|
FEATURES: Friends and the Law
By Ethan J. Leib
Can public policy support the institution of friendship?
Friends are at the
center of most of our lives. Yet public policymakers and lawyers rarely
spend any time thinking about how the structure of our public policies and
our law can help sustain and promote our friendships with our nearest and
dearest. Few realize that choices we make in the design of our public
institutions structure and sometimes regulate our friendship networks.
Decision-makers and legislators spend an awful lot of time focusing on the
family and designing our public law to account for and promote the family
unit. More, special professional relationships of trust and confidence,
like our interactions with our lawyers, doctors, and psychotherapists, are
heavily structured and regulated by law; even informal intimacies such as
those that are produced through cohabitation and co-ownership have a set of
rules that structure those relationships. Our friends are no less important
than our families, our households, and our professional relationships, and
friendships deserve some of the same protection and recognition under the
law.
The law must
learn to take
notice of
friendship
because
friendship
matters to our
lives, our law,
our public
institutions.
The arguments in this essay support two main claims.
First, the law must learn to take notice of friendship because friendship
matters — to our lives, our law, and the viability of our public
institutions. This is not a terribly controversial thesis, perhaps, but it
is counterintuitive enough. It turns out that without being terribly
self-conscious about regulating friendship, the law does occasionally find
a way to make friendship relevant. We need to realize this is happening so
we can intervene well when the law must and does get involved in our
friendships. Second, and more controversially, our laws, legal
institutions, and public policy agendas should be oriented toward promoting
and facilitating friendships. The end of the essay gestures at how that
might be done.
These two claims are somewhat different and can be
disentangled. One could agree with the first — that we need to know
what we are doing when we regulate friendships and when the law interposes
itself within a friendship — but disagree with the second, that the
law should promote or facilitate friendship. One could sensibly think that
the law should be designed to be sensitive to friendships so as not to
trammel them unnecessarily, but that we go too far if we seek a general
policy orientation of friendship-promotion. Still, the essay defends both
theses.
Who is a friend?
Perhaps the biggest
challenge to either aspect of this project is coming
up with a useful definition of the friend. The vast majority of us know who
our parents, children, brothers, and sisters are. But figuring out who
constitutes a friend — and when friendship starts and ends —
may be a harder task. A casual definition is usually ready to hand, but it
is more challenging to settle on a working definition for more careful
analysis. Indeed, if you asked everyone in the country to list his or her
friends, it would be reasonable to suspect that those lists would not
always line up: Some people would list friends who would not reciprocate.
Even friends who would list one another in this thought experiment perhaps
cannot be relied upon to be “true” friends at the core, for we
all likely operate with varying thresholds, tolerances, and expectations
for friendship. We sometimes feel social pressure to call someone a friend.
Yet, perhaps, if pressed, we all know who our “real” friends
are. We think we know when we have reliable ones, but that does not give
satisfactory guidance for any form of codification or sustained thinking
for public policy.
This is certainly an inauspicious beginning. If legal
duties and privileges should flow from friendship, vague standards are
troublesome. If my working definition is not much better than “I know
it when I see it,” it will be hard to convince lawmakers to assign
duties and privileges to an amorphous class of citizens. Everyone may see
friendship slightly differently.
Still, the definitional challenges are not
insurmountable. Most concretely, New York and Florida, to take two
examples, have legally codified definitions of the friend in the
health-care proxy decision-making context. Here’s Florida’s
definition:
“Close personal friend” means any person18 years of age or older who
has exhibited special care and concern for the patient, and who presents an
affidavit to the health care facility or to the attending or treating
physician stating that he or she is a friend of the patient; is willing and
able to become involved in the patient’s health care; and has
maintained such regular contact with the patient so as to be familiar with
the patient’s activities, health, and religious or moral beliefs.
This isn’t perfect, of course, but it certainly
shows that definitions can be codified in certain contexts.
Another way around the definitional problem, perhaps,
is to allow people to contract into the friendship relation for the
purposes of law and leave the definition of the relation solely in the
hands of those who choose to adopt the term. One could, as David Chambers
of the University of Michigan once suggested, set up a friendship
“registry,” so people could sign up to have their friendships
recognized. Or we could develop civil ceremonies to concretize the
relation. Some Germans engage in a social drinking practice —Brüderschaft trinken —
that helps signal to the friends and the world that a real friendship has
formed.
