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EMPATHETIC MANAGEMNT ON UNIONIZATION
Influence of Empathetic Management on Unionization in the Workplace
Joy Mei Muller
Nicolais School of Business, Wagner College
BU400-01: Senior Thesis and Practicum
May 8, 2023
joy.muller@wagner.edu
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Abstract
Trust is the cornerstone of organizational relationships, rooted in the formation of
empathy. Merriam-Webster defines empathy as the capacity to understand or feel what another
person is experiencing within their frame of reference or to place oneself in another’s position.
This thesis will analyze the prosocial behavior of managers and organizations and its effect on
employees forming a union. This research will test how empathetic management can be
integrated as a critical part of an organization to optimize and decrease the number of unions
formed. The study will determine empathy's role in manager and organization leadership and
employee unionization. Companies such as Amazon, Starbucks, and Google are rated as one of
“Fortune’s 500 Best Companies to Work For”. However, the increasingly recent winning
percentage of unions within top-rated companies proves to say otherwise. A literature review of
these cases will explore whether empathy or lack thereof, has anything to do with this labor
movement. Do managers or companies lacking empathy lead employees to form a union?
Introduction
With new graduates entering the workforce, there is often a fear of impressing the boss or
getting along with senior coworkers. This paper will analyze undesirable work environments
employees face in Fortune 500 companies, ultimately leading to increasing union formation.
Over time, employees have found their voice with the number of union elections on the upward
tick.
This thesis is important because managers or organizations should be more empathetic
towards their employees by developing strong, peaceful, and justifiable institutions
acknowledged by the United Nations Sustainable Development Goals. It is highly impactful for
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employees to see Fortune 500 organizations recognize sustainable development goals. This
concept will be analyzed further throughout this paper.
To portray the image of empathetic management and unions, tables and figures will be
implemented to show readers visually how the lack of empathy will lead employees to form a
union. These tables and figures will focus on the treatment of individuals, the number of union
elections, and the winning percentage of unions. All these variables exemplify how managers or
companies who lack empathy will lead employees to form a union. With the percentage of union
elections won steadily increasing, this follows the ideology that managers or companies who lack
empathy will steer employees to create a labor movement.
All the variables concerning managers or companies who lack empathy will be examined,
leading employees to form a union. The presence of empathetic management is crucial to show
that employees are respected and valued within a company. Each manager and company have its
strengths and weaknesses, but employees will feel undervalued with the lack of empathy in the
workplace. As graduation approaches for young adults, they must see managers and companies
who understand their frame of reference within the workplace.
Literature Review
Expectancy Theory
The Expectancy Theory of Motivation describes an employee’s cognitive process to make
choices that will lead to the best personal outcome (Lloyd & Mertens, 2018). Employees expect
a level of effort will achieve the desired level of performance. Employees expect performance to
lead to specific desired outcomes, such as rewards or benefits (Starke & Behling, 1975).
Furthermore, the Expectancy Theory explains how employees perform based on their
expectations. For example, employees read their company’s human resource pamphlet of
standards and regulations and then apply their standards (Colquitt et al., 2019).
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Factors that Affect Expectancy Theory
Motivation is a set of energetic forces that originates within and outside the employee,
initiates work-related effort, and determines its direction, intensity, and persistence (Colquitt et
al., 2019).
However, it is essential to note that individuals can have different motivations at the same
level (Kollmann et al., 2020). For example, consider two students taking an accounting course—
student A is taking it to gain knowledge for a CPA exam, and student B is taking the course as a
requirement (Colquitt et al., 2019).
Upward influence refers to the attempt made by a subordinate or coworker to secure a
desired response from a boss (Russell, 2019). Upward influence is essential in an organization
because an individual’s knowledge transfers from other employees, including the supervisor and
direct reports (Colquitt et al., 2019). For example, an employee should find work that elevates
the manager or supervisor. Upward influence is significant because it initiates critical thinking in
the organization to take a fresh perspective or look at a task or decision (Moore et al., 2020).
By implementing upward influence and empathetic management, managerial effectiveness
will allow for effective and stable relationships in which employees will encourage themselves
and others (Moore et al., 2020). Empathy is the action of understanding, being aware of, being
sensitive to, and vicariously experiencing the feelings, thoughts, and experiences of another
(“Empathy”, 2023).
However, if the employer fails to learn its employees’ motivations within the organization’s
social context, it could be costly and destructively work against the firm (Lloyd & Mertens,
2018). For instance, it may lead to the formation of unions. Organizations may prevent the
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formation of unions by creating a positive and creative environment rooted in empathy and
intuitively establishing motivated employees (Brower, 2021).
Managers or organizations should be aware of the work environment’s social context that
drives employees’ motivations and social behaviors when providing incentives in the negotiation
process (Lloyd & Mertens, 2018). In addition to motivation, factors such as self-efficiency,
instrumentality, and valence shape an individual’s expectancy (Colquitt et al., 2019).
Employees' expectations and standards should be higher than their boss's (Lloyd & Mertens,
2018). If the expectancy theory is applied correctly, it takes the responsibility away from
managers releasing stress and burden (Moore et al., 2020). For instance, an employee should cut
out the intermediary and not email to ask what is expected of a task--instead, it should be up to
the individual’s job standards (Swain et al., 2020).
According to Brower, individuals setting their standards in an empathetic environment
increases organizational innovation and learning (2021). For instance, 61% of employees
reported that to develop innovative ideas, such as preprogrammed questions before a meeting
challenging the whole organization to take a “fresh look” to maximize decisions (Brower, 2021).
Self-efficiency. Self-efficiency is an essential factor when referring to an individual’s
expectancy. Self-efficiency refers to the belief that one has the attributes and capabilities to
execute a required task (Colquitt et al., 2019).
In addition, being knowledgeable about oneself will increase self-confidence and self-esteem
regarding a task (Russell, 2019). The knowledge of one’s efficiency is dictated by factors such as
past experiences, observations, or emotional cues (Lloyd & Mertens, 2018). For example,
consider a free throw shot in basketball. An individual is highly likely to make it because of
increased practice shots and close distance (Swain et al., 2020).
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Instrumentality. Instrumentality is an individual’s belief that specific outcomes will lead
to attaining other outcomes (Starke & Behling, 1975).
In addition, instrumentality is a low level of trust or belief that meeting an objective will
result in a desired outcome (Swain et al., 2020). Employees most likely need to perceive a high
level of instrumentality in the workplace, and good performers will begin to expect rewards.
They may look elsewhere if a company does not provide them (Colquitt et al., 2019). For
example, it is likely for employees to trust they would receive a bonus for completing a project if
a manager delivered on the action in prior years (Swain et al., 2020).
However, empathy may play a part in increasing instrumentality (Lloyd & Mertens, 2018).
For instance, 76% of employees experienced empathy from their managers, compared to 32%
who experienced less empathy, reported feeling more engaged in their organization (Brower,
2021).
Valence. Valence refers to the degree to which an individual prefers outcomes associated
with performance (Lloyd & Mertens, 2018). According to Starke and Behling, two types of
valences exist in Vlad Vroom’s Expectancy Theory: (1) an individual’s subjective perception
that certain activities will lead to desired outcomes and (2) the outcomes viewed as desirable by
the individual (1975).
Additionally, an individual’s desirable outcomes foster extrinsic and intrinsic motivation
(Lloyd & Mertens, 2018). Extrinsic motivation refers to controlled motivation depending on task
performance, while intrinsic motivation is felt when task performance serves its reward (Colquitt
et al., 2019).
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Equity Theory
The Equity Theory of Motivation states that an individual’s cognitive motivation is based on
their output ratio to inputs compared to other workers’ ratios (Greenberg, 1988). One motivator
of the Equity Theory is trying to be fair (Swain et al., 2020). There are two critical factors when
considering the equity theory: inputs and outputs (Greenberg, 1988). The equity theory suggests
that individuals create a “mental ledger” of their inputs and outputs (Colquitt et al., 2019).
However, a “mental ledger” may expand the gap between employers and employees
(Colquitt et al., 2019). For example, if inequity exists in an organization, employers may ask
employees to reduce their output-to-input ratio (Swain et al., 2020).
Inputs of Equity Theory
The Equity Theory is based on the idea that individuals compare their inputs and outcomes to
others to determine whether they are treated fairly (Colquitt et al., 2019). Inputs of the Equity
Theory refer to things an employee does to help an organization achieve a goal (“Adams’ Equity
Theory…”, n.d.). For instance, inputs such as training or education. Furthermore, inputs of the
equity theory may be recognized as an element of equitable treatment within an organization
(Greenberg, 1988). Inputs are essential because they add an employee's value to a task.
Furthermore, employees who feel they are being mistreated compared to others may take action
to restore equity, such as forming a union (Swain et al., 2020).
In addition, a sense of inclusivity and fairness should be established within an organization
because it will ensure the best levels of motivation and engagement between manager and
employee (“Adam’s Equity Theory…”, n.d.). For example, 50% of employees with empathetic
managers reported that their workplace was inclusive, compared to only 17% whose managers
were less empathic (Brower, 2022).
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Training. Training is a systematic effort by organizations to facilitate the learning of jobrelated knowledge and behavior (Colquitt et al., 2019). Training provides an incentive for people
in the organization to learn more. Research shows that 40% of employees will leave their
position in the first year if they do not receive the necessary job training (Bressler et al., 2019).
Furthermore, companies with 100 to 500 employees provided only six minutes of manager
training, compared to companies with less than 100 employees, which provided twelve minutes
in six months (Bressler et al., 2019, as cited in Freifeld, 2018).
