The Meaning of Anonymity in an Information Age
The Information Society, 15:141-144, 1999.
(Reprinted in Readings in CyberEthics (2001)
R.A. Spinello and H.T. Tavani (eds.)
Sudbury: Jones and Bartlett.)
Should anonymity be protected in electronic interactions and communications? Would this be a good thing for community, responsibility, free expression, political participation, and personal fulfillment? If so, when and why? These key normative questions probe the value of anonymity in our computerized society and political order. In this brief discussion, I will not directly address these important questions but will address questions that undergird them about the meaning of anonymity in a contemporary, computerized society, including: What is anonymity? And, what are we seeking to protect when we propose to protect it? Although answers to these foundational questions will not immediately yield answers to the key normative questions mentioned above, they are essential to understanding what is at stake in the answers to these questions. For, after all is said and done, we would not want to discover that the thing we have fought so hard to protect was not worth protecting after all.
An understanding of of the natural meaning of anonymity, as may be reflected in ordinary usage or a dictionary definition, is of remaining nameless, that is to say, conducting oneself without revealing ones name. A poem or pamphlet is anonymous when unattributable to a named person; a donation is anonymous when the name of the donor is withheld; people strolling through a foreign city are anonymous because no-one knows who they are. Extending this understanding into the electronic sphere, one might suggest that conducting one's affairs, communicating, or engaging in transactions anonymously in the electronic sphere, is to do so without one's name being known. Specific cases that are regularly discussed include:
- sending electronic mail to an individual, or bulletin board, without one's given name appearing in any part of the header
- participating in a "chat" group, electronic forum, or game without one's given name being known by other participants
- buying something with the digital equivalent of cash
- being able to visit any web site without having to divulge one's identity
The concern I wish to raise here is that in a computerized world concealing or withholding names is no longer adequate, because although it preserves a traditional understanding of anonymity, it fails to preserve what is at stake in protecting anonymity. Why?
Information technology has made it possible to track people in historically unprecedented ways. We are targets of surveillance at just about every turn of our lives. In transactions with retailers, mail order companies, medical care givers, daycare providers, and even beauty parlors, information about us is collected, stored, analyzed and sometimes shared. Our presence on the planet, our notable features and momentous milestones are dutifully recorded by agencies of federal, state and local government including birth, marriage, divorce, property ownership, drivers licenses, vehicle registration, moving violations, passage through computerized toll roads and bridges, parenthood, and, finally, our demise. Into the great store of information, we are identified through name, street address, email address, phone number, credit card numbers, social security number, passport number, level of education and more; we are described by age, hair color, eye color, height, quality of vision, purchases, credit card activity, travel, employment and rental history, real estate transactions, change of address, ages and numbers of children, and magazine subscriptions. The dimensions are endless. (Nissenbaum, 1997)
From these bits of information, public identities may be formed that not are only elaborate, but permanently accessible in an active electronic form for those who may need or want them. Even when these identities are not complete, may in fact be quite fragmentary, inferential tools and network capabilities enable linking, matching, mining and all the other activities that for one purpose or another transform bits of a person into a more complete, recognizable, possibly identifiable (virtual) person. Critically important to the question of anonymity is that these techniques allow linking of pieces and fragments of information; from a variety of pieces of information, or fragments of information, that are not each uniquely identifying we may infer or link to those that are. For example, in most states, we can identify the owners name and home address from the number on a car license-plate; from a phone number we may reach a person or household, from an electronic mail address, or an electronic pseudonym, we may be able to pinpoint a persons geographic whereabouts and physical identity.
Even where fragments of information do not lead to information that is uniquely identifying, people may be identified with a high degree of probability when various properties are compounded to include a smaller and smaller set of individuals who satisfy them all. If an unnamed individual, who regularly contributes to America Online discussion groups for Corvette owners and stamp collectors, reveals that he shops at Safeway, was born on May 4, 1965, graduated from Stanford in 1992, lives in Palo Alto in a three bedroom house appraised at $525,000, is divorced with two children in local public schools, we may be able to identify him without knowing his name. Whereas in the past, the most direct and effective way of getting at a person was through his name, the electronic medium now offers many points of entry, some of which may be even more effective than a name. (Note close parallels to two of Gary Marxs categories of identification, namely, identification through distinctive appearance or behavior patterns, and identification through social categories. (Marx, 1998)) Marketers use these techniques to track suitable targets to their home addresses by mining databases containing a diverse range of transactional information about them.