Yet, although these solutions might help solve the
definitional problem, this method of substituting living in a real friendship with formal contracts or
simple external markers cannot be said to respect or promote friendship
itself, as we know it in our daily lives. These methods of
“solving” the problem tend to replace friendship with contracts
or with a newfangled institution we don’t quite know. Friendship is a
social institution that will always need to develop organically. The law
needs to come to friendship in its organic and fuzzy state, not force it
into something else that the state can track more easily. If the only
friends who were to count for the purposes of public policy were friends
who signed up with the state, we’d certainly be undercounting
friends. Even states that have enacted something like a friendship registry
— Hawaii and Vermont have “reciprocal beneficiary”
statutes which enable people to confer certain duties and privileges on one
another that might resemble the burdens and benefits of friendship —
find it used more as a marriage substitute than anything else, hardly the
only sort of meaningful friendship on the planet.
Our intimacy
with our friends
creates some
vulnerability,
which trust
nurtures and
from which it
draws to sustain
itself.
The idea that special duties and privileges should
flow to a class of persons that is fuzzy at the edges is hardly
revolutionary. MultipleLaw & Order
episodes aren’t fictionalizing the law when they
present case after case in which courts try to figure out who is, say, a
spiritual advisor for the purposes of a penitent-priest confidentiality
privilege. Some states and commentators are trying to figure out how
broadly to grant intra-familial testimonial privileges to make sure family
members don’t have to testify against one another; even the term
“family member” is fuzzy at the edges. Fuzziness is part of the
law, and not being able to define a class perfectly is not an argument
against protection for the paradigmatic cases.
In any case, there is an empirical, conceptual, and
theoretical approach to the subject that will help delineate who
“counts” as a friend. The list of attributes here is not meant
to be exhaustive, and the categories are not mutually exclusive. More
important, the list is both descriptive and normative. It is descriptive
insofar as it is based on studies of the social phenomenon from a multitude
of different disciplinary approaches and on a long tradition of thinking
about friendship in our cultural tradition. But it is also normative: This
set of characteristics could be an excellent starting point for a
definition that the law and public policymakers could draw upon should the
status of the friend command more organized treatment within the design of
our public institutions. Nonexclusive multifactor tests are common to the
law and public policy, such as when courts try to figure out whether a
worker is a “servant” or an “independent
contractor” for the purposes of agency law. For what it is worth,
they are also common to diagnosing medical and mental disease.The Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition
(dsm-iv) is packed with such multifactor, nonexclusive diagnostic
criteria.
To be sure, differential normative considerations
presented by varying areas of law and public policy would counsel for a
differentiated conception of friendship, depending on the area of public
institutional life affected. But we nevertheless need a starting point to
guide the discussion. Consider the following core characteristics.
Voluntariness: Friends
voluntarily associate with one another with regularity, voluntarily seek
the company of one another, are voluntarily interdependent, and voluntarily
seek proximity to one another, all without strong social pressures to do
so. Of course, friendships ultimately come with a set of very real ethical
obligations, but the association in the first instance is rarely an
enforced one. Friendship is fragile because one may more or less freely
disavow a friend; but the bonds are special, in part, precisely because we
may walk away at any time. The freedom we all have to draw our own circle
of affection does something to help explain why our friends are so precious:
They are the chosen ones.
Intimacy: Friends seek
intimacy with one another through time spent together developing their
relationship. They pursue mutual discovery of one another through
conversation and joint activities. There is often something confessional
about conversations with friends — or, at least, friends are those to
whom we can relatively easily confess. As Andrew Sullivan once wrote in his
beautiful book on friendship, “friendship draws strength from the
past, from myriad shared jokes and understandings, from the remembrance of
moments endured or celebrated together, especially the small ones.”
Intimacy is a product of conversations shared, memories created together,
and inside jokes, a private language.
As C.S. Lewis
understood,
to claim
“these are
my friends”
importantly
implies that
“those are not.”
Trust: Friends tend to be
trusting of one another and develop trust through private disclosures,
sincerity, loyalty, openness of self, and authenticity. Our intimacy with
our friends creates some vulnerability, which trust nurtures and from which
it draws to sustain itself. No one can always be fully honest and open all
the time; but we betray friends when we are duplicitous and fail to
contribute to mutual trust. Although Kant, an Enlightenment philosopher
enamored of reason, calls for “reserve” between friends as a
protective measure in hisLectures on Ethics
— he thought we should all conceal our human
frailties out of “decency,” even with our best friends —
most moderns would concede that too much reserve impedes friendship. Trust
is risky but essential.
Solidarity: Friends
identify with one another and consider one another aligned on some
dimensions central to their identity. One routinely sees this dimension of
friendship described as “concord” (in Aristotle) or
“agreement about all things divine and human” (in Cicero).