In addition, mental health plays a huge role in training and job quality. According to Brower,
67% of people are experiencing an increase in stress, 54% are mentally exhausted, and 20% are
taking longer to finish tasks (2021). Managers or companies should assign daily mindfulness
training to combat mental health because employees are likelier to report more helping behaviors
over five days (Hafenbrack et al., 2020).
Some may argue that training is costly for organizations. More cost-effective methods for
training are founded on soft tactics that depend on a manager’s ability to identify an employee’s
motivation (Russell, 2019). For instance, there is a difference between an employee motivated to
learn and working to get a salary (Colquitt et al., 2019). So, how do managers differentiate
motivation in employees? Managers may isolate their employees with a task to get to know how
an employee thinks, their commitment, or if they are trying to climb the ranks (Hafenbrack et al.,
2020).
Education and Experience. Education is gaining knowledge through instruction, while
experience is gaining knowledge through practical participation or observation.
Many managers and companies rely on an individual’s education and experience to support
their business for a superior rating (Bressler et al., 2019). For example, a recent survey of 50,000
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employers found a desire for education and experience from potential candidates (“Education vs.
experience…”, 2019).
However, companies may require a specific degree for a job description. Requiring a certain
degree is a mistake because training a bachelor’s degree candidate is more cost-saving than
hiring an individual with a master’s degree (Colquitt et al., 2019). Managers or companies
should evaluate job descriptions semi-annually so employees can move to positions where they
will shine best (Colquitt et al., 2019).
Additionally, the experience or education of an individual may not be as relevant as their
creativity or adaptability for an organization. Managers should seek employees based on what
they see in the future for the organization (Bressler et al., 2019). For example, managers or
companies can recruit adaptable individuals by devising a questionnaire for potential candidates
that asks them to come up with three or four ways to sell “X” (Bressler et al., 2019). If
individuals can think on their feet and quickly devise a plan, they will most likely adapt to a
speedy market.
Furthermore, while it is true that hard skills are essential to specific industries, managers or
companies should seek soft skills in new employees, such as multitasking, prioritizing, and
interpersonal strengths (“Education vs. experience…”, 2019).
Outputs of Equity Theory
The outputs of Equity Theory are broken down into two groups: tangible and intangible
(Colquitt et al., 2019). Tangible outcomes are measurable such as benefits, pay, or commitment.
Intangible outcomes include status, reputation, or job security.
In addition, the workplace environment is constantly evolving. Organizations must find ways
to create work environments that satisfy the needs of their employees of different age groups
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(Kollmann et al., 2020). According to Greenberg, employees feel satisfied when they feel that
what they receive from a manager or company is deserved in proportion to what they give to the
organization (1988).
Tangible Outcomes. Tangible outcomes are typically items managers or companies can
measure, such as pay. The value of money is a powerful motivator in jobs. Many individuals
view the value of money differently. For example, some employees see money as a means to
express power and prestige, while others see money as a means of living (Kollmann et al., 2020).
Furthermore, if employees know their payment will be temporary, they may need more
motivation to sustain the same high-level performance (Greenberg, 1988).
However, pay or money may not be the most wanted or highest motivator within
organizations (Colquitt et al., 2019). Benefits and perks are sought more than salary (Weir,
2018). For example, an organization offering a benefits package based on a point system where
individuals choose what type of benefits they need or want (Kollmann et al., 2020). Furthermore,
a benefits package based on a point system will give an employee ‘skin in the game,’ most likely
making the individual feel valued and treated fairly (“Adam’s Equity Theory…”, n.d.).
Intangible Outcomes. Intangible outcomes are not measurable or things a manager or
company cannot calculate on a spreadsheet. The intangible outcomes are more important because
they empower employees and motivate them to perform at their best (Weir, 2018). Many
managers and employees focus on tangible outcomes, such as benefits or pay.
However, transformational leaders are managers or companies who are agile and adaptable to
a changing market or environment. Transformational leaders are individuals who manage change
well. Companies should be more transformational to prevent unions (Colquitt et al., 2019).
Transformational leaders tend to focus on intangible outcomes over tangible outcomes because
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they seek to enhance the motivation and morale of employees while identifying changes needed
in the organization (Bressler et al., 2019). For example, decentralized companies let each
department and individual plan their goals to support the more major company initiatives (Weir,
2018). Furthermore, transformational leaders will heighten their employees' awareness of
specific outcomes while increasing their confidence (Colquitt et al., 2019).
Status/Reputation. Of millennials, 26% say recognition motivates them to do their
best work (Bressler et al., 2019). Employees who are ‘status strivers’ reflect a strong desire to
obtain power and influence the company’s structure to express their personality (Colquitt et al.,
2019). One study found that personality is a reputation from outside the individual, mediated by
the influence of individual differences on career success and satisfaction (Dietl & Blickle, 2017).
Emotional cues such as fear or anxiety can affect an employee’s motivation and reputation.
Emotional cues are feelings that boost confidence or create doubt about task accomplishment
(Colquitt et al., 2019). Everyone is scared to death to find out they are not good enough, no
matter how confident they seem. Furthermore, every manager and company could benefit from
measuring the personality or reputation of its employees (Dietl & Blickle, 2017).
In addition, managers’ and companies’ status and reputations are paramount. According to
Denise Wilkerson, the HIRE author with FIRE, candidates will remember how they were treated
during the interview, impacting your and your company’s reputations (Bressler et al., 2019).
Job security. Job security is rooted in seniority in most companies.
An employee who seeks job security most likely values freedom or autonomy. It is essential
to note the meaning of freedom or autonomy within an organization. Essentially, autonomy does
not exist in companies because, most of the time, employees are guided by managers or
organizations (Colquitt et al., 2019).
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Instead, an intangible outcome an employee should seek is growth. Growth means moving or
leaning toward a direction forward. Furthermore, growth presents new business opportunities for
employees and managers or companies (Bressler et al., 2019)
Additionally, access is essential in the context of growth. Access refers to an employee’s
exposure to important meetings or individuals (Dietl & Blickle, 2017). For instance, watching a
crucial meeting means something to that employee for no cost, except maybe a cup of coffee
(Colquitt et al., 2019).
However, managers or organizations should allow employees to gain better perspectives
about the company in more cost-efficient ways to improve job security and growth (Dietl &
Blickle, 2017). For instance, managers may implement team-building exercises that cross-train
employees or may offer anonymous surveys before a monthly review comes out (Colquitt et al.,
2019).
Empathetic Management
According to Martinovki, empathy is the capacity to understand or feel what another
person is experiencing and adopt an alternative perspective (2007). Trust refers to the willingness
to be vulnerable to an authority based on positive expectations about the authority’s actions and
intentions (Colquitt et al., 2019). The involvement of trust rooted in the formation of empathy
encourages collaborative behavior (Kalshoven et al., 2013). It may lead to a planned or desired
outcome-seeking to maximize both parties and create a win-win relationship (Martinovki et al.,
2007).
Some may argue that empathetic management is a problem. These individuals state that
empathetic management is not a company policy, as empathy is an attribute between employee
and manager (Colquitt et al., 2019).
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However, empathy drives significant business results (Brower, 2021). Managers who
develop empathy as a skill create an employee-centric work environment that transforms the
organization's culture (Moore et al., 2020). For example, empathic accuracy mediates prosocial
orientation and career satisfaction (Cote et al., 2011).
Empathy is necessary for an organization because employees experience multiple kinds of
stress and expect the boss to be the expert (Brower, 2021). A manager who develops empathic
leadership encourages collaborative ideas and autonomy (Moore et al., 2020). Collaborative
ideas and autonomy lead to innovation and adaptability in a changing business environment
(Kalshoven et al., 2013). For instance, in a study of 899 employees by Catalyst, 61%, compared
to 13% of employees, reported they were more innovative with empathic leaders (Brower, 2021).
The perception of fairness also plays a role in empathetic management (Colquitt et al., 2019).
Employee motivation will most likely suffer from those who do not feel valued or treated fairly
(Swain et al., 2020).
Empathetic management shows employees how meaningful their work is to the organization.
For instance, managers may offer an employee to walk to meet the Vice President of Finance,
who gets the employee's report every month (Colquitt et al., 2019). Managers or companies
implementing empathetic management create an environment or atmosphere where employees
are acknowledged at every level (Dietl & Blickle, 2017).
According to Levinson, management by objectives is self-defeating and increases pressure on
the individual (2003). Managers must learn how to manage effectively. For example, managers
should be taught to manage the outcome rather than their employees (Colquitt et al., 2019).
A high level of empathetic management will encourage employees to be more courteous and
helpful throughout the organization (Kalshoven et al., 2013). A pooled mutual advantage
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between employees and organizations' is met when the employee’s needs and the organization’s
requirements are synergistic (Levinson, 2003). According to Brower, managers or companies are
the most successful when they consider others and when they, express their concerns or inquiries
and listen to employee responses (2021).
Treatment of individuals
This thesis examines the treatment of employees in Fortune 500 companies to discover the
reason behind increasing union booms. Managers should treat their employees under ethical
leadership, which includes being concerned for others, allowing voice, and demonstrating
consistency and integrity (Kalshoven et al., 2013).
Managers and companies need to feel comfortable with different employees—for instance,
age or skill levels, not necessarily race or ethnicity (Colquitt et al., 2019). For example, in a 20item sub-scalable Mayor-Salovey-Caruso Emotional Intelligence Test (MSCEIT), managers' and
companies' empathic accuracy and agreeableness in power conditions were optimistic (Cote et
al., 2011). A positive relationship where managers learn how to influence and treat their
employees in all directions, becoming well-rounded leaders (Russell, 2019).
