of 'authorship"' throughout the history of American copyright
law).
FN98. See 17 U.S.C. § 102 (copyright subsists in "original works
of authorship fixed in any tangible medium of expression").
FN99. See Niva Elkin-Koren, Copyright Law and Social Dialogue on the
Information Superhighway: The Case Against Copyright Liability of Bulletin
Board Operators, 13 CARDOZO ARTS & ENT. L.J. 346, 400 n.284 (1995)
("[T]he objective world receives its meaning through symbolic communication,
and is, therefore, necessarily mediated by dialogic relations. Identities
and ideologies are formed through dialogical interaction with shared cultural
symbols." (citing MICHAEL GARDINER, THE DIALOGICS OF CRITIQUE: M.M. BAKHTIN
AND THE THEORY OF IDEOLOGY (1992))); cf. BOLTER, supra note 94, at 156-57
(characterizing text as "' ... an arena in which reader and author participate
in a game of the imagination' ... every text leaves gaps for the reader
to complete" (quoting Wolfgang Iser, The Reading Process: A Phenomenological
Approach, in JANE P. TOMPKINS, READER-RESPONSE CRITICISM: FROM FORMALISM
TO POST-STRUCTURALISM 50-69 (1974))); Rotstein, supra note 97, at 736-37
(describing the emergence of the post-structuralist view of text as dependent
upon reader interpretation).
FN100. Cf. Elkin-Koren, supra note 99, at 400 (characterizing cultural
and political discourse as "an ongoing process of meaning-making through
communicative activities" that include both communication and interpretation
of preexisting symbols or cultural signifiers). Various members of the
Supreme Court appears to have recognized a weaker version of this argument.
In Board of Educ., Island Trees Union Free School Dist. No. 26 v. Pico,
457 U.S. 853 (1982), three justices characterized "the right to receive
ideas" as "a necessary predicate to the recipient's meaningful exercise
of his own rights of speech, press, and political freedom." Id. at 867
(plurality) (emphasis in original); see also Kleindienst v. Mandel, 408
U.S. 753, 775 (1972) (Marshall, J., dissenting) (arguing that the freedoms
to hear and to speak "are inseparable; they are two sides of the same coin");
Red Lion Broadcasting v. FCC, 395 U.S. 367, 390 (1967) (observing that
members of the public have the right "to receive suitable access to social,
political, esthetic, moral, and other ideas and experiences"). That is
so, however, not merely because of the useful or relevant information that
is conveyed, see Pico, 457 U.S. at 867-68 (plurality), but because without
access to the universe of preexisting speech that defines our understanding
of the world and our place in it, one would literally have nothing to say.
FN101. The debate over scientific research falls into this error. See
supra note 91.
FN102. See, e.g., McIntyre v. Ohio Elections Commission, 115 S.Ct. 1511,
1519 (1995); Mills v. Alabama, 384 U.S. 214, 218-19 (1966); New York Times
v. Sullivan, 376 U.S. 254, 269-70 (1964).
FN103. 354 U.S. 234 (1957) (plurality).
FN104. Id. at 251-55; id. at 261-66 (Frankfurter, J., concurring in
the judgment).
FN105. Id. at 250-51 ("Teachers and students must always remain free
to inquire, to study and to evaluate, to gain new maturity and understanding;
otherwise our civilization will stagnate and die."); see also id. at 262
(Frankfurter, J., concurring in the result) ("For society's good -- if
understanding be an essential need of society -- inquiries into [intellectual]
problems, speculations about them, stimulation in others of reflection
upon them, must be left as unfettered as possible.").
FN106. 390 U.S. 17 (1968).
FN107. Id. at 24-25; see also United States v. Rumely, 345 U.S. 41,
46- 47 (1953) (holding that statutory authority to investigate "lobbying
activities" did not confer power to compel names of those who purchased
political literature for subsequent distribution).
FN108. 381 U.S. 301 (1965).
FN109. 394 U.S. 557 (1969).
FN110. Lamont, 381 U.S. at 307.
FN111. Id. (quoting New York Times Co. v. Sullivan, 376 U.S. 254, 270
(1964)).
FN112. Stanley, 394 U.S. at 563-65.
FN113. Id. at 565-66.
FN114. Id. at 565.
FN115. See, e.g., Whalen v. Roe, 429 U.S. 589, 599 n.25 (1977); Roe v. Wade, 410 U.S. 113, 152 (1973). Arguably, the right of informational privacy recognized in Whalen and Nixon v. Administrator of General Services, 433 U.S. 425 (1977), also could be used to protect the confidentiality of individual reading decisions, at least to an extent. See Froomkin, supra note 1, at 492-94; George P. Long, III, Note, Who Are You? Identity and Anonymity in Cyberspace, 55 U. PITT. L. REV. 1177, 1189-93 (1994). One recent commentary characterizes the right at issue in Stanley as that of "privacy of thought." See Claudia Tuchman, Note, Does Privacy Have Four Walls? Salvaging Stanley v. Georgia, 94 COLUM. L. REV. 2267, 2280-82 (1994). Professor Kreimer locates a right of anonymity in constitutional privacy doctrine as part of a "freedom of intimate self-definition." See Kreimer, supra note 1, at 12, 69-71. Without question, "informational privacy" and anonymity concerns are closely related. As both Kreimer and Tuchman recognize, however, a pure constitutional privacy framework alone will not justify or protect the full range of anonymity concerns. See Kreimer, supra note 1, at 69-71, 131-43 (constructing a combined privacy and First Amendment rationale for a right of anonymity with respect to intimate information and "[s]elf-regarding activities crucial to personal identity"); Tuchman, supra, at 2280-82 (analyzing "privacy of thought" in First Amendment terms); see also infra notes 216-17, at 1032-33 (discussing "anonymity" issues as a unique subset of "privacy" issues).
The Ninth Circuit's recent decision in Oregon Natural Desert Ass'n v.
Bibles, 83 F.3d 1168 (9th Cir. 1996), illustrates this distinction. The
case involved a Freedom of Information Act request for the names of individuals
on the mailing list for a newsletter distributed by the Bureau of Land
Management. The court held that the privacy rights of the affected individuals
did not bar disclosure because "the majority" of them had asked to be placed
on the mailing list, and because disclosure was sought in order to send
newsletter recipients additional materials dealing with the same subject
matter. Id. at 1171-73. Thus, in effect, it reasoned that a request for
reading material may waive any interest in having the request kept confidential.
The former type of consent should not so easily be read to imply the latter.
(If the federal government funded abortions, could it be required to disclose
the names of individuals who had requested information about such services,
so that they could be targeted for private anti-abortion mailings?) If
the court had considered First Amendment-based anonymity concerns, the
result might -- and, I would argue, should -- have been different.
