How much does the existence of democracy depend on depriving some of its people of the benefits of democracy?
Eastern State Penitentiary represented in 1833 as a medieval castle from old Europe
“Neither slavery nor involuntary servitude, except as a punishment for crime whereof the party shall have been duly convicted, shall exist within the United States, or any place subject to their jurisdiction.”
– Fourteenth Amendment to the US Constitution, 1865
In 1865, the United States government revised the Constitution to make slavery illegal. Six little words, however, change the whole meaning of the sentence: Forced confinement is illegal “except as a punishment for crime.” These six words hint at a larger flaw in a document that opens with high words about liberty and justice. The existence of democracy depends on depriving some of its people of the benefits of democracy.
As of 2020, the number of Americans in jails, prisons, and out on parole after prison is just over three million. That is, at least one percent of America’s population is at this point incarcerated. Also one third of Americans have a criminal record, meaning that they have been in jail or prison at some time. This is a permanent stain and barrier to existing in society as a full citizen; prisoners and many former prisoners cannot vote.
The most common conclusion from these facts is that America keeps too many people locked up. Changes to the legal system are needed. But what if the problem is deeper than anything that small reform can solve? What if the problem strikes to the core of this country’s founding?
There is a line from American author Nathaniel Hawthorne’s 1850 book called The Scarlet Letter. The story is in Puritan Massachusetts just after the arrival of the first colonists to the New World:
The founders of a new colony, whatever Utopia of human virtue and happiness they might originally project, have invariably recognized it among their earliest practical necessities to allot a portion of the virgin soil as a cemetery, and another portion as the site of a prison.
American history textbooks present the people who founded this country as a group in search of freedom and liberty. What is less remembered, however, is these people were generally a pretty intolerant lot. Perhaps this intolerance is descended from their reading of the Old Testament in the Bible, which is rich in images of vengeful and wrathful God. No matter the reason, their society was a punishing place to live in an uncolonized continent. Suffering and repentance, the Puritan and Quaker founders of America believed, was a requirement of society. The Bible is rich in descriptions of solitude and revelation. Jesus went to the desert and spoke to God; saintly hermits lived in the desert and gained self-knowledge through the pain of solitude. The founders of America found their democracy through the country’s geographic isolation from the wars and problems of Europe.
In 1830, the largest and most expensive structure ever built in the young democracy of America was not the White House (built with slave labor) or any similar structure built in the image of ancient Greek democracy. The title of largest structure ever built in the now 200-year-old nation was a prison, Eastern State Penitentiary. One of the cruel ironies – or is it an irony? – is that this prison was built in the same city in which the U.S. Constitution was signed and where, in effect, this country was first imagined on paper. The external appearance of the prison was not built in the style of Greece and Rome, as if to imply that the values of these past democracies were embodied in the operations of this prison. Instead, the external appearance of Eastern State was fancifully modeled after a castle with tapered walls, slit windows, towers, and a jagged silhouette. This prison, its builders believed, should inspire fear in those who saw it. And what better aesthetic precedent for the new democracy to follow than the medieval castles of Europe lived in by kings and queens? Inside Eastern State, the isolation of prisoners was absolute. Prisoners spent 24 hours a day in solitary confinement; the average sentence was for five years. Solitude and punishment, the Quaker founders believed, was the path to redemption. Eastern State was one prison, but it was the most influential prison of its time, visited by all manner of foreign dignitaries interested in designing prisons for their own countries. In its time, Eastern State was almost as popular a tourist attraction as Niagara Falls. It set the design precedent that most American prisons today still follow.
Does democracy require that some people be deprived of their freedom? The builders of Eastern State and the authors of the U.S. Constitution were familiar with French philosophers like Jean-Jacques Rousseau. The ideas of Rousseau are now credited with inspiring the actions and writing of the founding fathers of America. One quote from Rousseau stands out:
The word Liberty may be read over the front of the prisons and on the chains of the galley-slaves. This application of the device is good and just. It is indeed only malefactors of all estates who prevent the citizen from being free. In the country in which all such men were in the galleys, the most perfect liberty would be enjoyed.