Additionally, employers are not allowed to retaliate against employees who decide to join or
form a union. According to the Department of Labor, employers cannot cut wages or fire
employees for unionization efforts (2023). Employees can file an unfair labor practice charge
alleging their employer violated the labor law (“National Labor Relations Board”, 2023).
A recent study showed that in two out of every five organizing campaigns, employers are
charged with engaging in unfair labor practices and retaliating against pro-union employees in
one out of five campaigns (“U.S. Department of Labor”, 2023). Furthermore, federal labor
officials have stepped up legal challenges accusing high-profile employers of unfair labor
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practices (Hsu & Selyukh, 2022). High-profile employers like Amazon and Starbucks have
denied accusations (Logan, 2022).
Amazon. Amazon, one of the world’s largest employers, has faced criticism for its
treatment of employees. According to Merriam-Webster, unionization refers to uniting or joining
two or more things into one (“Union”, 2023).
Amazon has been accused of violating multiple labor laws and using aggressive tactics to
prevent its employees from unionizing (Scheiber, 2023). These violations range from unsafe
working conditions to anti-union practices (Logan, 2021). The issue of Amazon’s treatment of
employees remains a highly contentious and polarizing issue as high-profile unionization drives
steadily increase. Proponents of unionization argue that employees deserve better treatment and
more representation in the workplace (Kantor &Weise, 2022). At the same time, opponents argue
that unionization could harm a company’s competitiveness and hurt employees in the long term
(O’Brien, 2022). Despite opinions, in recent years, there have been several attempts by Amazon
employees to unionize.
The first notable effort of Amazon employees took place in early 2021 in Bessemer,
Alabama (Logan, 2021). Some Amazon workers have accused the company of unfair labor
practices, such as anti-union practices. Anti-union practices include illegally threatening to hold
wages and benefit increases if an employee chose to unionize and promised programs to
subsidize educational expenses if an employee did not choose to unionize (Scheiber, 2023).
Amazon employees sought to form a union with the Retail, Wholesale, and Department Store
Union (RWDSU) (O’Brien, 2022). The vote ultimately failed, with 1,798 workers voting against
unionization and 791 employees voting in favor (Logan, 2021).
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However, RWDSU challenged the results claiming the company has engaged in anti-union
tactics and that the votes should be overturned (Scheiber, 2023). The National Labor Relations
Board brought attention to the matter by holding hearings but rejected the RWDSU’s challenge
in April 2021(Weise & Scheiber, 2022).
Another Amazon warehouse, known as JFK8, located on Staten Island, NY, followed
Alabama with a landmark win for its employees. The warehouse has more than 8,300 workers,
2,654 of whom cast votes to be represented by a union and 2,131 against, giving the union a win
by more than 10% (Weise & Scheiber, 2022). In weeks before the elections, Amazon summoned
employees to an anti-union meeting to emphasize the costs of union dues and threatened workers
that they might end up worse off under a union (Scheiber, 2023). The treatment of Amazon
employees caused the company to have high turnover rates (O’Brien, 2022).
The result is a milestone for Amazon employees and the broader labor movement in the
United States. It is the first union in the tech giant’s twenty-seven-year history (Weise &
Scheiber, 2022). The union vote can upend how Amazon, the country’s second-largest private
employer, engages with some members of its vast workforce (Scheiber, 2022). President Biden
has also spoken out about unionization and is glad to see workers ensure their voices are heard
(O’Brien, 2022).
Starbucks. Starbucks, an international coffee retailer, has one of many companies under
the microscope as its employees have sought to unionize. Unionization typically arises when
employees do not feel their employer treats them fairly. Some Starbucks employees have
reported feeling overworked, underpaid, and lacking job security (“Starbucks Union…”, 2022).
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The pandemic was also a driving factor in the Starbucks campaign, where workers felt
abandoned by management as the team was understaffed and did not have proper safety
precautions (Logan, 2022).
The current Starbucks unionization movement began in Buffalo, New York, in December
2021, where employees have expressed concern about limited opportunities in the company, lack
of benefits, and unpredictable scheduling practices (Maruf, 2021). Starbucks Workers United
(SWU) has created economic and non-economic proposals alongside Starbucks Partners and
Workers United Upstate. Some non-economic proposals include the right to organize without
fear, seniority rights, and non-discrimination, while economic proposals include better
compensation, such as a $15 per hour starting wage (“Starbucks Union…”, 2022).
In response, the company ran multiple illegal anti-union efforts. The National Labor
Relations Board found that Starbucks unlawfully fired union activists, spied on workers, and
offered unlawful benefits to discourage unionization (Logan, 2023).
Additionally, employees see others succeed in forming a union and get the courage to form
one. The company’s anti-union efforts did not discourage its workers, as more than 250 Starbuck
stores are unionized (“Starbucks Union…”, 2022). For instance, following Buffalo, a Mesa,
Arizona store union won by a 25-3 vote in one of the most conservative cities in America
(Logan, 2022).
Some critics of the labor movement have pointed to the small size of Starbucks stores that
make it easy to win elections (“Starbucks Union…”, 2022). While this may be true, more than
70% of National Labor Relations Board union elections won every year are in small units
(Logan, 2023). Proponents of Starbucks' campaigns have argued that unionization provides
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employees with a stronger voice and protects them from retaliation or discrimination (Logan,
2022).
Additionally, with the labor movement increasing, many investors in these companies may
benefit. For example, unions generally help employees receive better benefits, which means
fewer profits for the company (“Starbucks Union…”, 2022).
Google. Employees of Google, one of the largest technology companies, have decided to
join the union boom after years of activism. Google employees are among the best-paid workers
across America, with a median pay of $258,708 (Needleman, 2021).
However, in January 2021, a group of Google employees formed the Alphabet Workers
Union (AWU) (Cogner, 2021). Alphabet Workers Union comes from Google’s parent company
and holds more than 600 employees with the support of Communications Workers of America
(Allyn, 2021). The unionization effort at Google has gained momentum since 2018 when 20,000
employees worldwide staged a walkout to protest the company’s actions to protect sexual
harassment perpetrators (Allyn, 2021).
In addition, employees also criticized Google’s controversial involvement with an AI
Initiative known as Project Maven. Employees were critical of the company’s work with the
Defense Department on Project Maven because the company planned to explore censored search
engines for Chinese citizens (Cogner, 2021). According to Fung, Google employees stated that
the company has collaborated with repressive governments, profited from ads by hate groups,
and failed to make the changes necessary to retain people of color (2021).
Additionally, the Alphabet Workers Union quickly boomed after Google fired a Black
researcher, Timnit Gebru, who examined the ethics of artificial intelligence and criticized the
diversity efforts at Google (Needleman, 2021). Gebru’s firing erupted more than 2,600
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employees to sign a public letter denouncing Google, who insisted Gebru was a resignation and
sparked fury against top executives (Allyn, 2021). Furthermore, Google even fired some
employees who raised their voices on the termination of Gebru and, in some cases, led to
complaints to the National Labor Relations Board (Needleman, 2021). The National Labor
Relations Board accused Google of breaking the law by firing two employees for organizing a
labor movement in December 2021 (Fung, 2021).
Google employees state that the reasons behind their labor movement are to make the
company acknowledge its societal role and reshape its culture (Cogner, 2021). According to
Needleman, Google Union’s primary goal is to have a voice in business and speak out on
problems such as retaliatory firings (2021).
Unlike Amazon and Starbucks unions, the Alphabet Workers union is known as a “minority
union” (Needleman, 2021). A minority union gives employees the right to organize without
winning a formal vote before the National Labor Relations Board (Cogner, 2021). In addition, a
minority union does not have the power to bargain and negotiate pay and benefits (Allyn, 2021).
However, after the Alphabet Workers Union staged rallies on both U.S. coasts, 5,000
workers of contract received a raise bringing wages up to $15 per hour (Alba, 2023).
Union Elections
A labor union is a group of two or more employees who collectively join to advance efforts
of wage, benefits, schedules, and other employment terms and conditions (“U.S. Department of
Labor,” 2023). Organized labor in the United States started in 1636 when a group of fishermen in
Maine went on strike (“Starbucks union…”, 2022). In the case of Commonwealth v. Hunt, labor
won, making labor unions legal in 1842 (“Starbucks union…”, 2022).
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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Additionally, Congress passed the National Labor Relations Act in 1935, making it a policy
to encourage collective bargaining by protecting workers’ complete freedom of association
(“National Labor Relations Board”, 2023). Furthermore, an employer can voluntarily recognize
unions if enough workers indicate they want the union to negotiate on their behalf (Fung, 2021).
In the United States, unions are the primary way for groups of employees to bargain with
their employer through an election conducted by the National Labor Relations Board (NLRB)
(Lowery et al., 2022). Employee organizers collect signed cards or petitions from bargaining unit
members. They can either follow: (1) a majority sign-up if their employer recognizes their union
voluntarily or (2) a secret ballot representation election (“U.S. Department of Labor”, 2023).
Experts say the pandemic is the main factor that sparked the union election boom (“Starbucks
Union…”, 2022).
According to Russell, there is a growing trend in American companies of flattened
organizational structures (2019). The remarkable success of unions in some of the most antiunion corporations has shown that young workers are taking the lead in the labor market (Logan,
2022).