FN116. See Ault, supra note 87, at 1543-46; see also O'Neil, supra note
87, at 219-20 (characterizing Lamont as an unconstitutional conditions
case). The definitive treatment of the "chilling effect" as an independent
and sufficient basis for according First Amendment protection is Frederick
Schauer, Fear, Risk and the First Amendment: Unraveling the "Chilling Effect",
58 B.U.L. REV. 685 (1978).
FN117. See United States v. Twelve 200-Foot Reels of Super 8mm. Film, 413 U.S. 123 (1973); United States v. Orito, 413 U.S. 139 (1973); see also Osborne v. Ohio, 495 U.S. 103 (1990) (holding Stanley inapplicable in cases involving the private possession of child pornography because of the compelling state interest in protecting children from being used as pornographers' subjects). Osborne, in particular, makes clear that a sufficiently important government interest may override whatever rights of anonymity or privacy readers have. Osborne, 495 U.S. at 108-10; see infra pp. 1026-27. For a persuasive critique of the "spatial" conception of privacy developed in the post-Stanley cases, see Tuchman, supra note 115.
The Court's focus on the privacy of the home also suggests that any
right to read anonymously might apply only to digital information accessed
through a home computer system -- and not, for example, to information
accessed using computer facilities provided by one's employer. Since many
individuals (including this author) connect to the Internet via an employer-provided
link, the answer to this question could significantly affect the practical
extent of First Amendment protection for individual reading activity. See,
e.g., Lawrence Lessig, The Path of Cyberlaw, 104 YALE L.J. 1743, 1748-49
(1995) (describing how the systems operator at a university might easily
monitor users' activities). In general, employee rights against surveillance
by private employers are a function of federal and state privacy law. See,
e.g., Julie A. Flanagan, Note, Restricting Electronic Monitoring in the
Private Workplace, 43 DUKE L.J. 1256, 1264-71 (1994); Larry O. Gantt, An
Affront to Human Dignity: Electronic Mail Monitoring in the Private Sector
Workplace, 8 HARV. J.L. & TECH. 345 (1995); David Neil King, Note,
Privacy Issues in the Private- Sector Workplace: Protection from Electronic
Surveillance and the Emerging "Privacy Gap", 67 S. CAL. L. REV. 441 (1994);
Note, Addressing New Hazards of the High Technology Workplace, 104 HARV.
L. REV. 1898 (1991). Federal and state employers are directly subject to
the First Amendment, but may in some circumstances limit the exercise of
employee First Amendment rights for administrative reasons; the extent
of this authority has been hotly disputed. See, e.g., United States v.
National Treasury Employees Union, 115 S.Ct. 1003 (1995); Waters v. Churchill,
511 U.S. 1061 (1994); Rankin v. McPherson, 483 U.S. 378 (1987); Connick
v. Myers, 461 U.S. 138 (1983); Pickering v. Board of Educ., 391 U.S. 563
(1967); Leslie S. Blickenstaff, Don't Tip the Scales! The Actual Malice
Standard Unjustifiably Eliminates First Amendment Protection for Public
Employees' Recklessly False Statements, 70 MINN. L. REV. 2911 (1996). The
question whether current law affords adequate protection to the reading
activities of employees, public or private, is beyond the scope of this
Article.
FN118. See Bowers v. Hardwick, 478 U.S. 186, 195 (1986) (characterizing
Stanley as "firmly grounded in the First Amendment['s]" prohibition against
thought control); Paris Adult Theatre I v. Slaton, 413 U.S. 49, 65-67 (1973)
(distinguishing refusal to protect distribution of obscene materials from
"control of reason and the intellect").
FN119. Stanley, 394 U.S. at 565. Whether the identical conduct by private
copyright owners implicates state action sufficient to trigger First Amendment
protection is discussed in Part V, infra.
FN120. 116 S.Ct. 2374 (1996).
FN121. Id. at 2390-96. Although six members of the Court agreed that
the segregation provision was unconstitutional as worded, they were divided
as to the appropriate level of scrutiny. See id. at 2391 (suggesting that
intermediate scrutiny might be required); id. at 2407-19 (Kennedy, J.,
concurring in part, concurring in the judgment in part, and dissenting
in part) (arguing that strict scrutiny should apply).
FN122. Id. at 2390 (citing Lamont v. Postmaster Gen., 381 U.S. 301,
307 (1965)). The Ninth Circuit's recent decision to require the Bureau
of Land Management to disclose the names of individuals who had asked to
be placed on its mailing list, though based entirely on a privacy rationale,
appears inconsistent with this reasoning. See Oregon Natural Desert Ass'n
v. Bibles, 83 F.3d 1168 (9th Cir. 1996); supra note 115.
FN123. 896 F.2d 780 (3d Cir. 1990).
FN124. Id. at 785 (quoting Lamont, 381 U.S. at 309 (Brennan, J., concurring)).
FN125. 115 S.Ct. 1511 (1995).
FN126. Id. at 1516-17; see also Talley v. California, 362 U.S. 60, 64-65
(1960) (invalidating city ordinance prohibiting the anonymous distribution
of handbills).
FN127. See McIntyre, 115 S.Ct. at 1526-28 (Thomas, J., concurring) (chronicling
Founding-era attempts to require authors of news articles and pamphlets
to disclose their identities); Talley, 362 U.S. at 64-65 (describing punishments
inflicted by English courts on individuals who refused to disclose information
that might lead to discovery of anonymous or pseudonymous authors' identities).
FN128. This terminology is borrowed from Jeffrey H. Reiman, Driving to the Panopticon: A Philosophical Exploration of the Risks to Privacy Posed by the Highway Technology of the Future, 11 SANTA CLARA COMPUTER & HIGH TECH. L.J. 27, 43-44 (1995). Reiman defines "material conditions" for privacy as the "physical realities that hinder others in gathering information about or experiences of you." Id. at 43. He observes that the new monitoring technologies establish the "material conditions for invasion of privacy on unheard-of scale." Id. at 44. This analysis fits the particular case of copyright management technologies uncomfortably well.
The fact that nearly all states have enacted statutes to protect the
confidentiality of library circulation records (low-tech and less pervasive
precursors of digital copyright management systems) is compelling evidence
of the high value placed by the general public on the freedom to read anonymously.
See infra note 213.
FN129. Cf. Anne W. Branscomb, Anonymity, Autonomy, and Accountability:
Challenges to the First Amendment in Cyberspaces, 104 YALE L.J. 1639, 1644
(1995); Reiman, supra note 128, at 38-42 (arguing that such intrusions,
if pervasive, will deprive individuals of "self-ownership" and stunt their
inner emotional and intellectual lives). Arguably, therefore, requiring
readers to disclose their identities might constitute unconstitutional
compulsion. Cf. Wooley v. Maynard, 430 U.S. 705, 714 (1977) (holding that
state motto on license plate constituted a form of compelled speech and
that defendant's prosecution for removing motto violated his First Amendment
rights); West Virginia Bd. of Educ. v. Barnette, 319 U.S. 624, 641 (1943)
(holding that compelling public school students to recite the Pledge of
Allegiance in violation of their religious beliefs offended the First Amendment).