Montaigne, a great sixteenth-century theorist of friendship, saw friends as
“second selves,” having “one soul in two bodies.”
Of course, not all friends are bound through such tight bonds of
solidarity, but friends usually share some important values in common.
Exclusivity: Friends
— even when they come in small groups rather than in pairs —
are essentially exclusive. As C.S. Lewis understood, to claim “these
are my friends” importantly implies that “those are not.”
Friendship must be, as Lewis thought, “selective” and an
“affair of the few.” We tolerate exclusivity in friendships
because it helps makes them special; when friendships somehow transition
into cliques, however, they can try our patience.
Reciprocity: Friends tend
to engage in mutual regard and make an effort to reciprocate with one
another in the realms of caring, emotional support, and goodwill. Friends
tend to wish their counterparts well for their own sake, rather than for
any benefit that might accrue. Each party to a friendship must
self-consciously engage in reciprocity and be aware of her
counterpart’s goodwill. Unlike a romantic interest that can be
unrequited, friendship must be shared with an awareness of the mutual
regard.
Friends help
one another
by offering
advice, comfort,
networks and
connections,
material aid (in
the form of
loans or gifts),
and favors of
various kinds.
Warmth: Friends feel
warmly and tenderly toward one another much of the time. This warmth and
tenderness frequently manifests itself as a form of acceptance, flaws
notwithstanding. Friendship is as much an emotional affectation as it is an
activity or “art.” We can’t be too cool with our friends
for too long without threatening the friendship itself.
Mutual assistance: Friends
help one another practically by offering advice, comfort, networks and
connections, material aid (in the form of loans or gifts), and favors of
various kinds. “In-kind” transfers or gifts help reinforce the
solidarity of friendships and help symbolize to parties that they are not
mere commercial partners. It is only idealism of a misguided form to
presume that friendship cannot be instrumental in part. After all, how
could reciprocity truly obtain if exchange weren’t part of the
equation? Although, of course, friendship is something more than a mere
relationship of exchange, certainly some exchange must be part of the
give-and-take of friendship. Yet there is probably a norm within friendship
that prevents parties from being too explicit about keeping tabs. Or,
better, we only really become aware of the exchange relationship embedded
in a friendship when one person is giving too much or one person is taking
too much.
Equality: As between
friends, no feelings of superiority are appropriate and social prestige
should be irrelevant. Although friends will rarely be equal in all ways,
true friends treat one another as equals. Friends should give and take
equally or risk rupturing the bond of friendship. We cannot assume a sense
of superiority over a friend without undermining a core attribute of
friendship.
Duration over time:
Friendships wax and wane, dissolve, intensify, and become attenuated over
time. Nevertheless, the relation of friendship must involve some
durability. As Joseph Epstein has recently written, “A relationship
with an acquaintance doesn’t postulate a future.” Although
friendships undoubtedly go through some phases of dormancy, friends usually
imagine a future spent sharing life experiences together. And the presumed
duration of friendship helps individuals believe that equality in giving
and taking, in mutual assistance, and goodwill can be effected over time,
preventing a relationship from devolving into tit-for-tat calculations.
Conflict — and modes of conflict resolution:
Friendships of substantial duration will undoubtedly enter
phases of tension and conflict. Indeed, Montaigne thought some discord is
at the very heart of frank conversation: Friendship “delights in the
sharpness and vigor [of verbal] intercourse. . . . It is not vigorous and
generous enough if it is not quarrelsome, if it is civilized and artful, if
it fears knocks and moves with constraint.” Yet most friendships have
resources to mediate even more substantial conflict. Friends must be
willing to try to manage conflict because they are invested in the
relational enterprise and its future.
We cannot
assume a
sense of
superiority
over a friend
without
undermining a
core attribute
of friendship.
To be sure, listing a bunch of attributes, some of which obtain in a
given friendship and some of which don’t, is a somewhat clinical
method of getting at a social relation of great importance. There are more
romantic depictions of friendship in our cultural heritage, and they
undoubtedly shed some truth on the relation at issue, perhaps better than a
list can. Yet, this composite sketch of the friend delineates the concept
rather well descriptively and, in turn, could be the basis of the
law’s identification of the friendship relation or the basis of a
public policy agenda that seeks to promote friendship.
One controversial proviso is necessary here, however,
before proceeding more directly to the normative agenda: If two people are
actively lovers or family, they should be excluded from the category of
friendship for legal and public institutional purposes. Not that our
spouses, sisters, or lovers can’t be our friends in a colloquial
sense. Of course they can. But for this public policy project, for the
descriptive and normative agenda set forth here, they must be carved out.