Most of Generation Z has taken the lead in the labor market movement. For example, Kate
Bronfenbrenner, Director of Labor Education Research at Cornell University, notes that Gen-Z
employees have seen opportunities disappear for their generation and are afraid they will be
worse off than their parents (Maurf, 2021). The desire for Gen-Z employees aged 18 to 29 is
more prevalent than their older coworkers: 77% of full-time or part-time Gen-Z employees are
either a member of a union or would join a union if it were available (Liedke, 2022).
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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The public has also grown supportive of unions. For example, 71% of Americans approve of
unions and union campaigns, compared to 48% in 2010 (Maruf, 2021). Amazon, Starbucks, and
Google campaigns have shown how vulnerable labor laws are (Logan, 2023).
Number of elections
The number of elections is an essential indicator of employee representation. Elections
provide employees with a safeguard of rights to organize, engage in better working conditions,
and choose whether to negotiate with their employer (“Recent election results”, 2023).
One measurement of union election is the number of elections filed under the National Labor
Relations Board. Union elections certify or decertify a union as the bargaining representative of a
group of employees is decided by a majority of votes (“National Labor Relations Board”, 2023).
In analyzing the number of elections filed by groups of employees to the National Labor
Relations Board, a study discovered that unions are steadily increasing over the past five years
since the start of the pandemic (“Recent election results”, 2023). For example, there were 1,249
union elections in the fiscal year 2022—a 50% increase from the year before (Hsu & Selyukh,
2022).
According to Combs, the number of employees who joined unions due to National Labor
Relations Board elections more than doubled from 2021 to 2022 (2023). Some may argue that
union membership declined in 2020 to roughly 10% because of the declined labor income of
more than 51% (“Starbucks union…”, 2022).
However, a recent study by the Pew Research Center found that over 16% of journalist
employees are currently union members, and 41% would join one if it were available to them
(Liedke, 2022). Furthermore, from 2020 to 2022, the number of workers organized due to
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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National Labor Relations Board elections increased from 72,177 to 75,290 individuals (Combs,
2023).
A solution to this aspect of unionization, which could also benefit the overall organizational
structure, is for managers or companies to implement empathetic management for employees to
feel understood and seen. Some companies found that empathy can be a powerful antidote to
contribute to positive outcomes, as 62% of women of color have said they are unlikely to leave
their companies when they feel respected and valued by their managers (Brower, 2021).
Winning percentage
The percentage of elections won by unions is a crucial indicator of organized labor unions
across the United States. The National Labor Relations Board calculates the winning percentage
of union elections. For example, in 2022, unions won 76% of 1,573 National Labor Relations
Board elections—a statistical tie for the highest success rate in American history (Combs, 2023).
According to the U.S. Department of Labor, 14 million U.S. workers, or 10.3% of the American
workforce, were union members in 2021 (“U.S. Department of Labor”, 2023).
In addition, of all wage and salary workers across the United States, 20.6% of employees in
the utility industry belonged to unions—the highest unionization rate in the private sector last
year (DeSilver, 2021).
Critics of organized labor movements may state that the number of union members continues
to fall, and thus the percentage of elections won is lower. For instance, DeSilver states that there
were 321,000 fewer union members than in 2019 compared to 2020 (2021).
However, the support for organized labor movements is spreading across the United States.
To illustrate, 68% of Americans approve of unions, a level of support not seen since 1965 (Hsu
& Selyukh, 2022). With a large percentage of American approval of organized labor movements,
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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more groups of employees will most likely follow in the footsteps of others. The overall
employee labor movement of wage and salary workers increased as only 2.2% of the unionized
workforce lost their jobs in 2020 due to the pandemic (DeSilver, 2021).
Civic Engagement
Managers should establish Goal Sixteen of the United Nations Sustainable Development
Goals to accomplish this mission. Goal Sixteen is to promote peaceful and inclusive societies or
institutions at all levels by providing access to justice and building effective and inclusive
relationships at all levels (“17 goals to transform …”, n.d.). Specifically, a target of Goal Sixteen
is to promote and enforce non-discriminatory laws or policies for sustainable development
because a proportion of the population has reported feeling discriminated against or harassed in
the workplace over the last twelve months (“17 goals to transform …”, n.d.).
Managers or organizations understanding empathy in their institutional environment is
crucial, showing its importance on employee productivity. For example, creating a work
environment with a climate of empathic concern helps to stimulate courtesy and will increase
ethical leadership (Kalshoven et al., 2013).
Empathetic action emphasizes actions that reduce corruption and strengthen global
governance. Managers and companies who focus on learning to be on the receptive and
interactive end of the relationship with employees to understand better their viewpoint are highly
impactful in the workplace (Kalshoven et al., 2013).
Additionally, managers or companies who lead with empathy promote peaceful and
inclusive societies because appreciating an employee’s view and engaging in a healthy debate
builds a better solution (Brower, 2021). Furthermore, empathy provides access to an effective
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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organization where employees will remember their managers' or companies' peaceful and
inclusive leadership at all levels (Colquitt et al., 2019).
Hypotheses
H1: Managers or companies lacking empathy will lead employees to form a union.
Method
Subjects
Companies that will be examined are organizations rated as Fortune 500 companies or
America’s Best Large Employers to work for. These companies have been chosen because the
increasing acceptance of unions within these top-rated companies prove otherwise. The
companies and their employees are all headquartered within the United States. In addition, all
companies operate on an international scale.
Amazon
Amazon operates in the e-commerce industry by offering retail consumer goods. The
company was ranked 375 out of 500 of America’s Best Large Employers and has 1,608,000
employees (“Amazon”, 2023). Amazon’s net income was ($27,000,000) ending December 31,
2022 (“Amazon Com Inc. February…”, 2022). As of March 27, 2023, at 4 p.m., the share price
closed at $98.04 (“Amazon.com…”, 2023).
Starbucks
Starbucks provides specialty coffee, food, and merchandise in the restaurant and retail
industry. The company was ranked 282 out of 500 of America’s Best Large Employers and has
245,000 employees (“Starbucks”, 2023). According to the Securities and Exchange Commission,
Starbucks Corporation’s most recent 10-Q noted the company’s total net revenue was
$87,132,000 ending January 1, 2023 (“Starbucks Corp. February…”, 2023). As of March 27,
�EMPATHETIC MANAGEMNT ON UNIONIZATION
25
2023, at 4 p.m., the company’s share price closed at $98.66 (“Starbucks Corporation (SBUX)”,
2023).
Google
Google provides tools and services in the computer software industry, such as software,
search engines, and hardware products. The company was ranked 11 out of 500 of America’s
Best Large Employers and has 156,500 employees (“Google”, 2023). According to the Securities
and Exchange Commission, Google’s most recent 10-K noted the company’s revenue was
$282,836,000 ending December 31, 2022 (“Alphabet Inc. February…”, 2022). As of March 27,
2023, at 4 p.m., the company’s share price closed at $103.06 (“Alphabet Inc. (GOOG)”, 2023).
Variables and Instruments
Variables
Variable 1: Empathetic Management. Empathetic management is leaders able to
understand or feel what an employee is experiencing and adopt an alternative perspective
(Martinovki et al., 2007).
Variable 2: Union Elections. This variable compares union wins to union losses.
Furthermore, this variable analyzes the percentage of elections won by unions compared to the
percentage of eligible workers organized.
Instruments & Hypotheses
Table 1: Components of Study
Table 1: Hypothesis, Variables, and Statistical Analysis
Variables
Hypothesis
H1: Managers or organizations lacking
empathy will lead employees to form a
union.
Empathetic
Management (EM)
Union
Elections
(UE)
EM
UE
Hypotheses &
Variable
Relationships
EM ≠
UE
Statistical Tests
correlation;
regression; line
charts
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage
Publications, Inc. page 138.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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Table 2: Hypothesis, Instruments, and Statistical Analysis
Table 2: Detail About Variables
Instrument / Survey
Empathetic Management
(EM)
Mayer-Salovey-Caruso
Emotional Intelligence
Test (MSCEIT)
Empathetic
Management (EM)
Study-specific:
Video Interview
Survey
Author / Publisher
(Côté et al., 2011)
(Côté et al., 2011)
Data
Variables
Union
Elections (UE)
Union Elections (UE)
Union Winning
Percentage
Recent Election Results
(Combs, 2023)
National Labor Relations Board
Type of data
Quantitative
Quantitative
Quantitative
Quantitative
20-item scalable score:
89 to 103
NLRB – This is an excellent source of
*Note: The average score Survey Scale: 1
recent election results. However, I may
is 100 and the standard
(Disagree) to 7
Percentage:
not have enough time to analyze all the
Range of scores
deviation is 15.
(Agree)
20% to 80%
raw data.
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage Publications,
Inc. page 140.
Procedure
Procedure to Locate Journal Articles and Data
Journal Articles. The data has been collected from the Business Source Premier
database since February 2023. Peer-reviewed journal articles filtered search results within the
last fifteen years. Search terms such as empathy, unions, emotional intelligence, social behavior,
and commitment were utilized. The articles were chosen within fifteen years to recognize the
relationship between increasing win percentages of unions and organizations. The articles
selected will benefit this research by comparing the effect of managers’ social and leadership
behaviors on their employees-specifically, the treatment of individuals and unions within an
organization. In addition, the connection between social behavior and the research’s variables
will be identified.
Other Sources of Data. In addition, sources were gathered from Google and Google
Scholar with similar search terms. The results from Google’s search engine relevant to this
�EMPATHETIC MANAGEMNT ON UNIONIZATION
27
research were U.S. Labor Department, Pew Research Center, the Securities and Exchange
Commission, Harvard Business Review, Forbes, and Bloomberg.
