Professional Documents
Culture Documents
Ethical Responsibilities to
Subjects and Documentary
Filmmaking
Ellen M. Maccarone
Gonzaga University
Published online: 12 Aug 2010.
To cite this article: Ellen M. Maccarone (2010) Ethical Responsibilities to Subjects and
Documentary Filmmaking, Journal of Mass Media Ethics: Exploring Questions of Media
Morality, 25:3, 192-206, DOI: 10.1080/08900523.2010.497025
To link to this article: http://dx.doi.org/10.1080/08900523.2010.497025
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In the late 1980s and early 1990s, film scholars cited the renewed interest
in documentaries by the general public. The critical acclaim and commercial
success of several documentaries drove this observation. These films included
The Thin Blue Line, Roger & Me, and Shoah.1 More recently, documentaries
such as March of the Penguins, Super Size Me, Bowling for Columbine, and
the slew of 9/11-related films have kept the public interest in documentaries
high.2 Yet philosophers took little note. However, as new documentaries emerge
Correspondence should be sent to Ellen M. Maccarone, Assistant Professor of Philosophy,
Gonzaga University, 502 E Boone Avenue, Spokane, WA 99258. E-mail: maccarone@gonzaga.edu
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WHAT IS A DOCUMENTARY?
To begin, let us consider what a documentary is from the perspective of a
potential audience member, not from the perspective of filmmaker, film scholar,
art critic, or philosopher of art. In doing so, most think of feature-length films
and television films that are attempting to tell the truth as it happened, but this
is not yet an adequate account of documentaries.
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This use of the term propaganda might strike us as a bit off. Certainly, Dunnes
context of the 1940s is something to note here. The idea, however, remains the
samedocumentary is not intended to be balanced; it comes from a particular
perspective and often the filmmaker intends the audience members to share that
perspective once the viewing is completed. It means to change minds and ideas,
or at the very least, confirm particular ideas the audience members had already.
All documentary and viewer experience of documentary is affected both by
the producer and by the viewer. In this way, we go back to the earliest uses
of the term and we mean the propagation of an idea in ways that encourage
adopting a particular point of view. Whether or not Dunne had this more neutral
idea of propaganda in mind, we can see its use in distinguishing documentary
today. Nichols talks about this phenomenon in terms of the social issues and
civic-mindedness of documentaries (Nichols, 1991). This lack of objectivity is
one thing that might distinguish documentaries from straight news reporting,
although current practice in news reporting might make this more difficult than
in other historical periods. This might indicate a failure of compliance with
journalistic ethics and an unfortunate blurring of news and documentary that,
while interesting, cannot be addressed here.
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From this, it is plain that just trying to tell a true story in a film does not make
it a documentary. We might, for example, think we should rule out dramatizations
altogether, but this is too hasty. Many documentaries rely on dramatizations of
key events as they delve into the past, bringing some truth to light. For example,
in The Thin Blue Line, dramatizations demonstrate aspects of the murder of a
Dallas police officer that we could not visually get any other way. Similarly,
Incident at Oglala uses dramatizations to try to expose inconsistencies in FBI
reports about the death of a Native American on a reservation in South Dakota.3
It is actually quite unusual to have a documentary fully shot while it happens,
although this is less unusual for straight news reporting. Documentaries, may
give us an idea of what it was like to witness an event, but not necessarily by
filming the event while it happened.
A documentary film is one that attempts to tell a true story, often from a
particular perspective, and tries to elicit a feeling of what the real event or person
was like. This account leaves open the possibility that dramatizations might be
used or that footage from the actual event might be used. It seems a decent
attempt at an account from the perspective of a potential audience member.
Further revisions will be needed as ideas from film scholars are considered.
Nichols, in his book Representing Reality: Issues and Concepts in Documentary, looks at defining documentary film from the perspective of the viewer. Yet
much of what he says about the viewers point of view is laden with concepts
from film theory and psychology outside what laypeople consider. Still, some of
his discussion is useful. He says that as viewers, we expect that what occurred
in front of the camera has undergone little or no modification in order to be
recorded (Nichols, 1991). Image and sound manipulation, while they may
display aspects of skill and technological advancement, seem out of place in
a documentary. This is likely because such manipulation represents a distortion
of the actual and thus not something to be a part of documenting the actual.
This may be something of an interesting red-herring. What is really at issue, it
seems, is obvious manipulation or distortion. That which is not obvious to the
average viewer yet is necessary for there to be a coherent film, seems not out of
place at all, but one mark of the art and craft of filmmaking. From the viewers
perspective, things that change the reality of what is portrayed are problematic;
things that enhance its transmission are not.