Why? This exclusion is necessary because our laws and
public policies are obsessive and aggressive in regulating sex and the
family. Those regulatory concerns would tend to trump any agenda of
acknowledging and respecting friendship — and friendship would remain
out of focus if we allow sex and the family into the equation. If our
regulation of friendship always had to weigh the details of the same-sex
marriage debate, for example, it might break under the pressure. Thus, it
is important to maintain a clean separation between friends and family and
try to discuss each on its own terms from the perspective of public policy.
For now, anyway. Down the road, once we have an organized and healthy
approach to friendship within our public institutions, we can figure out
how to balance those public policies against those that protect and coddle
the family.
Why should friendship matter?
To vindicate a general normative claim that we should promote
friendship through legal rules, whether in judicial analysis or through
legislative initiative, requires an affirmative argument that highlights
friendship’s role in our lives and its need for legal protection.
Obviously, we shouldn’t promote friendship at
any cost: judges who are friends with defendants should recuse themselves;1 boards of
directors must worry about shareholder interests and not the financial
interests of their friends. But I believe lawyers and policymakers pay
insufficient attention to the basic good of friendship, which contributes
to our integrity and dignity as people. Many other things do besides
— like family, of course — but just as family gets special
protection in law (as I explore in the next section), so, perhaps, should
friendships.
So why is friendship good, such that it needs the
support of our public institutions? Quality cosmetics can be important
goods, too, but it would be more than passing odd to argue for a public
policy agenda to promote nice shaving cream. Friendship, unlike like good
soap, is an indispensable component to the good life. It renders our lives
meaningful and is central in identity formation, development, and
maintenance. Friendships help us learn who we are and who we want to
become. They help us develop our moral sensibilities. Friendlessness causes
depression and friends help us avoid sadness. Friends are good for our
health (despite one recent study that finds that friends might make us fat
if they are fat themselves); indeed, studies show they keep us alive better
than our kin networks. They care for us when we are sick and nurse us back
to physical and emotional health. We simply couldn’t quite be
ourselves without our friends and we couldn’t flourish without the
happiness and love friends provide.
More, friends stimulate creativity and help anchor new
modalities of thought. Friendship is generative as well as supportive. In
this vein, C.S. Lewis noted that the Romantic movement, communism,
abolitionism, the Reformation, and the Renaissance were all pioneered
within friend groups before they surfaced on the world stage. Whatever one
thinks of these contributions to cultural and political life, it is an
interesting lens into them to see them as sustained by, nurtured by, and
made possible by friendship. Friendship ultimately needs public support
because it supports so much of our selves and our lives.
These personal benefits translate into public
benefits, too. There are public health implications as well as
ramifications for our economy. Friend networks help sustain the Red Cross
and volunteer services that help us survive disasters. People who had
friends during Hurricane Katrina, for example, were probably, all things
considered, more likely to live through it. Friendship networks save the
public money because friends can step in and serve care functions that the
state might otherwise need to provide. And the market arguably operates
more smoothly when trust pervades society and depression is not rampant;
friendship helps promote trust and helps alleviate depression and anomie.
Alienation and disconnection are clearly a drain on the economy (though
also perhaps generative of some great books and pieces of art!), and
promoting friendship may help ameliorate some of our isolation.
The law could also benefit itself if it afforded
greater respect to friendship. It would do so through saving enforcement
costs. Internal norms within friendship have the resources to monitor
transactions. The law needn’t interpose its own norms if it can
piggyback on friendship’s internal ethical structure, especially when
the trust, reliance, equality, and reciprocity that friendships demand are
the very same desiderata the law pursues. This is not dissimilar from the
law’s strategy to accommodate customs in commerce (commercial norms
and practices) and culture (religion), so long as the customs can be shown
to be well-entrenched and inoffensive to public policy more generally. The
law does this to protect our right to have personal values and codes that
exist in our private lives and to save itself enforcement costs, building
atop the strong edifice of custom and practice.
Finally, substantial friendships may also mitigate the
atomizing effects of certain of our cultural habits like watchingtv, shopping online, and
communicating through screen names, avatars, and virtual identities. Of
course, some online friendships are very real and deserve as much
protection and respect as our face-to-face friendships. But many of our
“Friendsters” and the people who hang out on our MySpace pages
have not quite earned the moniker of real friend. “Social
networking” platforms on the internet are just as likely to help us
stay in touch with our old friends and develop new friendships as they are
likely to spread us too thin. Whatever the cause, sociologists have
recently reported that we have stunningly few friends with whom we discuss
important matters; the institution of friendship is on the decline and
needs a boost. We might be able to accomplish that boost through some
public forms of support.