For Rousseau, slavery is not incompatible with democracy. A democracy can have slaves, so long as those people are made slaves “as a punishment for crime.” But who defines crime, and who defines punishment? What if the crime is being born Black, or woman, or crippled? One definition of crime would seem to come from religion, whose laws were not made by humans. Crime is what God defines as a crime. To go against the Ten Commandments of the Bible is to commit a punishable sin. But at the same time, the Puritans, Quakers, and Christians who founded this country and wrote the Constitution ruled that church and state must be separate. The government cannot rule by religious law. The legitimacy of democracy comes not from God, but from the people. Therefore, the definition of crime comes from what the people define as crime, and not from any higher power or document. This is deeply problematic: Human rights can be revoked for having committed a crime. But since crime is a social construct, then simply convicting someone of a crime becomes justification for all manner of human rights abuses like forced labor, convict leasing, and profit from modern-day prison slavery in America.
Where do we go from here as a society? If democracy requires rules to function, what does democracy do with those who break those rules? I do not know. The challenge seems deeper than anything that reform can fix. But maybe the best path to becoming a democracy is recognizing the many ways you are not yet a democracy. Democracy should not be a state of being; it should rather be aspirational as a state of becoming. Once you are a democracy, that is it; there is no room for improvement. You are perfect, and any flaws are just kinks in the perfect system. At best, this self-congratulatory naivete seems lazy. At worst, it is dangerous.
American lawmakers often claim that America is the world’s oldest democracy. As Republican lawmaker Paul Ryan claimed in 2016: “The United States is the oldest democracy in the world, and its endurance is a testament to our Constitution.” The claim that we are an ancient democracy and that other countries are not has become justification for all manner of American military action in other countries. The wars in Iraq and Afghanistan that began as missions to take down foreign threats to American citizens soon became exercises in nation building. Our civilizing mission, politicians told us, was to spread democracy and the American way of life. Within a few years of the Iraq invasion, images circulated the world over of American soldiers torturing prisoners in Abu Ghraib and Guantanamo Bay. At each instance of police abuse, military torture, drone strikes, and systemic injustice, the problem is represented in the media as not being an inbuilt flaw with democracy but rather a flaw with a few individual bad actors. The torture at Abu Ghraib was not the fault of the US government; it was the fault of individual solders, we were told. The rhetoric of democracy expects us to separate the images of the Iraq invasion from images of torture, as if the torture of prisoners in Abu Ghraib had nothing to do with the opening of Baghdad’s new parliament a few miles away.
Perhaps, recognize the torture and injustice within America’s own borders. Perhaps, recognize that maybe we were not fully a democracy before the time in the 1960s when Blacks, and women, and others could not vote. Perhaps, recognize that we are not the world’s oldest democracy, but one of its youngest. Perhaps, recognize the ways that you are not in order to become what you should be. John Locke might have inspired the leaders of the American revolution when he wrote: “Liberty is to be free from restraints and violence from others.” But this ideal is not reality so long as three words define the national conversation: “I can’t breathe.”
Just like the architects at Eastern State who believed that self-reflection and introspection would produce better people, maybe the work of becoming democracy happens not in the voting booth but in the constant process of self-reflection and self-improvement. The legitimacy for democracy comes not from the country’s innately flawed founding documents, philosophers, and slave-owning “founding fathers” but from people who are alive today, and the degree to which they can participate in the workings of democracy. A utopia we are not and a utopia we must become. But the fact that we can never be a utopia as much as we can never be a democracy is the whole point in trying to become one because it is only in trying that progress is possible. Progress is measured not by what we have but by what we have left to do. So, yes, admitting that democracy requires prisons avoids the harder work of creating a democracy without prisons. There is, as yet, no democracy without prisons. However, that is precisely the point in trying to create one because, even if fail, we will have become better off and more humbled for having tried. As civil rights leader Martin Luther King, Jr. observed: “The arc of the moral universe is long, but it bends toward justice.”