FN130. See, e.g., McIntyre, 115 S.Ct. at 1536-37 (Scalia, J., dissenting)
(arguing that speaker identification requirements are desirable because
they promote accountability for false and harmful statements); Branscomb,
supra note 129, at 1644; Froomkin, supra note 1, at 401-04; A. Michael
Froomkin, Anonymity and Its Enmities, 1 J. ONLINE L. art. 4, ¶¶
50-52 (1995), available online http://www.law.cornell.edu/jol/froomkin.html
(characterizing the accountability argument as "the strongest moral objection
to the increase in anonymous interaction" on the Internet); Kreimer, supra
note 1, at 78-88. But see Lee Tien, Who's Afraid of Anonymous Speech? McIntyre
and the Internet, 75 OR. L. REV. 117, 152 (arguing that the accountability
argument "ultimately reduces to a concern about ordinary individuals, not
'responsible' elites, engaging in speech without being vertically filtered").
FN131. Unauthorized access to information held as a trade secret may
cause injury. In such cases, anonymous access might properly be denied
for other reasons. See infra note 149 and accompanying text.
FN132. See, e.g., Gibson v. Florida Legislative Investigation Comm.,
372 U.S. 539 (1963); Bates v. City of Little Rock, 361 U.S. 516 (1960);
NAACP v. Alabama ex rel. Patterson, 357 U.S. 449 (1958).
FN133. NAACP v. Alabama, 357 U.S. at 460-62. Thus, although the Court identified the right of associational anonymity as grounded in the assembly clause of the First Amendment, it noted "the close nexus between the freedoms of speech and assembly." Id. at 460.
NAACP v. Alabama was the stated basis for the only reported First Amendment
challenge to a prosecutor's attempt to subpoena library circulation records.
The court summarily rejected the constitutional argument without deciding
whether NAACP might be read to afford a right to reader anonymity. Brown
v. Johnston, 328 N.W.2d 510, 512-13 (Iowa), cert. denied, 463 U.S. 1208
(1993).
FN134. See Tien, supra note 130.
FN135. See Lamont v. Postmaster Gen., 381 U.S. 301, 308 (1965) (Brennan,
J., concurring) (characterizing as "equally fundamental" the rights "necessary
to make the [First Amendment's] express guarantees fully meaningful").
FN136. International Soc'y for Krishna Consciousness, Inc. v. Lee, 505
U.S. 672, 697 (1992) (Kennedy, J., concurring in the judgment); see also
Denver Area Educ. Telecomm. Consortium, Inc. v. FCC, 116 S.Ct. 2374, 2402-03
(1996) (Souter, J., concurring) (analyzing the danger of establishing fixed
legal standards for rapidly developing technology).
FN137. See, e.g., United States v. National Treasury Employees Union,
115 S.Ct. 1003, 1015 (1995); Board of Educ., Island Trees Union Free Sch.
Dist. No. 26 v. Pico, 457 U.S. 853, 866-68 (plurality) (1982); Virginia
State Bd. of Pharmacy v. Virginia Citizens Consumer Council, Inc., 425
U.S. 748, 756-57 (1976); Kleindienst v. Mandel, 408 U.S. 753, 762-65 (1972);
Red Lion Broad. Co. v. FCC, 395 U.S. 367, 390 (1969).
FN138. First Amendment rights assume slightly different contours where
children are involved. See, e.g., Sable Communications v. FCC, 492 U.S.
115, 126 (1989) (holding that children may be shielded from speech that
is not "obscene" by adult standards); Tinker v. Des Moines Indep. Community
Sch. Dist., 393 U.S. 503, 506 (1969) (holding that, although children do
not shed their First Amendment rights at the schoolhouse door, those rights
must be interpreted "in light of the special characteristics of school
environment"). It is reasonable to assume that a right to read anonymously
would be no different in this regard. For example, some leeway to inquire
whether school children have done their assigned reading seems unwarranted.
The discussion in this Article presupposes adult readers.
FN139. Wooley v. Maynard, 430 U.S. 705, 714 (1977).
FN140. See Lee, supra note 87, at 324-25.
FN141. This formulation of the right to read also raises the question
whether, in some circum-stances, there might be an affirmative right of
access to information that trumps the speaker's right to withhold it. This
Article does not address that question.
FN142. 471 U.S. 539 (1985).
FN143. Id. at 558.
FN144. Id. at 559-60.
FN145. Id. at 555, 559-60; see also Salinger v. Random House, Inc.,
811 F.2d 90, 100 (2d Cir.) (holding that an author has a right "to protect
the expressive content of his unpublished writings"), cert. denied, 484
U.S. 890 (1987).
FN146. Although the right of creative control sketched by the Harper
& Row Court might seem personal to the author, the Court did not raise
this issue, but allowed a publisher to assert the right on the author's
behalf. Moreover, innumerable decisions according publishers the status
of First Amendment speakers make clear that publishers, too, have their
own rights not to speak. See, e.g., Hurley v. Irish-American Gay, Lesbian
& Bisexual Group, 115 S.Ct. 2338, 2345-46 (1995); Turner Broadcasting
Sys., Inc. v. FCC, 114 S.Ct. 2445, 2456 (1994); Miami Herald Publish. Co.
v. Tornillo, 418 U.S. 241, 258 (1974).
FN147. For purposes of this inquiry, it is not significant that a digital
work may be the subject of regular revisions and updates after it is released
to the general public. The dispositive question is not whether the work
is "final," but whether some version of it is made available for acquisition
by interested readers. See Julie E. Cohen, Reverse Engineering and the
Rise of Electronic Vigilantism: Intellectual Property Implications of "Lock-Out"
Programs, 68 S. CAL. L. REV. 1091, 1113 (1995).
FN148. Cf. Robert A. Kreiss, Accessibility and Commercialization in
Copyright Theory, 43 UCLA L. REV. 1 (1995) (suggesting that public rights
of access to a copyrighted work should turn on whether or not the work
has been "commercialized"). Without more information as to what "commercialization"
means -- in particular, whether a copyright owner could argue that distribution
to a small number of licensees is not enough to trigger Professor Kreiss'
quid pro quo -- I am not necessarily prepared to agree that commercialization
should be the only criterion for access to a work. With a similar caveat,
however, a commercialization or "general distribution" test provides a
useful basis for assessing the plausibility of a copyright owner's claim
that particular contract terms are necessary to effectuate its constitutional
right not to speak.
FN149. For similar reasons, it make sense to argue that in some circumstances a sender of electronic mail could refuse to "speak" to anonymous "listeners." This Article has focused primarily on more traditional works of authorship -- literature, musical compositions, and so on -- that are offered for public distribution online. See 17 U.S.C. § 102(a) (1994). In cyberspace, one method of distinguishing between such works and more conversational communications is lost, since in both cases, the medium of transmission is the same. See, e.g., Niva Elkin-Koren, Copyright Law and Social Dialogue on the Information Superhighway: The Case Against Copyright Liability of Bulletin Board Operators, 13 CARDOZO ARTS & ENT. L.J. 345, 389-90 (1995) (arguing that the new digital media "create a continuum" between modes of communication traditionally viewed as private and those traditionally viewed as public); Henry H. Perritt, Jr., Tort Liability, the First Amendment, and Equal Access to Electronic Networks, 5 HARV. J.L. & TECH. 65, 67 (1992) (observing that the line of demarcation between electronic publishing and private electronic conversation is blurred). Nonetheless, it is difficult to argue that distribution of so-called traditional works via personalized electronic "communication" supports a right-not-to-speak claim. Although a novel certainly is speech in the constitutional sense, see Harper & Row, 471 U.S. at 558-60, in "real" (as opposed to cyber-) space, the decisions to write and publish it are separate, both temporally and logically, from later purchase-and-sale transactions with individual customers.