The family model
It is beyond
cavil both that the family can provide many of the
same benefits to state and society that friendship does, and that our
public policy orientation is one that goes out of its way to accommodate
and promote the family unit in multifarious ways. The law and the state
respond to these kinds of advantages with great solicitude in the context
of the family. And despite the fact that friendship furnishes many of the
same benefits as family does, the law is much less sensitive about its
regulation of the friendship relation and is much less protective of
friends.
One doesn’t need to be a lawyer or public
policymaker to be aware of the many ways the law regulates and promotes (a
certain traditional conception of) the family. Marriage is, after all, a
legally recognized union with obvious perquisites and responsibilities.
Parenthood confers both discretion and support obligations. Familial ties
can trigger all sorts of testimonial privileges, and financial benefits
through inheritance. In short, the family gets special privileges and the
members of families often have special duties of care to one another,
precisely the sort of status-based public policies that could be
appropriate and are usually lacking in the case of friendship.
The trust,
equality, and
reciprocity that
friendships
demand are
the very same
desiderata the
law pursues.
The criminal lawyer especially would be able to find a
plethora of subsidies for families in the criminal justice system. In14 states, for example, the
state cannot prosecute family members for harboring fugitives. These states
tend to exempt spouses, parents, children, grandparents, grandchildren, and
siblings. Four other states mitigate liability for immediate family members
without fully immunizing them.
Many states also make life easier on criminals whose
victims remain within the family. Parents sometimes get reduced liability
for or immunity from assaulting their own children when they invoke a
“parental discipline defense.” Spouses can sometimes more
easily avoid rape charges when wives allege “marital rape.”
Domestic violence is notoriously difficult to prosecute. Sexual assaults
within the family are often subject to certain sentencing loopholes in
statutory regimes and fall outside the ambit of sex offender registration
laws. Sexual misconduct within the family is often prosecuted as
“incest,” rather than assault or rape, a strategy that carries
substantial discounts in penalties.
Families also benefit when courts must decide whether
a particular defendant is to be released on bail or remanded to custody to
await trial. Family ties are explicitly considered during the bail hearing
to assess whether someone should get the benefit of returning home before
being proven guilty of a crime. Federal law requires courts to consider
family ties, and many states do as well.
Families are promoted through the criminal justice
system during plea negotiations. Prosecutors routinely extract pleas from
defendants through promises of leniency to other family members. Jonathan
Pollard’s pleading guilty to spying for Israel and Andrew
Fastow’s plea agreement in connection with his crimes at Enron are
two high-profile examples in which spouses were given leniency.
At trials, family members often get the benefit of not
having to testify against one another. Spouses are generally protected from
having to testify against one another, and in certain states, the privilege
has been extended to a broader class of family members.
Even at the sentencing phase, despite the fact that
the federal Sentencing Guidelines discourage the consideration of family
ties when issuing punishment, courts at both the state and federal levels
have given certain privileges and discounts to family members that
nonmembers do not receive. “Downward departures” from otherwise
applicable sentences are not rare. For example, in a1999 caseUnited
States v. Johnson, two defendants were
convicted of participating in the same crime, and the court found that they
warranted the same offense level. But Johnson, the defendant with
care-taking responsibility for four children, received a significant
departure from the Guidelines based on his family responsibilities: He
didn’t get any jail time, just home detention. His co-defendant
Purvis, who had no children and who was also found to have played a more
minor role in the scheme, was sentenced to more than two years in jail. Now
that the Supreme Court has effectively found the federal Sentencing
Guidelines merely advisory, there is evidence that family circumstances are
more likely to be considered by sentencing courts in lessening punishment.
There are, of course, many other areas within and
outside the criminal justice system to which one can point to substantiate
the claim that the state promotes and supports the family through the law
and public institutions. And whatever one may think of many of these
policies (some of which seem more offensive to fair play than others), one
must take note that friendship receives substantially less attention and
respect in the law. So how might we imagine a polity more attuned to the
needs of friendships?