These articles analyzed the relationship between empathetic management and the
formation of unions in Fortune 500 companies such as Amazon, Starbucks, and Google. In
addition, the treatment of individuals and unions in Fortune 500 companies was analyzed.
Statistical Methods to Present and Analyze the Data
After analyzing the data presented, tables and line charts depicting the correlations and
regressions between empathetic management and union elections were developed.
Results
Treatment of Individuals
Table 3 contains data on participants’ empathic accuracy across experimental conditions in a
two-factorial design—power (high vs. low) and emotion (compassion vs. neutral). For example,
participants in the higher power condition and compassion condition exhibited significantly
higher empathic accuracy than participants in the neutral condition.
Table 3: Empathic Accuracy Across Experimental Conditions
High Power Condition
Condition
Compassion
Lower Power Condition
M
SD
M
SD
-2.36
0.69
-2.73
0.74
-2.60
0.72
Neutral
-2.73
0.58
Note. Less negative values represent higher empathic accuracy.
Source: Côté, et al. 2011
�EMPATHETIC MANAGEMNT ON UNIONIZATION
28
Table 4 contains data on the relationship between ethical or transformational leadership,
moral awareness, and empathic concern. For example, transformational and ethical leadership
are highly related.
Table 4: Means, Standard Deviations, and Correlations of Ethical and Transformational
Leadership
Variable
M
SD
Transformational leadership
3.66
0.44
Ethical leadership
Ethical leadership mean
Moral awareness
Empathic concern
Altruism behavior
Courtesy
3.82
3.64
3.52
3.88
4.1
3.86
0.54
0.3
0.39
0.27
0.63
0.62
1
2
3
4
5
6
.75**
.52**
.31**
.20**
0.13
0.12
.67**
.35**
0.07
0.25**
.20**
.45**
0.07
.19**
0.12
.38**
0.11
0.1
.16*
0.1
.45**
Note. N = 133. Moral awareness and empathic concern are workgroup levels.
** p < .01; * p < .05
Source: Kalshoven et al., 2013
Figure 1 shows the association between prosocial orientation and power with an individual’s
career satisfaction through empathic accuracy. For example, empathic accuracy mediates the
relationship between prosocial orientation and career satisfaction, and the relationship's strength
depends on power.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
29
Figure 1
Moderated mediation model of power
(Source: Cote et al., 2019)
Number of Elections
Figure 2 shows the percentage of wage and salary workers 16 and older who belong to a
union from 2000 to 2020. For example, 10.8% of U.S. wage and salary workers reported being a
part of a labor union in 2020.
Figure 2
Percentage of Wage and Salary Workers 16 and older who Belong to a Union
(Source: Pew Research Center)
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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Figure 3 shows the percentage of wage and salary workers 16 and older who belong to a
union by state. For instance, Hawaii has the highest labor union percentage of 23.7%. By
contrast, South Carolina has the lowest labor union percentage of 2.9%
Figure 3
States where Labor is Most and Least Unionized
(Source: Pew Research Center)
Table 5 shows the number of votes for and votes against unions in the tri-state area from
January 2023 to April 2023. For example, in New York, there were 3,413 votes on unions. Of the
3,413 votes, 2,695 favored unions, and 718 were against unions.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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Table 5: NLRB Closed Case Election Results January 2023-April 2023
Region
Votes for Unions
Votes Against Unions
New York
2,695
718
Connecticut
3,896
199
New Jersey
56
63
Total
6,647
980
Source: National Labor Relations Board
Total Votes
3,413
4,095
119
7,627
Figure 4 shows the number of votes for and against unions in the tri-state area from January
2023 to April 2023. For example, New Jersey shows the lowest number of total votes.
Figure 4
NLRB Closed Case Election Results January 2023-April 2023
(Source: National Labor Relations Board)
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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Figure 5 shows the number of union wins and losses from 1988 to 2022. For example, the
figure shows a noticeable increase in unionization from 1988 to 2022 and the most significant
one-year increase in union wins to losses from 2021 to 2022.
Figure 5
NLRB Election Results by Union Win and Union Losses 1988-2022
(Source: Bloomberg Law)
Winning Percentage
Figure 6 shows the winning percentage of unions in the New York, Connecticut, and New
Jersey regions from January 2023 to April 2023. For example, Connecticut had a win percentage
of 95%.
Figure 6
NLRB Closed Case Winning Percentage January 2023 to April 2023
�EMPATHETIC MANAGEMNT ON UNIONIZATION
33
(Source: National Labor Relations Board)
Figure 7 shows the percentage of union wins and losses from 1988 to 2022. For example, in
2022, the figure shows that union wins exhibited 80% of eligible workers organized, and unions
won 76% of NLRB elections.
Figure 7
Percentage of Labor Success in NLRB Elections 1988-2022
(Source: Bloomberg Law)
�EMPATHETIC MANAGEMNT ON UNIONIZATION
34
Discussion
The hypothesis analyzed the level of empathy of managers or companies. The hypothesis
examines how empathetic management, or lack thereof, relates to employees forming a union.
The first variable in this thesis, empathetic management, was evaluated through empathic
accuracy across high and low-power conditions in the workplace. The results in Table 3 indicate
that compassionate managers exhibit higher empathic accuracy than neutral managers. While
empathic accuracy in lower power conditions does not show a significant difference between
compassion and neutral conditions, the data displays that managers in the compassion condition
exhibit higher empathic accuracy than managers in the neutral condition. This data supports the
hypothesis as a -2.36 mean of participants in the compassion condition compared to a -2.73 mean
of those in the neutral condition, a 0.37 difference, have exhibited higher empathic accuracy.
With a -2.73 and -2.60 mean in the neutral condition, the hypothesis remains that managers
lacking empathy will lead employees to form a union. It is important to note that a less negative
value represents a higher empathic accuracy.
Additionally, Table 4 shows the mean and standard deviation between ethical and
transformational leadership from individual and group levels. The data suggest that ethical
leadership is related to empathic concern or courtesy with r = .20. This supports the hypothesis
that managers or companies with empathic concern, or lack thereof, will affect employees to
form an organized labor movement. Empathic concern is an enhancer of ethical leadership about
courtesy. This supports the idea that employees react to managers and companies better when
empathic concern and ethical leadership are present. With r =.20, this supports the hypothesis
that managers or companies who are ethical leaders and share empathic concerns with employees
will allow their workers to feel valued and understood.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
35
Figure 1 represents the association between prosocial orientation and power with an
individual’s career satisfaction through empathic accuracy. In the model, empathic accuracy
mediates the relationship between prosocial orientation and career satisfaction. The direction of
the model displays that the relationship's strength depends on power. This relationship grows
more positive as empathic accuracy or compassion increases, depicting that empathy increases
job satisfaction and will not lead employees to form a union. This qualitative data supports the
idea that managers or companies with empathy will make employees feel satisfied and will not
likely form a union.
The second variable, union elections, consider the number of elections and the winning
percentage. Figure 2 reveals that the data of public sector companies, such as Amazon,
Starbucks, and Google, are increasingly rising from 2019 to 2020. Many employees felt
abandoned during 2020 because of the workplace pandemic by management. This data supports
the hypothesis because managers lacked empathy or left their employees, leading employees to
form labor unions.
The data in Figure 3 reveals that the percentage of labor unions is higher in the states of the
subjects examined in the thesis. States such as New York, Connecticut, and New Jersey are some
of the states that contain the most labor unions. This data supports the hypothesis because the
treatment of employees and lack of empathy has caused 15 to 20 plus percent of labor
unionization in the states where the employees campaign the most against the subjects studied in
this thesis. With the Northeast having the most labor unions, the relationship between states and
labor unions also depicts the public political view of employment labor laws across the United
States.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
36
Table 5 reveals that the number of votes for unions is higher than the number of votes against
unions when comparing closed-case election results in the tri-state area. The breakdown of
regions for the number of union votes demonstrates a large gap between those who vote for
unions and those who vote against unions. Approximately 87.15% voted in favor of unions,
compared to 12.15% who voted against unions. With 7,627 total employees voting in a union
election, 6,647 voting in favor is significantly high. With only 980 out of 7,627 votes being
against a labor union, this supports the idea that managers who lack empathy will cause
employees to form a union.
Figure 4 reveals that the number of votes in favor of unions is significantly higher when
comparing the number of votes against unions. The data expresses that across the tri-state area, a
higher number of votes are in favor of unions than votes against unions. This difference was the
most significant in the state of Connecticut. Specifically, 95.14% of votes compared to 4.86%, a
90.28% difference between votes in favor versus against, have voted in favor of union formation
in recent closed-case union elections. The hypothesis remains consistent: Managers or companies
who lack empathy will lead employees to form a union.
The results in Figure 5 indicate that union wins are more likely to increase over the coming
years than union losses. While the total number of National Labor Relations Board elections has
decreased since 1990, the data display that over the years, a higher number of union wins,
compared to losses, have accounted for the total number of NLRB elections. Precisely, in 2021,
approximately 760 wins compared to about 2,000 wins in 2022, a 1,240 difference. This is the
most significant increase in union representation in the last five years. The trend of increasing
union representation in the previous five years keeps the hypothesis consistent that groups of
�EMPATHETIC MANAGEMNT ON UNIONIZATION
37
employees are forming unions. A 1,240 difference in union wins over one year supports the idea
that managers who abandon or lack empathy for their employees will lead to union formation.
Figure 6 represents that the formation of unions has high success rates in the tri-state area.