It is worth noting, moreover, that many electronic mail conversations both "look" and "feel" more like traditional, published works in this regard. For example, posts to open-subscription Internet listservs or Usenet discussion groups are inherently public in nature -- they are conversations with many listeners, most of whom remain silent and unidentified, and there are no membership restrictions. Accordingly, any attempt to use a right-not-to-speak claim to defeat anonymous access to listserv or Usenet posts would be implausible.
One way to determine whether a work or communication belongs in the
"limited audience" category might be whether the information it contains
qualifies as a trade secret. See, e.g., RESTATEMENT (THIRD) UNFAIR COMPETITION
§ 39 (1995); Uniform Trade Secrets Act § 1(4). By definition,
a trade secret's value inheres in its continuing secrecy, which its owner
should remain free to protect. However, the requirement that a trade secret
confer an economic advantage on its owner may be a difficult standard for
some claimants to meet. See, e.g., Religious Technology Ctr. v. Wollersheim,
796 F.2d 1076, 1090 (9th Cir. 1986) ("We do not accept that a trade secret
can be based on the spiritual advantage the Church [of Scientology] believes
its adherents acquire over non- adherents by using the materials in the
prescribed manner." (emphasis in original)), cert. denied, 479 U.S. 1103
(1987). Nor is an "economic advantage" test necessarily appropriate for
determining when an author-speaker may invoke First Amendment rights.
FN150. Once armed with reader identifying information, some copyright
owners who hold their works out for general distribution might seek to
engage in price discrimination or private censorship with respect to particular
individuals or groups. Whether this is a good thing, a bad thing, or a
mixed blessing is a subject on which reasonable minds will differ. Charging
lower rates to educators, for example, does not seem invidious. See Weber,
supra note 4 (suggesting that some copyright owners may wish to implement
a variable royalty schedule that, for example, charges more for commercial
uses than for educational ones); see also Stefik, supra note 4, at 23 (envisioning
grants of "special rights to certified librarians, researchers, and teachers").
However, one can imagine discriminatory policies that are far less benign.
The economics and ethics of price discrimination and private censorship
are vast topics, and I will not pursue them here. It is worth noting, though,
that reliance on the market to suppress the more irrational instances of
discriminatory pricing may be misplaced, for the reasons discussed in Part
III, supra.
FN151. Nor, as Part III demonstrates, may copyright owners fall back
on arguments about freedom of contract to justify a preference for standardized
electronic contracts that unconditionally require the surrender of anonymity.
FN152. See, e.g., Osborne v. Ohio, 495 U.S. 103, 108-10 (1990) (declining
to recognize a constitutionally protected right to receive child pornography,
in light of the compelling state interest in protecting children from abuse).
Thus, for example, the deeply-rooted presumption that reading habits are
sacrosanct coexists with another line of cases that accept without question
judicial power to inquire into individual reading habits in particular
circumstances. Most notably, a criminal defendant may question prospective
jurors as to their choice of reading material in an effort to identify
prior knowledge or bias. See, e.g., United States v. Jackson, 542 F.2d
403 (7th Cir. 1976); United States v. Hearst, 466 F.Supp. 1068, 1076 (N.D.
Cal. 1978), modified, 638 F.2d 1190 (9th Cir. 1980), cert. denied, 451
U.S. 938 (1981). Arguably, however, these cases stand for no more than
the ordinary proposition that the government may impose rules that incidentally
but evenhandedly burden the exercise of First Amendment rights for sufficiently
substantial reasons. See infra page 1026.
FN153. Fabulous Assocs., Inc. v. Pennsylvania Pub. Util. Comm'n, 896
F.2d 780, 786 (3d Cir. 1990); see also Denver Area Educ. Telecomm. Consortium,
Inc. v. FCC, 116 S.Ct. 2374, 2392 (1996) (discussing lesser restrictions
imposed on cable operators and subscribers by other statutory provisions).
FN154. S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed §§ 1201 and 1202 of the Copyright Act) (emphasis added).
FN155. Whether the willful infringer, as well the concerned libertarian,
would or should be permitted to assert an overbreadth challenge is a topic
beyond the scope of this Article. For helpful discussions of the "third-party
standing" aspect of the First Amendment overbreadth doctrine, see Michael
C. Dorf, Facial Challenges to State and Federal Statutes, 46 STAN. L. REV.
235, 261- 64 (1994); and Richard H. Fallon, Making Sense of Overbreadth,
100 YALE L.J. 853 (1991).
FN156. But see Shelley v. Kraemer, 334 U.S. 1 (1948) (finding state
action in private property owners' use of the court system to enforce racially
restrictive covenant).
FN157. See San Francisco Arts & Athletics, Inc. v. United States
Olympic Comm., 483 U.S. 522, 544 (1987) ("All enforceable rights in trademarks
are created by some governmental act .... The actions of trademark owners
nevertheless remain private.").
FN158. See Dowling v. United States, 473 U.S. 207, 216-17 (1985); Harper & Row, Publishers, Inc. v. Nation Enters., 471 U.S. 539, 555-60 (1985) ("First Amendment protections ... [are] embodied in the Copyright Act's distinction between copyrightable expression and uncopyrightable facts and ideas, and in the latitude for scholarship and comment traditionally afforded by fair use."); Los Angeles News Serv. v. Tullo, 973 F.2d 791, 795 (9th Cir. 1992); New Era Publications Int'l v. Henry Holt & Co., 873 F.2d 576, 584 (2d Cir. 1989), cert. denied, 493 U.S. 1094 (1990); Triangle Publications, Inc. v. Knight-Ridder Newspapers, Inc., 626 F.2d 1171, 1174 (5th Cir. 1980); Religious Technology Ctr. v. Netcom On-Line Communication Serv., Inc., 907 F.Supp. 1361, 1377 (N.D. Cal. 1995); Maxtone-Graham v. Burtchaell, 631 F.Supp. 1432, 1435 (S.D.N.Y.), aff'd, 803 F.2d 1253 (2d Cir. 1986), cert. denied, 481 U.S. 1059 (1987); see also Campbell v. Acuff-Rose Music, Inc., 114 S.Ct. 1164, 1171 (1994) (holding that commercial character of song parody did not create a presumption against fair use); W. Warren Hamel, Harper & Row v. The Nation: A First Amendment Privilege for News Reporting of Copyrightable Material?, 19 COLUM. J.L. & SOC. PROBS. 253, 290-91 (1985) (arguing that the first amendment controls when copyright and free speech considerations clash); Melville B. Nimmer, Does Copyright Abridge the First Amendment Guarantees of Free Speech and Press?, 17 UCLA L. REV. 1180 (1970) (discussing the need to balance copyright and free speech interests). As the above quote from Harper & Row indicates, both the idea/expression distinction and the fair use doctrine were incorporated into the 1976 Copyright Act. See 17 U.S.C. §§ 102(b), 107 (1994).