A pro-friendship policy agenda
No one should be left with the impression that the law completely
ignores friendship. It matters in a variety of contexts and is certainly a
public policy concern, though its importance is rarely noticed. For
example, as noted above, some states allow statutorily defined “close
friends” to make health care decisions for us when we are
incapacitated. The Bureau of Prisons gives most criminals a right to see
their “friends” when they are incarcerated. Prosecutors lean on
best friends to inculpate each other in criminal activity. Sentencing
guidelines often contain enhancements for abusing a position of trust like
friendship, and sometimes friendship is used as a mitigating factor if it
is part of the motive for a crime. In corporate law, director
“independence” — central to all sorts of prerogatives
available to management on corporate boards — can be affected by the
friendships in which directors are engaged. The Martha Stewart case is a
recent example, though there the court was ultimately unimpressed with the
degree of friendships among the directors and found the directors to be
independent. This led to the dismissal of a shareholder lawsuit against
Martha Stewart Living Omnimedia.
There are still other examples of courts and
decision-makers seeing friendship as a relevant consideration in
adjudication and public policy formation. But even in these instances of
the law’s modest protection of friendship, courts and policy makers
are notoriously unable to settle upon a usable definition of friendship and
unself-conscious in recognizing how friendship is deployed within our
public institutions. Without such recognition and without more sustained
attention to friendship and the law’s interaction with it, it is hard
to intervene in friendships well.
So it is undeniable that the law is sometimes willing
to consider friendship an important form of intimacy that deserves
protection. The value is, admittedly, a largely latent one that needs to be
made more salient. But even the fact that the latent value exists helps
reveal that friendship-promotion may actually be consistent with our
current legal regime.
But we could be doing much more for friendship. There
are many important ways that we could more comprehensively seek to promote
friendship through our public policies. Here are a few examples of more
systemic reform efforts that we might consider:
- We could provide for some tax deductions for
“friendship expenditures.” Our tax law is solicitous of
marriage, home ownership, and business expenses, so why shouldn’t our
friendship activities be tax deductible in part? To be sure, the deduction
would be useless if it were available for all sorts of expenditures like
nachos and beer on Super Bowl Sunday. But such deductions could be limited
to expenses in connection with providing care — driving a friend to
and from a colonoscopy, serving as a custodian during a serious illness,
and the like — and could be subject to a cap.
- We allow spouses to sue for loss of society and
companionship when a defendant wrongfully kills a spouse. Why
shouldn’t we enable friends to collect for loss of companionship as
well? Our friends are often our most important companions, especially for
those of us without spouses.
- We force employers to treat employees without
reprisal when they need to leave the workplace to care for close family
members through a federal Family and Medical Leave Act. Many states have
generous programs in place to enable caregiving within families as well.
Why not allow friends to care for one another through similar programs?
Those without families need their friends urgently during serious
illnesses.
- We could design our cities and towns with
friendship in mind. We might use well-placed public spaces to allow people
to gather and converse and we might incentivize foot traffic rather than
car traffic to encourage people to interact face-to-face. Suburban sprawl
might also be targeted for reform to help promote friendship.
- Finally, we might take a cue from the city of
Port Phillip in Australia and post signs to encourage people to smile at
one another to create a safer environment for friendship-formation.
Well, that last option sounds a bit like
Elaine’s idea from theSeinfeld episode in which she tried to get Mayor David Dinkins to
have everyone in New York City wear name tags to make it easier to say
hello to fellow citizens. Only George’s father thought it was a good
idea; the show had theNew York Times opine that the idea would cost then-Mayor Dinkins the
mayoral election to Rudolph Giuliani.
We have
no duty to
rescue strangers,
but couldn’t a
duty to rescue
friends be
recognized
by the law?
To be sure, these last ideas seem aimed more at
reinforcing civility than at promoting friendship, but there is at least a
loose connection between the two, and it is useful to consider very cheap
ways to achieve our policy ends. Just as fixing something as small as
broken windows in a blighted neighborhood can lead to decreased crime and a
friendlier atmosphere, small inducements to friendship might have dramatic
effects.
Nevertheless, the more general approach to
friendship-promotion evidenced in these suggestions is intended to be
wholly serious: There are relatively small and unobtrusive ways we could
design our public policies to give more respect and help to the very
important institution of friendship.
Many of these proposals for reform, however, would
likely require substantial mobilization and legislation. Common law
lawyers, by contrast, can also help shape the fabric of the law to focus
attention on friendship-promotion without the same effort at broad-scale
mobilization. Consider these options, which are much more modest steps
toward friendship-promotion but, all the same, are well within the
capability of lawyers and judges to try to pursue. These potentially less
ambitious ideas can be divided into duties and privileges that could attach
to friendship, just as I highlighted that the law confers upon family
members special privileges as well as extracts from them special duties.
The duty to rescue: As
everyone who has gone to law school in this country knows, Americans do not
have a general duty to rescue strangers. To be sure, there are a number of
exceptions to the rule, most of which draw upon somestatus of one of the parties. It
is plausible to imagine that a duty to rescue friends could and should be
recognized by the law.