The data expresses that a high winning percentage was held between each region. While New
Jersey has a lower win percentage than the other regions, the figure displays that recent National
Labor Relations Board closed-case elections have high win percentages. Specifically,
approximately 95% of Connecticut NLRB elections and about 79% of New York National Labor
Relations Board elections have won the total number of elections in their respective regions. This
data portion exemplifies that the number of employee unions is growing and supports the
hypothesis that a lack of empathetic management will lead employees to form unions.
The results in Figure 7 indicate the percentage of National Labor Relations Board elections
won by unions compared to the percentage of eligible workers organized from 1988 and ending
in 2021. In that period, there is a clear trend of the percentage of elections won by unions
increasing compared to the percentage of eligible workers organized. The data expresses that the
percentage of eligible workers organized and the percentage of elections won by unions have
been higher in recent years, specifically in the past five years. This union organizing
performance grows to reach new heights as time progresses, supporting the hypothesis that
current Fortune 500 managers or companies who lack empathy will lead employees to form a
union.
Conclusions
General Conclusions
The report has explained the relationship between empathetic management and employees
forming a union. The research has proposed that managers or companies who lack empathy will
�EMPATHETIC MANAGEMNT ON UNIONIZATION
38
lead employees to form a union. This study has identified the mistreatment of employees in
Fortune 500 companies, including unsafe working conditions, sexual harassment, and unfair pay.
The managers within Fortune 500 companies need more empathy when understanding their
employees' needs and want surrounding employment terms and conditions. Labor unions have
been on an upward tick in companies since 2020. Therefore, managers or companies lacking
empathy will lead employees to form a union.
Implications for Practice
Fortune 500 companies need to be more conscious of how they treat their employees and
what their employees expect from the company. The company needs to prioritize implementing
empathetic management into their company’s culture. The thesis states that empathetic
management mediates prosocial orientation and employee career satisfaction. Recruiters for
Fortune 500 companies should be more aware of empathy when hiring new individuals to create
an inclusive and transparent organizational culture. Furthermore, companies should train their
management team in empathetic management to increase awareness of employee values and
strategies to determine each ideal.
Implications for Research
Researchers should analyze the various negotiation styles of managers and companies to
determine which is the most or least effective in bargaining with employees during union
elections. With labor unions on a steady uptick, companies have begun acknowledging the
importance of employee voices and labor movements. However, there is still evident progress
that needs to be made regarding how managers treat their employees in the workplace based on
the research conducted in this paper. Therefore, further analyzing the negotiation approach
managers and companies utilize when bargaining with group of employees, such as a cooperator
�EMPATHETIC MANAGEMNT ON UNIONIZATION
39
style, will be beneficial in addressing the number of union elections. Specifically, implementing
empathetic management in the workplace they are highlighted in this paper.
�EMPATHETIC MANAGEMNT ON UNIONIZATION
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�
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Types of Methods Forensic Accountants Should Use to Detect Financial Misconduct
Jordyn Price
Department of Business Administration, Wagner College
BU 400: Senior Thesis and Practicum
Dr. Shani Carter
May 8, 2023
Name- Jordyn Price
Major- Business Administration with a concentration in Accounting
Home Address- 8 Plumstead Road, Sewell, New Jersey 08080
Phone- (856) 723-2608
jordyn.price@wagner.edu
�Abstract
Fraud has been an ongoing issue in the world. Fraud involves the deceit with intention to
gain at the expense of another, illegally or unethically. Over the past 20 years, the government
has implemented new laws to protect people from the deceit of others. New systems have been
implemented in a company’s internal controls to detect fraudulent activities committed by
employees. Internal controls help minimize fraud risk in any business. Forensic accountants are a
necessary tool to locate or identify potential fraud. Forensic accountants may determine whether
fraud has been committed and what pressures led to the action. The importance of forensic
accounting has been growing rapidly.
Introduction
Fraud is a global issue that affects organizations in every region and every industry.
According to PwC’s just-launched Global Economic Crime and Fraud Survey report, more than
70% of businesses have experienced fraud in the past two years. Fraud greatly affects the
economy with U.S. organizations losing approximately 7 percent of their revenues to fraud,
according to the Association of Certified Fraud Examiners 2008 Report to the Nation on
Occupational Fraud and Abuse. Fraud could lead to the collapse of organizations and economic
downfall. The global average rate of losses derived from fraud for the last two decades represents
6.05% of gross domestic product (GDP). Losses due to fraud in any company are estimated to
account for 3% to 10% (Ahmad et al., 2021).
The demand for forensic accountants has been increasing over the past several years with the
increase in fraud rates. In this paper, I will discuss the different techniques forensic accountants
�may use in detecting fraud. These techniques have changed over time with the recent
implementation of data analytics to discover fraud. With technological advances, detecting
fraudulent activities has become easier. Along with the implementation of standards and rules
that companies must follow, it is much more difficult to get away with such activities. I will be
discussing famous cases of fraud involving Enron Corporation, WorldCom, Inc., Bernard L.
Madoff Investment Securities LLC, and Al Capone and the various techniques that were used to
discover the fraud each has committed.
According to United Nations Sustainable Development Goals, the goal of decent work
and economic growth is to promote inclusive and sustainable economic growth, employment,
and decent work for all. Fraudulent activities affect economic growth due to extensive losses in
companies and economies. To prevent the effect of fraud on economic growth, standards, and
laws are needed to prevent companies from committing such acts. Companies need to implement
more protection services that stop fraud from occurring.
Literature Review
The Fraud Triangle
The fraud triangle outlines why people commit fraud (Afriyie et al., 2022). The elements of
the fraud triangle include pressure, opportunity, and rationalization (Azam, 2018). These three
factors must be present for an offense to occur and is a helpful tool for forensic accountants and
auditors to discover the motive of offenders in committing fraud (Puspasari, 2016). These
elements are described in the American Institute of Certified Public Accountants and
international auditing standards (Lederman, 2021).
Pressure
�Pressure is one motive behind unethical behavior. The biggest factor contributing to fraud is
increased financial pressure. In 2012, 61% of fraud is believed to be because of increased
financial pressure (ACFE, 2012). The pressure aspect of the triangle refers to the built-up stress
that causes the need to commit fraud. The need to live up to certain standards provides some
incentive to commit fraud (Azam, 2018). These incentives could include debt, a luxurious
lifestyle, dependence on drugs, and many others (Puspasari, 2016). The pressure could be either
financial or non-financial. This could be personal needs, social needs, and economic needs.
Everyone who commits fraud has faced some pressure to commit the behavior (Ozili, 2015). The
pressure tends to be perceived pressure, meaning the pressure is not real, but the offender
believes that there is pressure.
Opportunity
Opportunity in the fraud triangle refers to the circumstances that allow fraud to occur (Ozili,
2015). Examples that provide opportunities for fraud to be committed include weak internal
controls and inadequate accounting policies (Azam, 2018). Perpetrators will take advantage of
these weaknesses in a company which provides them the opportunity to commit fraudulent
actions (Ozili, 2015). These weaknesses allow the manipulation of a company such as
manipulating numbers. Increased opportunity tends to be the second reason out of the fraud
triangle to commit fraud (ACFE, 2012). In 2012, 24% of fraud is believed to be due to an
increased opportunity (ACFE, 2012). The opportunity to commit fraud could be eliminated
through the process, procedures, control, and early detection efforts against fraud (Puspasari,
2016).
Rationalization
�The rationalization aspect of the fraud triangle refers to an individual’s justification for
committing fraud (Ozili, 2015). This part involves the excuses people use on why they
committed the crime. Under this factor, the ones committing the action believe that the behavior
is somehow acceptable (Lederman, 2021). To commit fraud, one must justify their actions as
being something other than criminal (Azam, 2018.) The one committing fraud uses excuses to
explain why their fraud is not a crime. Rationalization is the lowest cause of the fraud triangle of
fraud (ACFE, 2012). In 2012, 10% of fraud was believed to be due to increased rationalization
(ACFE, 2012).
Types of Fraud
Fraud has become an increasingly frequent issue in the world (Jofre & Gerlach, 2018). These
offenses are carefully planned and concealed. Fraud is considered deception intended to result in
financial or personal gain (Ozili, 2015). The illegal act benefits the one who committed the act
and harms others involved. It could involve the alteration or manipulation of material financial
records, the intentional misstatements or misrepresentation of events, transactions, or accounts,
the deliberate misapplication and misinterpretation of accounting standards, the intentional
omissions and disclosures, the use of aggressive accounting techniques, and the manipulation of
accounting practices (Ozili, 2015). According to Occupational Fraud 2022, 86% of fraud cases
are asset misappropriation and 9% are financial statement fraud (Lin et al., 2022).
Misappropriation of assets takes place within the workplace. It happens when someone steals
money from the business (Nia & Said, 2015). The one committing the fraud uses their position to
commit this type of fraud. Usually, it is done by someone who works with the company’s assets
and who is trusted to manage them (Nia & Said, 2015).
�Financial statement fraud involves the deliberate misrepresentation of a company’s financial
statements. Financial statements are used to deceive others by increasing or decreasing certain
accounts (Ozili, 2015). Changing certain account numbers can make the company look better by
improving the company’s financial position. The most common type of financial statement fraud
is the manipulation of sales. An example scandal of this is Enron. Manipulation of expenses is
another type of financial statement fraud. The WorldCom scandal involves this side of financial
statement fraud (Ozili, 2015).
Utilitarianism
Utilitarianism is an ethical theory that determines right from wrong based on the outcome and
the most ethical choice is the one with the greatest outcome (MacAskill et. Al, 2023).