Some have argued that in addition, the First Amendment should provide
a separate, independent defense to charges of copyright infringement in
some situations. See, e.g., Robert C. Denicola, Copyright and Free Speech:
Constitutional Limitations on the Protection of Expression, 67 CAL. L.
REV. 283 (1979); see also Diane L. Zimmerman, Information as Speech, Information
as Goods: Some Thoughts on Marketplaces and the Bill of Rights, 33 WM.
& MARY L. REV. 665 (1992) (exploring the conflicts between the claims
of authorship and those of the public domain where speech rights are concerned).
This issue will become considerably more important if the courts and Congress
conclude that copyright does not preempt private license terms that are
inconsistent with substantive copyright policies. See supra notes 3, at
85.
FN159. See Hamel, supra note 158, at 290-91 (observing that the First
Amendment limits congressional power to define copyright just as it limits
"other federal laws restricting expression"); cf. Cohen v. Cowles Media
Co., 501 U.S. 663, 668 (1991) (application of state rule of law in a manner
that restricts First Amendment freedoms constitutes state action); New
York Times Co. v. Sullivan, 376 U.S. 254, 265 (1964).
FN160. For general discussions of the evolution of the public/private
distinction and its internal contradictions, see Paul Brest, State Action
and Liberal Theory: A Casenote on Flagg Brothers v. Brooks, 130 U. PA.
L. REV. 1296 (1982); Morton J. Horwitz, The History of the Public/Private
Distinction, 130 U. PA. L. REV. 1423 (1982); Duncan Kennedy, The Stages
of the Decline of the Public/Private Distinction, 130 U. PA. L. REV. 1349
(1982).
FN161. Marsh v. Alabama, 326 U.S. 501, 506 (1946).
FN162. See United States v. Dowling, 473 U.S. 207, 216 (1985) ("The
copyright owner, however, holds no ordinary chattel. A copyright ... comprises
a series of carefully defined and carefully delimited interests to which
the law affords correspondingly exact protection."); Elkin-Koren, supra
note 99, at 391-92; Wendy J. Gordon, An Inquiry into the Merits of Copyright:
The Challenges of Consistency, Consent, and Encouragement Theory, 41 STAN.
L. REV. 1343, 1370-71 (1989); Raymond T. Nimmer & Patricia Ann Krauthaus,
Copyright on the Information Superhighway: Requiem for a Middleweight,
6 STAN. L. & POL'Y REV. 25, 27, 29-30 (1994).
FN163. See 17 U.S.C. § 106 (1994) (listing the exclusive rights
given to copyright owners); id. § 109(a); Elkin-Koren, supra note
99, at 391-92; Nimmer & Krauthaus, supra note 162, at 29-30.
FN164. See 17 U.S.C. §§ 102(b), 107.
FN165. Harper & Row, Publishers, Inc. v. Nation Enters., 471 U.S.
539, 556- 60 (1985); Nimmer, supra note 158, at 1186-93; cf. Elkin-Koren,
supra note 99, at 392 ("[C]opyright doctrine mediates public interest in
the production of information and the public interest in access to information.").
FN166. See supra Part III.
FN167. NII WHITE PAPER, supra note 6, at 233; supra pp. 991-993.
FN168. See NCAA v. Tarkanian, 488 U.S. 179, 195-97 (1988); Jackson v.
Metropolitan Edison Co., 419 U.S. 345, 351-52 (1974). The contract-policing
function may be delegated to a private arbitrator, but only with the consent
of the affected parties. As discussed in Part III, supra, that requirement
is not met here.
FN169. 436 U.S. 149 (1978).
FN170. See id. at 157, 160 n.10. Professor Tribe argues that private
self- help should constitute state action in cases where such self-help
is expressly authorized by law. LAURENCE H. TRIBE, AMERICAN CONSTITUTIONAL
LAW § 18-5, at 1706-07 (2d ed. 1988). Thus far, the Court has not
agreed.
FN171. See Flagg Bros., 436 U.S. at 162 n.12 ("This is not to say that
dispute resolution between creditors and debtors involves a category of
human affairs that is never subject to constitutional constraints.").
FN172. Cf. Denver Area Educ. Telecomm. Consortium, Inc. v. FCC, 116
S.Ct. 2374, 2383-85 (1996) (plurality) (assuming that a statute allowing
but not requiring specified private conduct may implicate the First Amendment).
The argument that First Amendment considerations are woven into the fabric
of copyright doctrine is, of course, also an argument in favor of finding
copyright preemption of pervasive private contract terms that alter the
balance between public and private that Congress and the courts have sought
to maintain. See supra notes 3, 158.
FN173. See Flagg Bros., 436 U.S. at 159-62. The proposed Article 2B
of the Uniform Commercial Code, an effort to set default rules for the
licensing of intangibles, would allow a licensee to challenge contract
terms on grounds of unconscionability, but as of this writing does not
appear to authorize a licensee to raise such a challenge separately from
and prior to its own breach. See U.C.C. § 2B-110 (Draft Revised Art.
2B 1996), available online http:// www.lawlib.uh.edu/ucc2b/0503/0503_2b.html.
FN174. As currently worded, both of the NIICPA's prohibitions against
tampering generously allow a tamperer to raise the defense of authorization
by law. See S. 1284 & H.R. 2441, 104th Cong., 2d Sess. § 4 (1995)
(proposed §§ 1201 and 1202 of the Copyright Act).
FN175. See Flagg Bros., 436 U.S. at 157, 160 n.10; see also Lugar v.
Edmondson Oil Co., 457 U.S. 922, 941 (1982).
FN176. See supra pp. 991-992.
FN177. See supra p. 991.
FN178. See Lugar, 457 U.S. at 941 ("While private misuse of a ... statute
does not describe conduct that can be attributed to the State, the procedural
scheme created by the statute [which allowed a party to invoke a state
official's assistance in seizing disputed property] obviously is the product
of state action."); Flagg Bros., 436 U.S. at 160 n.10.
FN179. See, e.g., Texas v. Johnson, 491 U.S. 397, 406-07 (1989); United
States v. O'Brien, 391 U.S. 367, 376-77, 381-82 (1968).
FN180. 391 U.S. 367 (1968).
FN181. Id. at 378-82.
FN182. See 18 U.S.C. §§ 1030(a)(5), 2701 (1994).
FN183. 430 U.S. 705 (1977).
FN184. Id. at 715-17.
FN185. O'Brien, 391 U.S. at 375; see Wooley, 430 U.S. at 707 (quoting
N.H. REV. STAT. ANN. § 262:27-c (Supp. 1975)).
FN186. Turner Broadcasting Sys. v. FCC, 114 S.Ct. 2445, 2469 (1994)
(citing Ward v. Rock Against Racism, 491 U.S. 781 (1989), and United States
v. O'Brien, 391 U.S. 367 (1968)). In contrast, the court in Fabulous applied
strict scrutiny because the regulations at issue were directed specifically
at pornography. Fabulous Assocs., Inc. v. Pennsylvania Pub. Util. Comm'n,
896 F.2d 780, 784-85 (3d Cir. 1990).
FN187. Turner Broadcasting Sys., 114 S.Ct. at 2469 (quoting United States
v. O'Brien, 391 U.S. 367, 377 (1968)).