This may, of course, be one of the areas where legal
protection is least needed — after all, it is a pitiful friend that
would not undertake a rescue. But for just that reason there would be
little cost to recognizing such a duty in law. Once recognized, the duty
could helpfully signal the sort of care friends are expected to provide for
one another. And it could helpfully protect people from being lured into
false friendships because false friends will find themselves required to
perform the basic duties of friendship if they wish to enjoy its benefits.
The duty of disclosure and fair dealing: There are traditional fiduciary duties that are often
imposed upon parties that share special relationships, including the duty
to disclose certain information prior to a transaction and the duty to deal
fairly. For example, my bankruptcy trustee or my lawyer must transact only
in my best interest for the most part; some of my fiduciaries will need to
make special disclosures to me prior to engaging in certain transactions.
None of these special duties applies to the general population; the general
rule the law recognizes is “buyer beware.” But the law exacts
special requirements from parties who stand in special relations of
reliance and trust to one another.
We could
force friends to
show “utmost
good faith”
in their
transactions,
as we do in
partnerships.
It cannot be denied that friends easily, freely, and
reasonably rely upon and trust one another. Accordingly, perhaps friends
ought to be considered fiduciaries for one another, and their
nondisclosures and failures to deal fairly should be deemed fraudulent by
the law. The law could impose these duties by imposing a “fair
price” requirement in sales transactions, as one court did for an old
lady who was taken advantage of when her friends and neighbors convinced
her to sell her property to them well below market value. We could impose
such duties by forcing friends to show “utmost good faith” in
their transactions with their friends as we do in partnership transactions.
And we could consider excusing a friend for not reading exculpatory clauses
in form contracts, in reliance on a friend’s invocation of
friendship. We might also exact punitive damages from parties who misuse
friendship (as some courts have done in calculating awards). All of these
creative ways of respecting and promoting friendship have been recognized
(unsystematically and irregularly) by our legal system, and lawyers could
do more to develop these areas of friendship-protection.
Of course, these sorts of fiduciary duties seem to get
imposed only in friendship breakdown. But these duties can help protect
friendshipex ante and
protect those who have good reason to think they are in them. They can also
incentivize those that aren’t true friends to make themselves clear
about their relational intent with an individual who seems to be relying on
them. As Aristotle understood some time ago, much of the tension in
friendships emerges from parties not being clear on precisely what sort of
friendship the parties have. Clarification of relational intent could be
helpful in minimizing and mediating conflict.
The duty of confidentiality: One is guilty of securities fraud if she trades upon or
misappropriates information received within a relationship of confidence or
trust. That is one of the core violations of the Securities Act, as
implemented by the Securities and Exchange Commission’s well-known
Rule10b5. A famous case in the Second
Circuit (the old chestnut known asChestman) held that family was not considered such a relationship
and that trading on information received within such a relationship would
not necessarily be considered a misappropriation that would leave one
subject to civil and criminal insider trading penalties. However, thesec recently promulgated Rule10b5–2 to make clear that a broader group of interpersonal
relationships should qualify for this form of liability under the
Securities Act. Although the Rule doesn’t list friendship as one of
the liability-triggering relationships, it is clear that friendship can now
come within the rule’s prohibitions. In short, friendships trigger a
duty of confidentiality that can be protected through our securities laws.
One could
also make sure
that friends
aren’t accused
of “undue
influence”
when they care
for their
counterparts.
The privilege to deal informally: The law often likes formalities and forces parties to use them.
In contract law, for example, courts generally need to see something called
“consideration” to find a contract enforceable; it is a
formality that helps identify that a real bargain of some sort has been
made because the law doesn’t usually want to enforce gift promises.
But there is a well-known exception to the consideration requirement when a
party can prove it has reasonably relied on a promise. Perhaps friends
should be more easily able to fit into the exception to consideration
because they easily and properly rely on one another’s promises.
Certainly, there have been cases in which courts have used informality
itself to find that a friendship exists; these courts then conclude that
the friends had a right to rely on each other, a conclusion that triggers
certain equitable remedies against the betraying friend.