Utilitarianism states that ethical actions maximize the overall good of society and the main belief
of utilitarians is that the purpose of morality is to improve life by increasing the good and
decreasing the bad (Nathanson, 2014).
Jeremy Bentham is the father of utilitarianism (MacAskill et. Al, 2023). He argued that
actions should be judged as right or wrong based on the effect of the action, whether it increases
or decreases the overall well-being of an individual (MacAskill et. Al, 2023). If the
consequences of the action are good, then the action is considered moral. If the consequences of
the action are bad, then the action is deemed immoral. We as humans desire what is pleasurable
and avoid what is painful (D’Olimpio, 2019).
Utilitarianism is closely associated with consequentialism. The theory of utilitarianism is a
form of consequentialism (Schefczyk, 2019) which is a theory that determines whether
something is good or bad depending on its outcomes. The difference between these two theories
�is that consequentialists care about consequences overall while utilitarians care about
consequences concerning well-being or happiness (Nathanson, 2014).
Another theory utilitarianism is closely associated with is hedonism (MacAskill et. Al, 2023).
Hedonism states that the only good thing is pleasure or happiness. Utilitarianism and hedonism
are both theories that want to maximize the good. In utilitarianism, the desired outcome is the
overall good of society. In hedonism, the desired outcome is pleasure or happiness (Nathanson,
2014).
Since utilitarians believe an action is good or bad based on the outcome, then the action of
fraud could be deemed morally right depending on its consequences (MacAskill et. Al, 2023). If
the outcome of the fraud that has been committed results in negative consequences, then the
action would be deemed morally wrong (Nathanson, 2014). For utilitarians, fraud is neither bad
nor good. What makes it good or bad is based on the consequences it produces.
Utilitarianism is broken down into two parts: act utilitarianism and rule utilitarianism
(Nathanson, 2014). In both concepts, the goal in evaluating actions is to create the best results
possible.
Act Utilitarianism
Act utilitarians focus on the effects of individual actions (Nathanson, 2014). This type of
utilitarianism argues that the utilitarian principle should apply to individual acts and not classes
of similar actions (Nathanson, 2014). Act utilitarianism states that to get the most utility out of an
action, you must maximize the utility of each individual action instead of grouping actions
(Nathanson, 2014). You cannot group different actions as a whole because each individual action
has different effects and consequences. You must determine if an action is right or wrong based
on the individual effects and consequences not the effects of a group of actions’ consequences
�(Nathanson, 2014). Act utilitarianism understands that rules may be useful in certain cases, but
act utilitarians believe that if better comes out of violating a rule, then you should go against the
rule (Nathanson, 2014). The morality of an action is based on how it affects the world. An ideal
action produces the most net happiness for people.
Rule Utilitarianism
Rule utilitarians focus on the effects of types of actions (Nathanson, 2014). To maximize
utility, there must be a set of moral codes that contain rules. The best outcomes from an action
will come from following a set of rules (Nathanson, 2014). Rule utilitarians judge actions on
whether they conform to the rules or not. There must be a set of rules to get the most beneficial
results and the best overall good for society (Nathanson, 2014). We should follow whatever
moral rules will have the best overall impact. How these rules are determined is based on
whether the existence of the rule increases the greater good of other rules or no rules (Tardi,
2022). Rule utilitarianism is based on reoccurring issues that are present in the world. According
to this type of utilitarianism, rules are a necessity to deal with certain issues that are reoccurring.
Role of Forensic Accountants vs Auditors
Forensic accounting and auditing are closely related fields as both deal with audits. Although
similar, these two fields have different purposes.
Forensic Accountants
Forensic accountants are necessary to detect fraud and are useful in identifying fraudulent
offenses by analyzing financial data and looking for the evidence of a crime.
�Forensic accountants must use different types of skills and knowledge to find fraud (Half,
2021). These include accounting knowledge, auditing knowledge, and analytical skills. They
must understand why one may commit these crimes and figure out how they did it.
Forensic accounting has been created as a new tool for fraud prevention and detection (Azam,
2018). They are essential to the legal system as they provide their expert services in fraudulent
crimes (Curtis, 2008). Forensic accounting involves understanding, identifying, detecting, and
communicating fraud patterns to help in investigative processes (Ozili,2015).
Auditors
Compared to forensic accountants, an auditor’s job is to review and verify the accuracy of
financial records and ensure that companies comply with tax laws (Waddell, 2022). In the
auditing process, auditors may discover discrepancies in the accounting methods. Auditors must
follow the standards of generally accepted accounting principles (GAAP) to assess financial
operations and ensure that a company is running efficiently (Waddell, 2022). The financial
records that auditors follow is an audit trail which is any accounting records or other financial
data that are tracked or traced in a company (Waddell, 2022). The SEC requires the financial
records of all public companies to be examined by external, independent auditors (Waddell,
2022). These records must follow the official auditing procedures which were established by the
International Auditing and Assurance Standards Board (IAASB).
Differences between forensic accountants and auditors
The main difference between forensic accountants and auditors is that forensic accountants
have a specific purpose of uncovering fraud. Whereas auditors are meant to determine if a
company’s financial statements are accurate and comply with laws (Waddell, 2022). Forensic
accountants have additional expertise in uncovering and documenting fraud (Ozili,2015). These
�types of accountants must also obtain criminal and civil skills and knowledge. Forensic
accountants must be knowledgeable in gathering evidence of fraud, interviewing, and testifying
as expert witnesses if needed (Ozili,2015).
Investigative Techniques
To detect any type of fraud, forensic accountants must obtain certain investigative techniques
(Oyedokun, 2016). Forensic accountants must obtain general knowledge in the accounting field
as well as a CPA certification. When dealing with criminal behaviors such as fraud, forensic
accountants must also be skilled in other various investigative techniques such as auditing,
analyzing financial statements, data analytics, and interviewing (Oyedokun, 2016). They must
also be detail-oriented, and obtain communication skills, and problem-solving skills. Forensic
accountants work within the legal field so they must obtain knowledge of criminal law
(Oyedokun, 2016).
Auditing
As mentioned before, the auditing field in accounting is very similar to the forensic
accounting field (Waddell, 2022). Auditing ensures that companies are following the standards
and laws that were put in place to keep companies' financial records accurate and fair (Akman et
al., 2020). Auditing is completed by a certified auditor who ensures that the company’s financial
statements are correct. They must obtain reasonable assurance about whether the financial
statements are free of material misstatements which are inaccuracies and fraudulent activities
(Akman et al., 2020). Auditors may detect fraud early while completing their timely audit.
External audit vs forensic audit
An external audit is a service that an auditor would perform. An external audit is focused on
the compliance and performance of a company and is performed by someone outside of the
�company (Akman et al., 2020). The SEC requires that all public companies have an external
audit prepared due to the Sarbanes-Oxley Act (Waddell, 2022). External auditors must evaluate
the internal controls and financial reporting of public companies in the United States and ensure
that the accounting records are accurate, complete, and prepared in accordance with GAAP
(Akman et al., 2020). These statements must be prepared and presented fairly with the
company’s financial position.
Compared to an external audit, a forensic audit is performed to examine a company’s
financial records to provide proof to be used for legal proceedings in court (Waddell, 2022). A
forensic audit is used to uncover criminal behavior and is performed by a forensic accountant for
the sole purpose of detecting fraud. To perform a forensic audit, the forensic accountant must
have knowledge of both accounting and auditing (Waddell, 2022). These audits are used to
prosecute a party for fraud, embezzlement, or any other financial crimes. At the end of the
investigation, the evidence found in a forensic audit could potentially be used in court.
Generally Accepted Accounting Principles (GAAP)
GAAP is a set of accounting rules, requirements, and practices issued by the Financial
Accounting Standards Board (FASB) and the Governmental Accounting Standards Board
(GASB) (OJP.gov). Following GAAP ensures companies' financial information is consistent and
accurately reported (Curtis, 2008). GAAP is the standard that has been adopted by the U.S.
Securities and Exchange Commission and is required to be used in auditing practices (Curtis,
2008).
Sarbanes-Oxley Act (SOX)
The Sarbanes-Oxley Act is a federal act that was passed in 2002 to improve auditing and
public disclosure in response to several accounting scandals (Curtis, 2008). The scandals that
�brought out the creation of SOX were WorldCom and Enron. Due to these scandals, the U.S.
Congress decided to implement this act to help protect investors from fraudulent financial
reporting by companies (Curtis, 2008). SOX has created new rules for accountants, auditors, and
corporate officers and has imposed more rigorous recordkeeping requirements. SOX has been
created to decrease the occurrence of fraudulent activities within a company (Curtis, 2008).
Analysis of financial statements
Fraud detection could occur while analyzing financial statements. Forensic accountants must
analyze the financial statements of companies to uncover any fraud or financial crimes (Ozili,
2015). This process may help assess whether financial statements reflect a company’s true
performance and position and if it does not, fraud has most likely occurred (Akman et al., 2020).
Analyzing financial statements may expose fraudulent financial reporting or the
misappropriation of assets which are two of the main types of fraud companies may commit
(Ozili, 2015). Fraudulent financial reporting is used to show that a company’s financial
performance is better than it is while asset misappropriation occurs when someone steals from
the company. Asset misappropriation is one of the most prevalent forms of fraud (Ozili, 2015).
Interviewing
Most investigations whether it involves fraud or other criminal acts, always use interviewing
to get to the bottom of the crime (Bobițan & Dumitrescu, 2015). Interviewing is a very useful
source of knowledge that forensic accountants must gain to be able to conduct interviews with
different people involved in a case. Interviews could help forensic accountants obtain
information and knowledge that could identify key issues in an investigation (Bobițan &
Dumitrescu, 2015). The interviewing process is a critical part of a forensic investigation as it can
�assist in answering basic questions and uncovering important information about a case (Bobițan
& Dumitrescu, 2015).