FN188. See, e.g., Froomkin, supra note 1, at 473-77 (predicting government
opposition to anonymous digital cash); see generally Freiwald, supra note
1 (describing the various federal statutes that govern communications monitoring
by law enforcement and analyzing the extent to which they preserve protection
for individual privacy); Froomkin, supra note 21 (describing government
efforts to implement the so-called Clipper encryption standard in order
to acquire the capability to monitor encrypted private communications).
FN189. NII WHITE PAPER, supra note 6, at 233.
FN190. Stanley v. Georgia, 394 U.S. 557, 565 (1969) ("If the First Amendment
means anything, it means that a State has no business telling a man, sitting
alone in his own house, what books he may read or what films he may watch.");
Schneider v. Smith, 390 U.S. 17, 24 (1968); Lamont v. Postmaster Gen.,
381 U.S. 301, 307 (1967); see also United States v. Rumely, 345 U.S. 41,
57- 58 (1953) (Douglas, J., concurring) ("Then the spectre of a government
agent will look over the shoulder of everyone who reads. The purchase of
a book or pamphlet today may result in a subpoena tomorrow. Fear of criticism
goes with every person into the bookstall. The subtle, imponderable pressures
of the orthodox lay hold.").
FN191. See Froomkin, supra note 1, at 501 n.414. Professor Froomkin
suggests that no such interest supports retention of old circulation records.
FN192. See NII WHITE PAPER, supra note 6, at 92.
FN193. See 17 U.S.C. § 506(a) (1994); 18 U.S.C. § 2319 (1994).
FN194. See, e.g., CBS, Inc. v. Davis, 114 S.Ct. 912, 914 (1994) (Blackmun,
J.) (staying preliminary injunction barring publication of allegedly defamatory
material, and observing that prior restraint will be allowed only in the
most extraordinary circumstances, "where the evil that would result ...
is both great and certain and cannot be militated by less intrusive measures").
FN195. Pursuant to the Audio Home Recording Act of 1992, Pub. L. No.
102-563, § 2, 106 Stat. 4237-40 (codified at 17 U.S.C. §§
1001-02 (1992)), digital audio recording devices sold in the United States
are already required to incorporate this "serial copy management" technology.
See supra p. 988 and note 18.
FN196. See supra notes 15, 16 and accompanying text.
FN197. See, e.g., Sable Communications v. FCC, 492 U.S. 115, 126 (1989)
(recognizing a compelling government interest in "shielding minors from
the influence of literature that is not obscene by adult standards"); New
York v. Ferber, 458 U.S. 747, 756-62 (1982) (holding child pornography
not entitled to First Amendment protection); FCC v. Pacifica, 438 U.S.
726, 733 (1978) (recognizing that certain "forms of offensive expression
may be withheld from the young").
FN198. See, e.g., Paris Adult Theatre I v. Slaton, 413 U.S. 49, 66 (1973);
Ginsberg v. New York, 390 U.S. 629, 635 (1968); Roth v. United States,
354 U.S. 476, 485 (1957).
FN199. American Civil Liberties Union v. Reno, 929 F.Supp. 824, 855
(E.D. Pa. 1996) (opinion of Sloviter, J.); see also, e.g., Manual Enterprises,
Inc. v. Day, 370 U.S. 478, 487 (1962) (observing that applying an "indecency"
rather than "obscenity" standard "might well put the American public in
jeopardy of being denied access to many worthwhile works in literature,
science, or art").
FN200. Cf. Denver Area Educ. Telecomm. Consortium, Inc. v. FCC, 116
S.Ct. 2374, 2393 (1996) (reiterating that government may not regulate speech
in a manner that restricts adults to reading "only what is fit for children")
(quoting Sable Communications v. FCC, 492 U.S. 115, 128 (1989)); ACLU,
929 F.Supp. at 876 (opinion of Dalzell, J.). Denial of anonymity in the
interest of ensuring that would-be readers of arguably indecent material
are screened as thoroughly as possible would subject adults to a level
of supervision fit for children.
FN201. See ACLU, 929 F.Supp. at 845-47 (describing available technologies
but finding that it is neither technically nor economically feasible for
most non-commercial organizations to use them); Froomkin, supra note 1,
at 413-25 (describing the technology that enables creation of secure but
anonymous digital signatures).
FN202. See ACLU, 929 F.Supp. at 838-42 (finding such parental-screening
systems technically feasible); Eugene Volokh, Freedom of Speech on the
Infobahn from the Listener's Perspective: Private Speech Restrictions,
Libel, State Action, Harassment, and Sex, 1996 U. CHI. LEGAL F. (forthcoming
1996).
FN203. Michael N. Dolich, Note, Alleging A First Amendment "Chilling
Effect" to Create A Plaintiff's Standing: A Practical Approach, 43 DRAKE
L. REV. 175 (1994); Jonathan R. Siegal, Note, Chilling Injuries as a Basis
for Standing, 98 YALE L.J. 905 (1989); see also Ault, supra note 87, at
1547-49.
FN204. See Carlin Communications, Inc. v. FCC, 837 F.2d 546, 557 (2d
Cir.) (holding that provider of dial-a-porn services lacked standing to
raise a facial overbreadth challenge to state access regulations on behalf
of would-be listeners who might experience a chilling effect in the future),
cert. denied, 488 U.S. 924 (1988).
FN205. See Froomkin, supra note 1, at 459-70.
FN206. See supra note 150.
FN207. See Froomkin, supra note 1, at 473-78.
FN208. TRIBE, supra note 170, § 3-19 at 138; see, e.g., Singleton
v. Wulff, 428 U.S. 106, 117-18 (1976) (allowing physician to assert his
patient's constitutional right to obtain an abortion in challenge to statute
denying reimbursement for abortion providers, on the ground that the patient's
desire for anonymity might deter her from asserting her own rights); Eisenstadt
v. Baird, 405 U.S. 438, 446 (1972) (allowing distributor of contraceptives
to assert recipients' constitutional privacy rights in challenge to law
banning distribution to unmarried individuals); Griswold v. Connecticut,
381 U.S. 479, 481 (1965) (allowing medical professionals who provided birth
control to married couples to assert the users' constitutional privacy
rights in challenge to their convictions under law forbidding such distribution);
NAACP v. Alabama, 357 U.S. 449, 459 (1958) (allowing organization to assert
its members' constitutional rights to anonymity as justification for withholding
membership information from the state, on the ground that "[t]o require
that it be claimed by the members themselves would result in nullification
of the right at the very moment of its assertion"). See generally TRIBE,
supra note 170, § 3-19 (discussing third-party standing doctrine).
FN209. NAACP, 357 U.S. at 459 (allowing NAACP to assert its members'
constitutional rights to associational anonymity); see also Singleton,
428 U.S. at 117-18 (observing that abortion patient's desire for anonymity
might deter her from asserting her own privacy rights).