The power of information technology to extract or infer identity from non-identifying signs and information has been inventively applied by literary scholars to settling disputes and unraveling mysteries of authorship -- say, to discover whether it was Shakespeare who wrote a given sonnet. These scholars infer authorship by comparing the stylistic and lexical features of anonymous text with the known style of authors whose texts have been analyzed along these same dimensions. In a recently publicized case, Donald Foster, a professor of dramatic literature at Vassar College, identified Joe Klein as the author of the controversial political novel Primary Colors. (Pristin, 1997), published anonymously. Foster also helps law-enforcement officials identify extortionists and kidnappers by analyzing what they have written.
Why does this matter? For situations that we judge anonymity acceptable, or even necessary, we do so because anonymity offers a safe way for people to act, transact, and participate without accountability, without others "getting at" them, tracking them down, or even punishing them. This includes a range of possibilities. Anonymity may encourage freedom of thought and expression by promising a possibility to express opinions, and develop arguments, about positions that for fear of reprisal or ridicule they would not or dare not do otherwise. Anonymity may enable people to reach out for help, especially for socially stigmatized problems like domestic violence, fear of HIV or other sexually transmitted infection, emotional problems, suicidal thoughts. It offers the possibility of a protective cloak for children, enabling them to engage in internet communication without fear of social predation or -- perhaps less ominous but nevertheless unwanted -- overtures from commercial marketers. Anonymity may also provide respite to adults from commercial and other solicitations. It supports socially valuable institutions like peer review, whistle-blowing and voting.
In all these cases, the value of anonymity lies not in the capacity to be unnamed, but in the possibility of acting or participating while remaining out of reach, remaining unreachable. Being unreachable means that no-one will come knocking on your door demanding explanations, apologies, answerability, punishment or payment. Where society places high value on the types of expression and transaction that anonymity protects (aluded to in the previous paragraph) it must necessarily enable unreachability. In other words, this unreachability is precisely what it at stake in anonymity. If, in previous eras, namelessness, that is choosing not to reveal ones name, was the best means of achieving unreachability, it makes sense that namelessness would be protected. However, remaining unamed should be understood for what it is: not as the end in itself of anonymity, but rather, the traditional means by which unreachability has been achieved. It has been the most effective way to keep others at bay, avoid ridicule, and prevent undeserved revenge, harm, and embarrassment, and so forth.
In the computerized world, with the systems of information that we currently have in place, namelessness by itself is no longer sufficient for protecting what is at stake in anonymity. If it is true, as I have suggested, that one can gain access to a person through bits, or constellations of bits of information, then protecting anonymity today amounts to more than merely withholding a name. It means withholding the information or constellation of information it now takes to get at, or get to, a person. When we think of protecting anonymity we must think about this broader range of possibilities; we must think not only how a person can prevent his or her name from being divulged, but how a person can prevent all the crucial bits of information from being divulged, in particular, the bits of information that when divulged would enable access to him or her.
Deepening our understanding of the issue of anonymity in an information age, and reaching wise decisions about it, will, in other words, require not only resolving the key normative questions stated at the beginning (to achieve a balance among potentially conflicting interests). It also requires an appreciation of what it takes to be "unreachable" or "out of grasp" in a world where technologies of knowledge and information are increasingly efficacious at reaching, grasping, and identifying. This is a moving target.
To secure the possibility of being unreachable, we need to promote understanding as well as pursue advocacy. Understanding can be achieved partly through careful a-priori analysis, that is, by figuring things out and partly by seeking greater knowledge about information and information networks. With a basic grasp of networks of information facilitate transactions, people may "figure out" -- either spontaneously or as a result of others prompting -- the various links tying into their identities and whereabouts that defy the effectiveness of traditional anonymity. A person figures out that bar codes link to her identity when she pays for purchases with a credit card, figures out that electronic mail sent pseudonymously (under a fictitious name, frequently devised specifically for electronic communications) or anonymously may nevertheless yields identifying information about her via her computers IP address, or realizes that she becomes more easily identifyable through an electronic mail address that includes information about her geographic location (for example, by identifying her place of work).