Contradictions of Solitary Confinement
at Eastern State Penitentiary
Master’s thesis at the University of Cambridge: Department of Art History & Architecture
Developed with Max Sternberg, historian at Cambridge
View of cellblocks and guard tower
Eastern State Penitentiary guard tower
The perfect disciplinary apparatus would make it possible for a single gaze to see everything constantly. A central point would be both the source of light illuminating everything, and a locus of convergence for everything that must be known: a perfect eye that nothing would escape and a centre towards which all gazes would be turned.
– Michel Foucault
Prison floor plan in 1836
In the contemporary imagination of prison, solitary confinement evokes images of neglect, torture, and loneliness, likely to culminate in insanity. However, the practice originated in the late-eighteenth- and early-nineteenth-century as an enlightened approach and architectural mechanism for extracting feelings of redemption from convicts.
This research examines the design of Eastern State Penitentiary, built by English-born architect John Haviland from 1821 to 1829 in Philadelphia, Pennsylvania. This case study explores the builders’ challenge of finding an architectural form suitable to the operations and moral ambitions of solitary confinement. Inspired by Jeremy Bentham’s panopticon, Haviland’s design inspired the design of over 300 prisons worldwide. With reference to primary sources and to philosophers Jeremy Bentham and Michel Foucault, this research interrogates the problematic assumptions about architecture and human nature encoded in the form of solitary confinement practiced at Eastern State Penitentiary, which has wider implications for the study of surveillance architecture.
I am indebted to Max Sternberg for his attentive guidance throughout this research, and his support of my experience in providing undergraduate supervisions at Cambridge. I am grateful to Nick Simcik Arese for encouraging me to examine architecture as the product of labor relations and relationships between form and function. I am inspired by Alan Short’s lectures on architecture that criticize the beliefs in health and miasma theory. My research also benefits from co-course director Ronita Bardhan. Finally, this research is only possible through the superb digitized sources created by the staff of Philadelphia’s various archives and libraries.
I am particularly indebted to the guidance and friendship of Andrew E. Clark throughout my life.
The COVID-19 pandemic put me in a “solitary confinement state-of-mind,” allowing me to research prison architecture from a comfortable confinement of my own.
Eastern State Penitentiary was completed in 1829 in northwest Philadelphia, Pennsylvania by architect John Haviland. It was reported as the most expensive and largest structure yet built in America.
The design featured a central guard tower from which seven cell blocks radiated like a star. This system allowed a single guard to survey all prisoners in one sweep of the eye. A square perimeter wall surrounded the entire complex – thirty feet high and twelve feet thick. The decorative entrance resembled a medieval castle, to strike fear of prison into those passing. This castle contained the prison administration, hospital, and warden’s apartment.
As we approach the central tower, we see two kinds of cells. The first three cell blocks were one story. The last four cell blocks were two stories. Here we see the view from the guard tower, over the cell block roofs and over the exercise yards between cell blocks. Each cell had running water, heating, and space for the prisoner to work. Several hundred prisoners lived in absolute solitary confinement. A vaulted and cathedral-like corridor ran down the middle of each cell block. The cells on either side were stacked one above the other. Cells on the lower floor had individual exercise yards, for use one hour per day. John Haviland was inspired by Jeremy Bentham’s panopticon. (Don’t know what the panopticon is? Click here for my explanation.)
Over its century in use, thousands visited and admired this design. An estimated 300 prisons around the world follow this model – making Eastern State the most influential prison ever designed.
360° panoramic view from guard tower
Shows prison as it appeared in the period 1836 to 1877 before later construction obstructed the original buildings.
Eastern State Penitentiary’s exterior resembles a medieval castle. More than a random choice, the qualities of Gothic attempt to reflect, or fall short of reflecting, the practices of detention and isolation within. Contrary to the claim often made about this structure that the appearance was supposed to strike fear into passerby, the use of Gothic is in many ways unexpected because of its untoward associations with darkness and torture, which the prison’s founders were working to abolish. It is therefore surprising that America’s largest and most modern prison should evoke the cruelties and injustices of the medieval period. The choice of Gothic appearance, and the vast funds expended on the external appearance few inmates would have seen, leads one to question the audience of viewers this penitentiary was intended for – the inmates within or the public at large?