FN210. Craig v. Boren, 429 U.S. 190, 195 (1976) (allowing vendors to
challenge statute forbidding sale of 3.2% beer to men (but not women) between
the ages of 18 and 21); Singleton, 428 U.S. at 117-18; Eisenstadt, 405
U.S. at 443-46; Griswold, 381 U.S. at 481; Pierce v. Society of Sisters,
268 U.S. 510, 534-35 (1925) (allowing private schools to challenge statute
requiring parents to send their children to public schools); see TRIBE,
supra note 170, § 3-19 at 138-39.
FN211. See 18 U.S.C. § 2710 (1994); CAL. CIV. CODE § 1799.3
(West Supp. 1996); CONN. GEN. STAT. ANN. § 53-450 (West 1996); DEL.
CODE ANN. tit. 11, § 925 (1995); IOWA CODE ANN. § 727.11 (West
1993) (amended 1996); MD. ANN. CODE art. 27, § 583 (Supp. 1991); MICH.
STAT. ANN. § 19.418(101)- (104) (Callaghan 1990); MINN. STAT. ANN.
§ 325I.01-.03 (West 1995); N.H. REV. STAT. ANN. § 351-A:1 (Supp.
1994); N.Y. GEN. BUS. LAW §§ 671- 673 (McKinney 1996); R.I. GEN.
LAWS ANN. § 11-18-32 (1994).
FN212. See 47 U.S.C. § 551 (1992); CAL. PENAL CODE § 637.5
(West 1988); CONN. GEN. STAT. ANN. §§ 53-420 to 422 (West 1994);
D.C. CODE ANN. § 43- 1845 (1981); ILL. ANN. STAT. ch. 720, para. 110/3
(Smith-Hurd 1993); N.J. STAT. ANN. § 48:5A-54 to -63 (West 1969);
WIS. STAT. ANN. § 134.43 (West 1989).
FN213. See ALA. CODE § 41-8-10 (1975); ALASKA STAT. § 09.25.140
(1994); ARIZ. REV. STAT. ANN. § 41-1354 (1992); ARK. CODE ANN. §§
13-2-2703 to - 2704; CAL. GOV'T CODE § 6254(j) (West 1995); COLO.
REV. STAT. § 24-90- 119 (1973); CONN. GEN. STAT. ANN. § 11-25
(West 1986); D.C. CODE ANN. § 37- 106.2 (1981); DEL. CODE ANN. tit.
29, § 10002(12) (1991); FLA. STAT. ANN. § 257.261 (West 1991);
GA. CODE ANN. § 24-9-46 (Harrison 1994); ILL. ANN. STAT. ch. 81, para.
1201 (Smith-Hurd 1993); IND. CODE ANN. § 5-14-3- 4(16) (Burns 1994);
IOWA CODE ANN. § 22.7(13) (West 1995) (amended 1996); KAN. STAT. ANN.
§ 45-221(23) (Supp. 1995); ME. REV. STAT. ANN. tit. 27, § 121
(West 1988); MD. CODE ANN. STATE GOV'T § 10-616(e) (1993); MICH. COMP.
LAWS ANN. §§ 397.601-605 (1982) (amended 1996); MINN. STAT. ANN.
§ 13.40 (West 1988) (amended 1996); MISS. CODE ANN. § 39-3-365
(1992); MO. ANN. STAT. §§ 182.815, -.817 (Vernon's 1986) MONT.
CODE ANN. § 22-1-1101 to -1103 (1995); NEB. REV. STAT. § 84-712.05(10)
(1994) (amended 1995); NEV. REV. STAT. § 239.013 (Michie 1996); N.H.
REV. STAT. ANN. § 201- D:11; N.J. STAT. ANN. § 18A:73-43.2 (West
1989); N.M. Stat. Ann. § 18-9-4 to -5 (Michie 1978) ; N.Y. Civ. Prac.
Law § 4509 (McKinney 1992); N.C. Gen. Stat. § 125-19 (Michie
1985); N.D. Cent. Code § 40-38-12 (Supp. 1995); Okla. Stat. Ann. tit.
51, § 24A.11 (West 1988); id. tit. 65, § 1-105 (1995); 24 Pa.
Cons. Stat. Ann. § 4428 (1992); R.I. Gen. Laws § 38-2- 2(21)
(1956); S.C. Code Ann. § 60-4-10 (Law. Co-Op. 1985); S.D. Codified
Laws Ann. § 14-2-51 (1991); Tenn. Code Ann. §§ 10-8-101,
-102 (1988); Vt. Stat. Ann. tit. 1, § 317(b)(19) (1995); Va. Code
Ann. § 2.1- 342(B)(8) (Michie Supp. 1994); Wash. Rev. Code Ann. §
42.17.310(1) (West Supp. 1996); W. Va. Code § 10-1-22 (1995); Wis.
Stat. Ann. § 43.30 (West Supp. 1995); Wyo. Stat. § 16-4-203(d)(ix)
(1977).
FN214. For a more detailed discussion and critique of these ad hoc,
context- specific privacy statutes, see Reidenberg, supra note 1; Joel
R. Reidenberg, Setting Standards for Fair Information Practice in the U.S.
Private Sector, 80 IOWA L. REV. 497 (1996). Professor Reidenberg argues
that United States legal protection for personal data falls far short of
universally accepted standards, and that the failure to take a comprehensive
approach to the privacy issues raised by collection of personal data is
a significant cause of this inadequacy. See Reidenberg, supra, at 507-31.
FN215. Video Privacy Protection Act of 1988, 18 U.S.C. § 2710 (1994).
It is unclear whether the language of this statute covers online video
services. See NTIA PRIVACY REPORT, supra note 14, at 16-17.
FN216. As discussed in note 115, supra, a constitutional right of anonymity
may be grounded, at least partially, in constitutional privacy doctrine.
Anonymity objectives and privacy objectives overlap substantially. Nonetheless,
the term "anonymity" describes a particularly stringent variety of "privacy,"
and achieving true anonymity, as opposed to mere confidentiality, presents
unique technological and procedural challenges.
FN217. Cf. Smith, supra note 1, at 177 n.155 (noting that the right
of informational privacy focuses to a significant extent on the conditions
for disclosure of personal identifying information rather than its initial
collection). The DAETC Court appears to have recognized this distinction.
Cf. Denver Area Educ. Telecomm. Consortium, Inc. v. FCC, 116 S.Ct. 2374,
2391 (1996) (acknowledging constitutionally protected subscriber interest
in anonymity), with id. at 2430 (Thomas, J., dissenting) (characterizing
fear of chilling effect as "pure hyperbole" given privacy provisions of
statute). It is worth noting that the voluntary privacy principles set
forth in the NII Privacy Report attempt to raise the threshold for collection
of personal data, by stating that information users should "acquire only
that information reasonably expected to support" activities that are either
current or actually planned, and should destroy any information that no
longer satisfies those criteria. NII PRIVACY REPORT, supra note 45, at
II.A., ¶ 9. However, this standard is vague and affords no guarantees
with respect to anonymity, which may easily be violated by the collection
of such basic personal identifying information as the reader's name.