Grierson, a documentarian from the World War II era, reflecting on the
documentary form, offers another important insight. Grierson argues that documentarians, as filmmakers, are artists but of a different sort than painters,
etc., or even entertainment filmmakers. As artists, there are other concerns
than mere truth-telling, although that is critically important. The production
of art is important as well. He says the documentary is the branch of film
production which goes to the actual, and photographs it and edits and shapes
it (Grierson, 1946). Here, the elements of art and truth-telling come together.
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He also offers some illustrative examples of things that are practices and things
that are not. He says that bricklaying is not a practice; architecture is : : :
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and so are painting and music (MacIntyre, 1981). Maintaining and sustaining
communities and all that go into that endeavor count as practices (MacIntyre,
1981).
Given that our definition of documentary places it firmly in the realm of the
arts, it might be an easy matter to conclude that documentary filmmaking is a
practice. Further illustrations rely on MacIntyres account and how they relate
to documentary filmmaking.
An aspect of MacIntyres account that can be illustrative for documentary
filmmaking as a practice concerns goods internal to a practice. According to
MacIntyre, an external good such as an award or revenue from a film is always
some individuals property and possession (MacIntyre, 1981). Internal goods,
however, are good for the whole community who participate in the practice
(MacIntyre, 1981). Borden, speaking of journalism as a practice, connects internal goods as those things that help achieve the communal goals of journalism
excellence (Borden, 2007). One persons excelling in the form does not diminish
the achievements of others but is a benefit to all. If the communal goals of
documentary filmmaking include artistry and craft in telling a true story as it
happened, examples of films that do this particularly well or in novel ways
demonstrate internal goods achieved. Innovation, for example, does good for all
involved. For the case of documentary, we can think of examples where internal
goods are particularly well realized, such as in Errol Morris The Thin Blue
Line. Morris innovations using dramatizations allowed him to realize one of
the primary virtues of documentary filmmaking, truth-telling, and to do it in a
compelling way, exposing errors in peoples memories and testimony that lead
to a miscarriage of justice.
Another important facet of the discussion of practices and documentary filmmaking concerns not the definition of practice itself but rather what the concept
of a practice entails, that is, standards. MacIntyre argues that a practice involves
standards of excellence and obedience to rules as well as the achievement of
goods (MacIntyre, 1981). On the surface, there is nothing about these standards
and rules that is overtly ethical, but their connection to excellences does suggest
something. MacIntyre, arguing from a distinctly Aristotelian perspective relates
excellences to virtues. Standards, rules, some sense of authority, and internal
goods frame the practice of documentary filmmaking as they do for any art, any
practice. Keeping in mind this discussion of documentary as practice will serve
to frame what follows.
The focus on responsibilities to the subjects of documentary films lends itself
to the examination of informed consent. The requirement of gaining the consent
of the subjects of films provides an opportunity for filmmakers to either comply
with ethical standards or to thwart them. Interestingly, genuine informed consent
appeals to one of the same excellences as the making of documentary films
truth-telling.
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Winston argues persuasively that not only are there important and critical ethical aspects to documentary filmmaking but also that the typical ways
documentarians have side-stepped these issues, relying on a merely legalistic
conception of obligations to others or standards appropriate only to journalism,
are unsatisfactory. Winston is clear these tactics do not absolve the documentarian from ethical behavior (Winston, 1995). He argues that discussions of
consent as a shield for documentarians often seem disingenuous, and consent
itself is otherwise problematic.6 Releases usually do not meet the standards for
informed consent, at least insofar as we are concerned with ethics rather than
mere legality. To truly inform a potential subject would take more time and would
require discussion, opportunity to ask questions, and a noncoercive atmosphere.
Winston describes the process, saying that usually, obtaining consent is part
and parcel of the general confusion and excitement of the filmmaking process
a process unfamiliar and glamorous for most people (Winston, 1995). Some
might still consent to be in documentary films even given risks to self, some
might see the reward of potential fame or being memorialized in film enough
to off-set these risks. Nevertheless, it is important that the potential subject
have a noncoercive atmosphere and enough information to reasonably make the
decision to participate. This implies that the consent given may not be genuine.
Winston mentions that filmmakers do not meet the standards for informed
consent used in science. He says
consent in filmmaking has never been held to these standards because they go
beyond what the law requires for the legal concept of consent. As a legal term,
consent is part of, and essential to, the contracting process. Legally, consent in
documentary is simply seen as a form of contract. (Winston, 1995)
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life and human interaction. This differentiation, though, at least insofar as the
making of most documentary films is concerned, is a mistake. The making of
most documentary films involves significant human interaction, so the practices
of art and human interaction overlap rather than being differentiated. Given this
overlap, so too must the standards of the practices. This is a point similar to
Lambeths mention of the general obligation of humaneness.