Beyond what we can figure out, there is a great deal to learn about the linkages that exist that may potentially undermine the possibility of anonymity (and pseudonymity.) In general, these linkages establish a correspondence between the sign under which people attempt to act and transact anonymously (or pseudonymously) and information about them that either itself makes people reachable, or links to other signs and information that ultimately link to information that makes them reachable. These revelations of identity may occur by various means. One is by linking the sign under which an anonymous person is acting into a network of information that ultimately leads to the person him or herself. As discussed above, those whose business it is to watch, record, match, infer and identify, may manage to converge on individuals only with some degree of certainty, or they may manage to do so by linking ultimately to that one crucial piece of information -- the work address, the IP address, the street address, the motor vehicle registration -- that places the unnamed person within their reach.
Another way of defying anonymity, not yet discussed, is by breaking systems of "opaque" identifiers. What I mean by an opaque identifier is a sign linking reliably to a person -- chosen, assigned, or arising naturally -- that, on the face of it ,carries no information about the person. That is, the opaque identifier holds no clue, by itself, as to the real identity of the person or how to reach that person. The chosen screen names (or pseudonyms) of Internet Service subscribers may serve in this way as opaque identifiers. The Social Security Number is an instance of an assigned identifier, and biometrics, such as fingerprints, retinal images, and DNA profiles, instances of naturally occurring ones. As well as serving important societal needs, such as law and order, secure entry and financial transaction, these systems of identification offer the means of dealing reliably but anonymously with individuals. For example, a professor wishing to announce course grades anonymously, may list grades alongside social security numbers. People may interact with a stable cohort knowing only screen names and not real identities, and so forth.
Problems arise when the key to a system of opaque identifiers is compromised as, for example, critics say has occurred with Social Security Numbers. They charge that the mapping between these numbers, and information that allows people to be reached, has seeped slowly but surely into the public domain. The SSN has becomes a sure-fire way not only to "get at" a person but to extract an enormous array of other information that has been keyed to it. In other cases, a key to the mapping can be less inadvertantly and more directly betrayed such as occurred in a controversial case involving Timothy McVeigh, a member of the United States Navy. Navy personnel, investigating his alleged homosexuality, managed to elicit McVeighs real identity from America Online on submitting his screen name, "boysrch" (McVeigh v. Cohen). It is of great importance that people at least have an accurate grasp of the existing level of integrity for each of these systems of opaque identification.
My purpose here is not to suggest that anonymity in an information age is impossible. I am mainly arguing that achieving it is a more demanding business than merely allowing people to withhold their names. Although I do not mean to imply that contemporary networks of information, and the compromise of opaque identifiers, are the result of insidious conspiracy and subterfuge, I recognize, at the same time, that all interests are not equally served by promoting a sufficient public understanding. It is this level of understanding that would make people more cautious, more guarded, more mindful of the information they divulge to others in various transactions, and as a result, more capable of protecting the possibility of anonymity. The understanding may also lead them to realize that anonymity and pseudonymity is not all or nothing but can be achieved in degrees and layer by degrees and layers of cloaking. But public understanding is not, in my opinion, enough. Knowing where landmines are buried can help people avoid them, but clearing the landmines is a more robust and lasting solution.
Beyond the effort it would take to educate toward a more comprehensive understanding, we will need to pursue lines of advocacy. If, as a society, we agree that what is importantly at stake in anonymity is the capacity to be unreachable in certain situations, then we must secure the means to achieve this. This will include a dramatic reversal of current trends in surveillance, as well as a relentless monitoring of the integrity of systems of opaque identifiers. Without at least these measures, even if we nominally secure a right to anonymity through norms and regulations, we will not have secured what is at stake in anonymity in a computerized world.
McVeigh v. Cohen Decision. (1998) United States District Court, District of Columbia
Marx, G. 1998. Whats in a name? Some reflections on the sociology of anonymity. The Information Society (this issue)
Nissenbaum, H. 1997 Toward an approach to privacy in public: challenges of information technology. Ethics & Behavior 7(3) 207-219
Pristin, T. 1997. From Sonnets to Ransom Notes. The New York Times, Wednesday, November 19, B1