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ProQuest Information and Learning 300 North Zeeb Road, Ann Arbor, Ml 48106-1346 USA 800-521-0600 Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Beyond Data Protection: Applying Mead’s Symbolic Interactionism and Habermas’s Communicative Action to Westin’s Theory of Privacy Valerie Steeves, B.A., J.D. A thesis submitted to the Faculty of Graduate Studies and Research in partial fulfilment of the requirements for the degree of Doctor of Philosophy Communication Program School of Journalism and Communication Carleton University Ottawa, Ontario April, 2005 ©Valerie Steeves, 2005 Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. 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Abstract Current privacy policy frameworks embody a set of data protection principles which privilege a narrow interpretation of privacy as informational control, in spite of concerns that data protection is neither resilient enough a concept to protect the social value of privacy nor able to account for the role privacy plays in the development of identity. Data protection laws draw heavily on Alan Westin’s theoretical work on privacy. Westin’s work is rich in sociality; however, since his data protection principles were first incorporated into legislation in 1970, the valorization of technology and managerial imperatives have worked to marginalize the social elements in his thinking. In addition, Westin himself limits his theoretical framework by focussing on information flow rather than the negotiation of privacy by social actors. This dissertation puts Westin into dialogue with the work of George Herbert Mead, as it has been applied and extended by Irwin Altman and Jurgen Habermas, in order to reclaim and extend the social elements in Westin’s thinking. I apply Mead’s theory of the social self to dissolve the apparent tension between Westin’s atomistic individual and the social. I adopt Irwin Altman’s definition of privacy as the boundary between self and other and apply Mead’s dialogue between the social self and the undetermined I to locate privacy at the centre of identity formation. I then use Habermas’s conception of communicative action to argue that privacy - as the line between self and other - is an essential element of the normatively guided interaction that a linguistically constituted form of inter-subjectivity makes ii Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. possible. Privacy can therefore be conceived of as a social emergent of communication which involves the inter-subjective negotiation of the boundary between the self and other. This conception frees the policy questions from narrow considerations of fair information practices, and reinvigorates the need to come to social judgment about the appropriateness of surveillance. To test whether this conception of privacy can better inform policy, I examine children’s online privacy and compare how well data protection principles and a theory or privacy as a social emergent of communication can explain and address the issues. iii Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Table of Contents List of Tables ............................................................................................................ vi List of Illustrations ................................................................................................... vii Chapter 1 - Current Themes in the Privacy Literature ............................................1 Privacy and technology ................................................................................... 4 Westin and the classical conception of privacy ...........................................8 Privacy and data protection p o lic y .............................................................. 11 Critiques of data protection ....................................................................... 13 Privacy and surveillance ..............................................................................25 Privacy as a social psychological concept ................................................. 27 Gaps identified in the th e o ry ........................................................................32 Beyond Westin - Applying Mead and Habermas to the privacy debate ....................................................................................33 Chapter 2 - Legal Frameworks to Protect Privacy ............................................... 49 Constitutional and criminal protections against the invasive power of the s ta te ..........................................................................51 P roperty ......................................................................................................... 54 Reasonable expectations of privacy ...........................................................60 Chapter 3 - Data Protection Regimes: A Historical Exposition and Comparative Legal Analysis ........................................................................ 69 The origins of data protection ................................................................... 73 The legacy of World War II ..........................................................................77 International Human Rights instrum ents ........................................ 79 Early data protection instruments ............................................................... 81 Hesse Data Protection A c t ...............................................................90 Swedish Data A c t ..............................................................................94 Council of Europe Resolution regarding private sector databases .................................................................. 99 Council of Europe Resolution regarding public sector databases ..................................................................103 American Privacy Act of 1973 ...................................................... 107 German Federal Data Protection L a w .......................................... 115 International data protection instruments .................................................122 OECD Guidelines on the Protection of Personal Privacy and Transborder Flows of Personal D a ta ....................... 122 Council of Europe Convention for the Protection of Individuals with regard to Automatic Processing of Personal D a ta ................................................................................125