FN218. See, e.g., 18 U.S.C. § 2710(b)(2)(E) (1995) (video rental
provider may disclose information "to any person if the disclosure is incident
to the ordinary course of business of the video tape service provider");
47 U.S.C. § 551(b)(2)(A) (1995) (cable operator may collect and use
"information necessary to render a cable service or other service provided
by the cable operator to a subscriber"); ARIZ. REV. STAT. ANN. § 41-1354.B.1
(1992) (allowing disclosure of library rental records "[i]f necessary for
the reasonable operation of the library"); N.Y. GEN. BUS. LAW § 673(3)(C)
(McKinney 1996) (allowing disclosure of video tape rental records "to any
person if the disclosure is incident to the ordinary course of business
of the video tape service provider"); see also NII PRIVACY REPORT, supra
note 45, at II.A., ¶ 9 (framing data acquisition guidelines in terms
of what is "reasonably expected to support" the collector's activities);
id. at II.D., ¶¶ 21-23 (defining acceptable uses of personal
data in terms of what would be compatible with individuals' "objectively
reasonable contemplation," and suggesting that even for some "incompatible"
uses, individual consent may fairly be implied from failure to use opt-out
procedures). Professor Reidenberg predicts that such exceptions may become
"major loophole[s]" in consumer privacy statutes. Reidenberg, supra note
214, at 219
FN219. See, e.g., 18 U.S.C. § 2710(b)(2)(C) (1995); CAL. CIV. CODE
§ 1799.3(b)(3), (4) (West Supp. 1996); COLO. REV. STAT. ANN. §
24-90- 119(2)(c) (Supp. 1987); N.Y. GEN. BUS. LAW § 673(2)(a), (c)
(McKinney 1988).
FN220. See, e.g., CAL. CIV. CODE § 1799.3(b)(1) (West Supp. 1996);
CAL. PENAL CODE § 637.5(c) (government agencies only); COLO. REV.
STAT. § 24-90- 119(2)(c) (Supp. 1987).
FN221. See, e.g., 18 U.S.C. § 2710(b)(2)(F) (1995); N.Y. GEN. BUS. LAW § 673(2)(b) (McKinney 1988). For example, FED. R. CIV. P. 45(c)(3)(B) provides that before a litigant may require a nonparty to disclose a trade secret, it must show "a substantial need for the testimony or material that cannot otherwise be met without undue hardship." Similarly, FED. R. CIV. P. 26(b)(1) limits the discovery available from a party to matters that are "not privileged."
Such a "compelling need" threshold could be subject to appropriate exceptions.
Like other privileged information, information about reading habits should
be subject to discovery when a party has placed it at issue. For example,
a copyright infringement defendant who denies ever having seen or heard
the plaintiff's copyrighted work should not be allowed to preclude the
plaintiff from using appropriately tailored discovery requests to investigate
the denial. In addition, a law privileging reader identifying information
should not prevent relevant inquiry regarding documents read in the course
and scope of employment, such as interoffice memos and reports.
FN222. The rules of evidence in criminal proceedings reflect the heightened
protection accorded to reading. Even when there is other evidence to support
charging a particular individual with a particular crime, evidence relating
to reading habits is inadmissible on the ultimate question of guilt. See,
e.g., United States v. Giese, 597 F.2d 1170, 1184-95 (9th Cir.) (evidence
of reading habits admissible only to impeach defendant's contention that
his reading materials showed him to be peaceable), cert. denied, 444 U.S.
979 (1979); United States v. McCrea, 583 F.2d 1083 (9th Cir. 1978).
FN223. See Carol M. Ostrom, Unabomber Case Gives Librarians Privacy
Fits, SEATTLE TIMES, May 1, 1996, at A1; Sue O'Brien, Librarian's Silence
Is Golden, DENVER POST, Apr. 21, 1996, at E-01.
FN224. The only reported court opinion to consider a First Amendment
challenge to such disclosure rejected the constitutional arguments out
of hand, citing a government interest in fair and effective law enforcement.
Brown v. Johnston, 328 N.W.2d 510, 512-13 (Iowa 1983), cert. denied, 463
U.S. 1208 (1983). Provisions of the federal Video Privacy Protection Act
that would have established privacy rights for library patrons were dropped
from the proposed bill after disagreement arose regarding law enforcement
access to circulation records. S. REP. NO. 100-599, 100th Cong., 2d Sess.
8 (1988), reprinted in 1988 U.S.C.C.A.N. 4342-1, 4342-8.
FN225. See Freiwald, supra note 1, at 950-51, 953, 966-75, 994-97.
FN226. See id. at 968 (discussing requirements for access to communication
contents under Title III of the Omnibus Crime Control and Safe Streets
Act of 1968); id. at 970-73 (discussing requirements for access to stored
records reflecting communication attributes under the Electronic Communications
Privacy Act of 1986); id. at 995, 1005-07 (discussing requirements for
access to stored records reflecting communication attributes under the
Digital Telephony Act of 1994).
FN227. Professor Freiwald suggests that it should be abandoned, and
replaced with strong protection for all aspects of digital communications.
See Freiwald, supra note 1, at 1006-07, 1013-20.
FN228. See 18 U.S.C. § 2710(b) (1995); Freiwald, supra note 1,
at 1014-16.
FN229. See Ostrom, supra note 223; supra pp. 1027-1028.
FN230. See supra p. 994.
FN231. NTIA PRIVACY REPORT, supra note 14, at 25-26 & n.98. The
report contemplates that consumers will receive a notice of the "opt-out"
rule at the start of the relationship.
FN232. NTIA PRIVACY REPORT, supra note 14, at 25-26 & n.98.
FN233. See, e.g., GA. CODE ANN. § 16-9-93.1 (prohibiting use of
a false identity on the Internet); Ilana DeBare, State Trademark Bill Ignites
Net Turmoil, SACRAMENTO BEE, Mar. 2, 1996, at F1 (describing California
Senate bill intended to prohibit false use of trademarks on the Internet);
Dan L. Burk, Federalism in Cyberspace, 28 CONN. L. REV. 4, 1095 (1996).
FN234. See Burk, supra note 233.
FN235. See supra Part III; see also GANDY, supra note 1, at 205-08 (observing
that individual consumers "are contract takers rather than contract makers,"
and may not appreciate the consequences of blanket authorizations to disclose
personal data or understand the full range of possible future costs).
FN236. See, e.g., 18 U.S.C. § 2710(b)(2)(F) (1995); N.Y. GEN. BUS.
LAW § 673(2)(b) (McKinney 1988).
FN237. See, e.g., 18 U.S.C. § 2710(b)(2)(F) (1995); N.Y. GEN. BUS.
LAW § 673(2)(b) (McKinney 1988).
FN238. See supra p. 1036.
FN239. See supra p. 1035.
FN240. See, e.g., 47 U.S.C. § 551(e) (1995).
FN241. Undoubtedly, some consumers will find a per-transaction waiver
requirement annoying or onerous and wish to execute blanket waivers. The
statute should allow these individuals to do so, but should afford them
the opportunity to revoke such waivers upon request.