This MacIntyre-inspired Aristotelian virtue ethics approach would require us
to balance the excellences of human interaction with the excellences of art, in
this case the particular art of documentary filmmaking. With this approach, it
might be possible to claim that the excellences of art take precedence over the
excellences of human interaction, if some excellence of art could not otherwise
be realized. Most documentary filmmakers, and certainly the ones in the examples, cannot claim this. Human interaction is a necessary part of their artistic
practice.
Given that this is the case, it seems one cannot say that he or she is simply an
artist living by those standards, for this art involves other people in its production.
We are first human and only then artists and practitioners. This seems at least a
good prima facie reason to have the practices of human interaction trump those
of art. If this is the case, Morris and Briski stand on firmer ground than Conte
and the Renauds. Morris, in fact, seems to use innovative artistic techniques to
further expose the injustice done to Adams. Briski, while not always successful
in preventing harm to her young subjects, is motivated by her compassion (likely
an excellence of human interaction) for them to try to tell their story in a way
compelling to others. Conte and the Renauds, however, while not necessarily
exploitative of their subjects, do little to engage them as human persons even
though the subjects repeatedly address those behind the camera and seem to
seek some acknowledgement from them.
Here we see the connection between the relationships documentarians can
have with their subjects and their status as practioners of an art. These filmmakers
have relationships with their subjects that gives them special information that
can give rise to moral obligations beyond what art demands. This obligation is
to be balanced with the obligations of the practice of their art. Harm to ones
subject, however, if serious enough, should trump artistic obligations.
Such balancing appeals to Peter Singers principle of comparable moral worth,
if taking the virtue ethics approach suggested by the discussion of practices is
unsatisfactory. Singer argues that we have a moral obligation to help those in
need as long as we do not have to give up anything of comparable moral worth
to what the subject gains (Singer, 1993). It would be easy to say that given such
a principle, Morris was right in giving up his initial idea for his project and to
help expose Harris as the actual killer. Yet Conte and the Renauds would be
wrong to claim that their interest in art or in making their film trumped their
subjects continued life. It is less clear what to say about Briski and her record
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of helping some of her subjects but not others, although not due to lack of
trying. We could say that she followed the principle no matter what the end
resultsshe did not compromise her subjects welfare for something of lesser
moral value. This does modify the principle a bit, but it seems it could be in
line with Singers nuanced take on utilitarianism (Singer, 1993).
Alternatively, we could take a Kantian inspired view, requiring us to treat
others as ends in themselves. This would yield similar results to Singers principle. Treating the value of art as more important than that of the life of a
person would surely be prohibited. Insofar as Briski is concerned, a Kantian
theory would more readily assess her behavior as morally permissible because
she certainly did not treat these children as mere means, no matter what the
outcome of her assistance ended up being.
If we take seriously the idea that documentarians are artists and practitioners
of a social institution and also human beings practicing the goods of human
interaction, no matter which of the three major ethical traditions we prefer
Utilitarianism, Kantianism, or Aristotelian virtue ethicswe see that documentarians have moral obligations to their subjects greater than what the law may
require. The idea of documentary filmmaking as a practice provides the initial
impetus to the claim. The example given here goes beyond the injunction to
minimize harm from the experience of being in the film to preventing harms
unrelated to being a films subject. The two competing practices of art and
human interaction must weigh in the favor of the latter when the practice of
art is documentary filmmaking because no such practice is possible without
other humans, no internal goods could be realized. The interactions needed for
this practice are significant. Being obligated to prevent harm does not mean all
harmthat would be impossible. It also does not mean all harm because there
would be cases in which a subjects autonomy would be violated. However,
harm that documentarians are in the position to prevent that would not result
in violations of autonomy is required as an internal good to the practice of not
only human interaction but documentary filmmaking. They are goods internal
to the practice of documentary filmmaking because without human interactions,
there would be no practice. They are the background conditions needed for the
practice of documentary filmmaking to continue.
Clearly this is not a comprehensive code of ethics for documentarians. The
purpose of this article is to discuss a foundation for the ethical responsibilities
of documentary filmmakers for the prevention of harm to their subjects. On
the view presented here, documentary filmmakers have moral responsibilities
to prevent harm to their subjects if in a position to do so. This goes beyond
what the law demands and beyond harms that might result from being in
the film itself. This is because documentary filmmaking is a practice of a
social institution with the goods of human interaction (itself a practice) internal
to it.