This essay responds by analyzing what the Gothic style represented to the founders. The architectural evocation of cruelty and oppression was, in fact, not contradictory with the builders’ progressive intentions of reforming and educating inmates. This prison’s appearance complicates our understanding of confinement’s purpose in society. The two audiences of convicted inmates and tourist visitors would have received and experienced this prison differently, thereby arriving at alternative, even divergent, understandings of what this prison meant. More than an analysis of the architect John Haviland and of the building’s formal qualities in isolation, this essay situates this prison in the larger context of Philadelphia’s built environment.
I am indebted to my supervisor Max Sternberg, to my baby bulldog, and to my ever-loving parents for criticizing and guiding this paper.
Postmodernist thinkers, like Michel Foucault, interpret Jeremy Bentham’s panopticon, invented c.1790, as a symbol for surveillance and the modern surveillance state.
This lecture is in two parts. I present a computer model of the panopticon, built according to Bentham’s instructions. I then identify design problems with the panopticon and with the symbolism people often give it.
To say all in one word, it [the panopticon] will be found applicable, I think, without exception, to all establishments whatsoever, in which, within a space not too large to be covered or commanded by buildings, a number of persons are meant to be kept under inspection.
– Jeremy Bentham
Since the 1790s, Jeremy Bentham’s panopticon remains an influential building and representation of power relations. Yet no structure was ever built to the exact dimensions Bentham indicates in his panopticon letters. Seeking to translate Bentham into the digital age, I followed his directions and descriptions to construct an exact model in virtual reality. What would this building have looked like if it were built? Would it have been as all-seeing and all-powerful as Bentham claims?
Central to Bentham’s proposed building was a hierarchy of: (1) the principal guard and his family; (2) the assisting superintendents; and (3) the hundreds of inmates. The hierarchy between them mapped onto the building’s design. The panopticon thus became a spatial and visual representation of the prison’s power relations. As architectural historian Robin Evans describes: “Thus a hierarchy of three stages was designed for, a secular simile of God, angels and man.”
Spatial diagram of power relations
Obstructed view from ground floor
Author’s images from computer model
To his credit, Bentham recognized that an inspector on the ground floor could not see all inmates on the upper floors. The angle of view was too steep and obstructed by stairs and walkways. To this end, Bentham proposed that a covered inspection gallery be erected between every two floors of cells.
By proposing these three inspection galleries, Bentham addressed the problem of inspecting all inmates. However, he created a new problem: From no central point was it now be possible to see all activity, as the floor plans below show. The panoramic view below shows the superintendent’s actual field of view, from which he could see into no more than four complete cells at a time. The view from the center was not, in fact, all-seeing. Guards would have to walk a continuous circuit round-and-round, as if on a treadmill. They, too, are prisoners to the architecture.
Panopticon panorama from guard’s point of view
Section showing each guard’s cone of vision
Guard’s cone of vision
Guard’s walking circuit
Author’s images from computer model
The intervening stairwells and inspection corridors between the perimeter cells and the central tower might have allowed inspectors to see into the cells. Yet these same architectural features would also have impeded the inmates’ view toward the central rotunda. Bentham claimed this rotunda could become a chapel, and that inmates could hear the sermon and view the religious ceremonies without ever needing to leave their cells. The blinds, normally closed, could be opened up for viewing the chapel.
Rotunda with blinds closed
Rotunda with blinds opened
Bentham’s suggestion was problematic. The two cross sections above show that, although some of the inmates could see the chapel from their cells, most would be unable to do so.
In spite of all these obvious faults in panopticon design, Bentham still claimed that all inmates and activities were visible and controlled from a single central point. When the superintendent or visitor arrives, no sooner is he announced that “the whole scene opens instantaneously to his view,” Bentham wrote.
View from guard tower to cells: VISIBILITY
View from cells to guard tower: INVISIBILITY
Despite Bentham’s claims to have invented a perfect and all-powerful building, the real panopticon would have been flawed were it built as this data visualization helps illustrate. Although the circular form with central tower was chosen to facilitate easier surveillance, the realities and details of this design illustrate that constant surveillance was not possible. That the British public and Parliament rejected Bentham’s twenty year effort to build a real panopticon should be no surprise.