The privilege of giving care: Passing a “Friends and Medical Leave Act” is not the
only way to support friends who are serving as caregivers. One could also
make sure that friends aren’t accused of “undue
influence” when they care for their counterparts. A finding of
“undue influence” in the law would disqualify them from
becoming testamentary beneficiaries under custodial care statutory
provisions in the states that quite reasonably seek to prevent caretakers
from taking advantage of the vulnerable and the infirm. Some California
cases, for example, once held that there was a “friendship”
exemption to the state custodial care provision. A case in2006, however, cut off that
exemption because the court simply thought the statute couldn’t bear
an interpretation that allowed for a friendship exemption. But an important
concurrence (written by Chief Justice George in a case in which he gave the
majority its decisive vote in the4–3 decision) called for the legislature to create a
friendship exemption and tried to limit the case to the facts before it to
enable future courts to consider whether a “friendship”
exemption is appropriate. Other states with potentially more flexible
statutory frameworks might more easily admit a friendship exemption within
their custodial care laws to incentivize friends to care for one another
without concern about a potential disqualification under a will.
The privilege of privacy:
Perhaps friends shouldn’t need to testify against one another —
a privilege spouses routinely enjoy in our legal system. Even our lawyers,
doctors, and clergymen cannot reveal confidential communications we share
with them. But our best friends can be forced to reveal our secrets in open
court. Extending a testimonial privilege to friends would, admittedly,
require legislation and be relatively difficult to administer.
But there are other ways to protect the privacy within
our friendships. First, perhaps friends’ shared privacy counsels for
Fourth Amendment protection from police searches. When I share intimate
space with my friend, perhaps I have a reasonable expectation of privacy
that the law should respect. Or maybe false friends — government
informants who pretend to be our friends — should be a prohibited law
enforcement technique. Evidence produced from such relationships should be
deemed inadmissible. And greater sensitivity to actions motivated by
friendship could be considered in the entrapment context, where government
actors routinely use friendship to get people to do illegal things
“voluntarily.” There are plenty of cases where government
actors induce defendants to buy drugs for them, invoking an ethics of
friendship. That practice is offensive to the institution of friendship and
should not be tolerated.
Unlike the slightly more ambitious reform agenda with which I began, these
latter ideas are smaller and more “lawyerly” ways to engage in
friendship-promotion and orient our public policy landscape toward greater
recognition and respect for friendship. But there is no guarantee that
pursuing any of these strategies would, in fact, lead to more numerous,
better, or stronger friendships. Reason suggests that these measures would
produce some change in our friendship networks for the better, but, as with
all efforts at social engineering, we can’t be perfectly sure about
the results these policies would produce. These are small, cautious
measures, I think, but I welcome and encourage further debate and study
about how best to accomplish friendship-promotion.
Indeed, one could argue that imposing more formal
duties on friends may ultimately chill friends’ intimacy rather than
create a safe space to pursue it. But I think we should conclude that the
risk created by these duties is minuscule: People don’t, by and
large, refuse to enter marriage or families just because those forms of
intimacy carry with them a broad set of duties. And if the duties seem
counterproductive, we can pursue the privileges as a first priority or as a
balancing counterforce to incentivize friendships. In any case, as with
fiduciaries more generally, the idea that special relationships trigger
special duties is one with which our public and private law is quite
comfortable.
In conclusion, I think one must agree with Peter
Singer’s recent claim that “promoting friendship is often easy,
cheap, and can have big payoffs in making people happier.” I hope I
have been able to show how this can be done without great disruption to our
current institutional arrangements. Even if one ultimately disagrees that
the law should promote friendship for one reason or another, it seems
incontrovertible that we do need to give more attention to the ways
friendship matters in the law, the ways it gets regulated by our public
institutions, and the effects the law has on this most important social
institution and social resource. Friendship helps us all function and
furnishes us with dignity, integrity, and well-being, and those of us
interested in public policy must stop ignoring it.
Ethan J. Leib is a professor of law at the University of California’s
Hastings College of the Law in San Francisco. This essay draws from and
expands upon his article Friendship & the Law, published in Volume 54
of the UCLA Law Review, and his co-authored article (with Dan Markel
and Jennifer Collins) Criminal Justice and the Challenge of Family Ties,
published in the 2007 volume of the University of Illinois Law Review.
Much of the research that substantiates the claims in this essay can be
found in the footnotes to those articles. The 1066 Foundation provided
some financial support.
1 Perhaps this is not always true. Associate Justice Antonin Scalia, for example, did not recuse himself
from a case involving his friend, Vice President Dick Cheney. But he justified this refusal to recuse himself
with a lengthy and unusual in-chambers opinion, highlighting that Vice President Cheney was not being
sued in his personal capacity. See Cheney v. United States District Court, 541 U.S. 913 (2004). Still,
Scalia felt that some justification is required when a judge is called upon to adjudicate a case in which his
or her friend is involved.
|