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ACKNOWLEDGMENTS
The author wishes to thank members of the Association for Practical and Professional Ethics for their interest and attention; Richard Leonard, S.J., director
for the Australian Catholic Office for Film and Broadcasting, Newman College,
University of Melbourne, Australia, for his helpful comments and unique perspective; Jay Ciaffa for his interest and careful eye; and the anonymous reviewers
at the Journal of Mass Media Ethics.
NOTES
1. Roger & Me, Michael Moores breakout film, details the demise of Flint,
Mich., and Moores attempt to get General Motors CEO Roger Smith to
meet with him. Shoah, the lengthy Holocaust documentary, consists of
interviews with former Nazis, Holocaust survivors, and witnesses without
using typical news or war footage expected in such a film.
2. March of the Penguins, a nature documentary, looks at the dangerous
journey taken by Emperor penguins in the Antarctic. As a nature film,
it does not pose the same ethical issues of harm to subjects as the three
films that will be primary examples in the final section. In Super Size
Me, filmmaker and main subject Morgan Spurlock does confront issues
of harm to subjects, namely the harm he causes to his own health in
attempting to eat only fast food for a month. Bowling for Columbine,
another Michael Moore film, looks at the risks guns pose in America
after the school shooting at Columbine High School near Littleton, Colo.
3. Incident at Oglala also helps illustrate the point about entertainment films
telling a true story or being inspired by true events. Michael Apted, the
director, also directed Thunderheart, an entertainment film inspired by
the events covered in the documentary.
4. While Griersons work is still a mainstay in documentary film theory,
much has changed since World War II. For example, one type of film to
be discussed here is cinema verit, a post-Grierson style of documentary
employing different methodology.
5. Sandra Borden makes a similar argument for journalism as a practice;
see especially chapter 2.
6. For further discussion on consent and documentary filmmaking, see also
Pryluck, C. (1988). Ultimately we are all outsiders: The ethics of documentary filming. In A. Rosenthal (Ed.), New challenges for documentary
(pp. 255268). Berkeley: University of California Press.
7. See Winston (1995). Further, universities, for example, having an institutional review board would likely have these more stringent standards
ETHICAL RESPONSIBILITIES
8.
9.
10.
11.
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for informed consent. They also would have another body review the
information given in the informed consent form. This serves as a check
so that the interests of the researcher do not overshadow the interests
of the subjects. This model might serve documentarians very well but
would certainly take more time.
Morris has come under scrutiny for paying interviewees in one of his
films, but this controversy did not affect his work in The Thin Blue Line.
The reason I say attempt is twofold. First, the subjects routinely talk to
the camera. Therefore, it is not as though the subjects did not notice the
cameras. In some sense, the claim to nonintervention is moot. Second,
the subjects were followed into often close quarters (e.g., bathroom stalls,
stairwells, elevators), so it is not as though the action just unfolded in
front of the cameras. Those with the cameras sought it out and likely
had an effect on it.
Nor do they have obligations to put themselves in mortal danger. Still,
there are some obligations that they do have.
There is potential for documentary, like most other practices and institutions, to oppress those already at risk of marginalization such as women
and children.
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Borden, S. L. (2007). Journalism as practice. Aldershot, UK: Ashgate Press.
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Grierson, J. (1946). Postwar patterns. Hollywood Quarterly, 1(2), 159165.
Lambeth, E. B. (1986). Committed journalism: An ethic for the profession. Bloomington: Indiana
University Press.
Linton, J. (1976). The moral decision in documentary. Journal of the University Film Association,
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MacIntyre, A. (1981). After virtue. Notre Dame, IN: University of Notre Dame Press.
Nichols, B. (2001). Introduction to documentary. Bloomington: Indiana University Press.
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FILMOGRAPHY
Apted, M. (Director). (1992). Incident at Oglala. [Documentary]. United States: Spanish Fork Motion
Picture.
Apted, M. (Director). (1992). Thunderheart. [Crime/Mystery]. United States: TriStar Pictures.
Briski, Z., & Kauffman, R. (Writers/Directors). (2004). Born into brothels: Calcuttas red light kids.
[Documentary]. United States: Red Light Films.
Conte, F., Renaud, B., & Renaud, C. (Co-Directors). (2005). Dope sick love [Documentary]. United
States: America Undercover.
Jacquet, L. (Writer). (2005). March of the penguins. [Documentary]. France: Bonne Pioche.
Moore, M. (Writer/Director). (2002). Bowling for Columbine. [Documentary] United States: Alliance
Atlantis Communications.
Moore, M. (Writer/Director). (1989). Roger & me. [Documentary]. United States: Dog Eat Dog
Films.
Morris, E. (Writer/Director). (1988). The thin blue line. [Documentary]. United States: American
Playhouse.
Spurlock, M. (Writer/Director). (2004). Super size me. [Documentary]. United States: Kathbur
Pictures.