However flawed the architecture, Bentham remained ahead of his time. He envisioned an idealistic and rational, even utopian, surveillance society. Without the necessary (digital) technology to create this society, Bentham fell back on architecture to make this society possible. The failure of this architecture and its obvious shortcomings do not invalidate Bentham’s project. Instead, these flaws with architecture indicate that Bentham envisioned an institution and society that would only become possible through new technologies invented hundreds of years later.
Developed in collaboration with Newark Landmarks and the master’s program in historic preservation at Columbia University
Warden’s House c.1967
Warden’s House in 2019
Jail entrance gate
Since 1971, the old Essex County Jail has sat abandoned and decaying in Newark’s University Heights neighborhood. Expanded in stages since 1837, this jail is among the oldest government structures in Newark and is on the National Register of Historic Places. The building needs investment and a vision for transforming decay into a symbol of urban regeneration. As a youth in Newark, I explored and painted this jail, and therefore feel a personal investment in the history of this place. Few structures in this city reflect the history of racial segregation, immigration, and demographic change as well as this jail.
In spring 2018, a graduate studio at Columbia University’s master’s in historic preservation program documented this structure. Eleven students and two architects recorded the jail’s condition, context, and history. Each student developed a reuse proposal for a museum, public park, housing, or prisoner re-entry and education center. By proposing eleven alternatives, the project transformed a narrative of confinement into a story of regeneration.
Inspired by this academic project and seeking to share it with a larger audience, I and Zemin Zhang proposed to transform the results of this studio into a larger dialogue about the purpose of incarceration. With $15,000 funding from Newark Landmarks, I translated Columbia’s work into an exhibition. I am grateful to Anne Englot and Liz Del Tufo for their help securing space and funding. Over spring 2019, I collaborated with Ellen Quinn and a team at New Jersey City University to design the exhibit panels and to create the corresponding texts and graphics. The opening was held in May 2019, and is recorded here.
My curator work required translating an academic project into an exhibit with language, graphics, and content accessible to the public. Columbia examined the jail’s architecture and produced numerous measured drawings of the site, but they did not examine social history. As the curator, I shifted the exhibit’s focus from architecture to the jail’s social history – to use the jail as a tool through which to examine Newark’s history of incarceration. As a result, much of my work required supplementing Columbia’s content with additional primary sources – newspaper clippings, prison records, and an oral history project – that tell the human story behind these bars. I worked with local journalist Guy Sterling to interview former jail guards and Newark Mayor Ras Baraka about his father’s experience incarcerated here during the 1967 civil unrest. The exhibit allowed viewers to hear first-hand accounts of prison life and to view what the Essex County Jail looked like in its heyday from the 1920s to 1960s. Rutgers-Newark organized seminars connected to the jail exhibit on the topic of incarceration in America, and what practical steps can be taken to change the effects of the growth of incarceration.
The finished exhibit was on display from May 15 through September 27, 2019. The exhibit makes the case for preserving the buildings and integrating them into the redevelopment of the surrounding area. The hope is that, by presenting this jail’s history in a public space where several thousand people viewed it per week, historians can build support for the jail’s reuse. Over the next year, an architecture studio at the New Jersey Institute of Technology’s College of Architecture and Design is conducting further site studies. Before any work begins, the next immediate step is to remove all debris, trim destructive foliage, and secure the site from trespassers. These actions will buy time while the city government and the other stakeholders determine the logistics of a full-scale redevelopment effort.
My interest in prisons drew me to this project. This jail’s architect was John Haviland, who was a disciple of prison reformers John Howard and Jeremy Bentham. In my MPhil thesis research about Philadelphia’s Eastern State Penitentiary, I developed my exhibit research by looking at the social and historical context of John Haviland and early prisons. As I describe, Eastern State began as a semi-utopian project in the 1830s but devolved by the 1960s into a tool of control social and a symbol of urban unrest.