To perform an effective interview, forensic accountants must follow several steps. First, the
location of the interview must be in a private and comfortable area (Bobițan & Dumitrescu,
2015). Forensic accountants must want the interviewee to be comfortable to create an
atmosphere where the interviewee will talk. The interviewer must also be respectful, peaceful,
and straightforward (Bobițan & Dumitrescu, 2015). Before any interview, the forensic
accountant must create a plan and develop an overall strategy to ensure that the interview occurs
effectively. The most important type of interview questions the forensic accountant should
involve introductory questions, informational questions, open questions, and closed questions
(Bobițan & Dumitrescu, 2015). The purpose of a forensic accountant conducting an interview is
to obtain any background information about the subject of the investigation (Bobițan &
Dumitrescu, 2015).
Data Analytics
With the increase in technology over the past decade, data analytics has been implemented in
a variety of fields including accounting (Waddell, 2022). Data analytics involves analyzing data
to come to an overall understanding and conclusion. In the forensic accounting field, data
analytics may be used in uncovering fraud in financial data (Oyedokun, 2016). The goal of using
data analytics in detecting potential fraud is by spotting any anomalies or deviations from
“normal” behavior patterns (Rezaee, 2018. Data analytics in forensics combines advanced
analytics with forensic accounting and investigative techniques to identify potential anomalies
(Oyedokun, 2016). Organizations that use a form of data analytics in their systems can reduce
their fraud losses by an average of 54% and detect scams in half the time, according to the
�Association of Certified Fraud Examiners’ Report to the Nations (MCMCPA, 2022). As data
analytics has advanced, it is now possible to examine large amounts of data to uncover patterns,
relationships, correlations, and anomalies in a shorter amount of time (Rezaee, 2018). Data
analytics is beneficial in cutting down the time to uncover fraud compared to using conventional
methods where it may be impossible to find what data analytics can (Waddell, 2022). Various
forms of data analytics have been implemented in the forensic accounting field such as different
types of machine learning modeling, text analytics, and network mapping and analytics (Rezaee,
2018.
Benford’s Law
Benford’s Law is a popular form of data analytics in the forensic accounting field that can test
for fraudulent activities (Gorenc, 2020). This law describes the relative frequency distribution for
leading digits of numbers in datasets. Benford’s law says that the likelihood of digit occurrence
in different places in a number decreases logarithmically as the digit value increases (Gorenc,
2020). It is a method of determining whether investigated financial statements contain
unintentional errors or fraud. Counterfeit numbers have a slightly different pattern than valid or
random samples (Gorenc, 2020). When committing fraud, people most likely choose random
numbers in a uniform pattern (Gorenc, 2020). Auditors have successfully applied this law in their
work.
Hypotheses
H1: Forensic accountants must use data analytics to discover any fraudulent activities.
H2: Investigative techniques are necessary for a forensic accountant to discover fraudulent
activities.
Method
�Subjects
The companies and people that I will be using in my study are Enron Corporation,
WorldCom, Inc., Bernard L. Madoff Investment Securities LLC, and Al Capone. I chose these
companies and people to use in my research because they are popular cases involving accounting
fraud. Each scandal was discovered by either auditors or forensic accountants. I will be
researching those involved in these scandals and how these scandals were detected. I will
research the consistent techniques used to discover the fraudulent activities in each scandal.
Enron Corporation
Enron Corporation was an American energy, commodities, and services company
founded by Kenneth Lay. Their revenue was about $100.8 billion. Enron filed for bankruptcy in
2001 and ceased operations in 2007. Before the bankruptcy, Enron employed approximately
20,600 staff. Enron’s scandal involved using special purpose entities to hide debt off its balance
sheet and mark-to-market accounting to overstate revenue.
WorldCom
WorldCom was a telecommunications company. Their revenue was $20.6 billion in 2005.
WorldCom was in financial trouble and used unethical accounting techniques to hide their losses.
Doing this inflated their profits. WorldCom reduced its operating expenses by improperly
releasing certain reserves held against operating expenses. They also improperly reduced its
operating expenses by recharacterizing certain expenses as capital assets (SEC). They filed for
bankruptcy in 2002.
Bernard L. Madoff Investment Securities LLC
The Madoff investment scandal was a major case of stock and securities fraud discovered
in late 2008. Bernie Madoff was an American financier who was involved in the largest Ponzi
�scheme in history. He paid returns on investments from the capital derived from new investors.
Bernie Madoff was convicted of securities fraud, mail fraud, wire fraud, money laundering,
falsified statements, and tax evasion. He was sentenced to 150 years in federal prison.
Al Capone
Al Capone was an American gangster and businessman. He was known for running a
multi-million-dollar Chicago operation in gambling, bootlegging, and prostitution in the 1920s.
He was convicted of five counts of income tax evasion in 1931 and was sentenced to 11 years in
federal prison. Al Capone was caught by forensic accountant Frank J. Wilson.
Measures
The variables I will measure include the data analytics, fraud, and investigative techniques
present in each case.
Variable 1: Data Analytics
I will research the existence of data analytics in each case. This will include using technology
in analyzing large sets of data to discover any fraudulent activities. I will research whether this
technique was used in the detection of fraud in each case.
Variable 2: Fraud
I will research the different types of fraud that were committed in each case and see if there
are certain techniques used for the different types of fraud.
Variable 3: Investigative Techniques
�I will research other investigative techniques that forensic accountants would use to detect
fraudulent activities. These techniques include auditing, analyzing financial statements, and
interviewing. I will discover if there are any consistent techniques that are used to detect fraud.
Table 1: Hypothesis, Variables, and Statistical Analysis
Variables
Hypothesis
H1: Forensic
accountants must use
data analytics to
discover any
fraudulent activities.
H2: Investigative
techniques are
necessary for a
forensic accountant to
discover fraudulent
activities.
Data
analytics
(DA)
Fraud
(F)
DA
F
F
Hypotheses & Variable
Relationships
Statistical Tests
DA=F
correlation
IT=F
correlation
Investigative
techniques
(IT)
IT
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage Publications, Inc.
page 138.
Procedure
The procedures I used to find my data was Business Source Premier in the Wagner
College database. Using this, I was able to find many articles about each of the scandals I plan on
using. I was able to find the background of these scandals in this database.
I also looked into the SEC homepage to find information about each scandal. Here, I was
able to find reports of the investigations of the different scandals. While researching the role of
forensic accountants in these scandals, I was able to find sources from govinfo.gov. This is
�where government information is stored. I was able to find more details about the cases under
this website. I also looked at articles that were released around the time the scandals came out. I
was able to gather information about the process involved in the scandals.
The statistical procedures I will use to analyze my data is read over the information about
each case. I will analyze the investigation process of each case and determine if there are any
consistent investigative techniques used. I will take notes on each case of how the scandals were
brought about and determine if my theory is true or not. I will determine if data analytics and
different investigative techniques are used in detecting fraudulent activities.
Table 2: Detail About Variables
Variables
Data Analytics
Fraud
Data
Investigative Techniques
Analysis of
Auditing
Interviewing
financial statements
Instrument /
Survey
Enron
WorldCom
Bernie Madoff
Al Capone
Enron
WorldCom
Bernie Madoff
Al Capone
Enron
WorldCom
Bernie Madoff
Al Capone
Author / Publisher
U.S. Securities and
Exchange
Commission
Federal Bureau of
Investigation
U.S. Securities and
Exchange
Commission
Federal Bureau of
Investigation
U.S. Securities and
Exchange
Commission
Federal Bureau
of Investigation
Type of data
Qualitative
Qualitative
Qualitative
Range of scores
N/A
N/A
N/A
Adapted from: Rudestam, K.E. & Newton, R.R. (1992). Surviving Your Dissertation. Newbury Park, California: Sage
Publications, Inc. page 140.
Results
Variable 1: Data Analytics
Table 3 contains that data on Benford’s Law. The table shows the probability that percentage
of time digits 1 through 9 are expected to occur in the first position. Benford’s Law maintains
�that the numeral 1 will be the leading digit in a genuine data set of numbers 30.1% of the time,
the numeral 2 will be the leading digit 17.6% of the time, and so on.
Table 3
Benford's Law
First Digit
Probability
1
2
3
4
5
6
7
8
9
Total
30.1%
17.6%
12.5%
9.7%
7.9%
6.7%
5.8%
5.1%
4.6%
100%
Source: Journal of Accountancy
Figure 1 contains that data on Benford’s Law. The chart shows the probability that
percentage of time digits 1 through 9 are expected to occur in the first position. Benford’s Law
maintains that the numeral 1 will be the leading digit in a genuine data set of numbers 30.1% of
the time, the numeral 2 will be the leading digit 17.6% of the time, and so on.
�Figure 1: Benford’s Law
Source: Journal of Accountancy
Variable 2: Fraud
Table 4 contains data on the percentage of different types frauds committed in 2021. Mail
or wire fraud and fraud involving false statements being the top two most common types of
fraud.
Table 4
Types of Fraud Offenses in 2021
Type of Fraud
Percent of Offenses in 2021
Mail or Wire
45%
False Statements
30%
Bank Fraud
10%
Healthcare
10%
Other
5%
Source: United States Sentencing Commission (2022)
�Figure 2 contains data on the percentage of different frauds committed in 2021. Mail or
wire fraud and falsified statements being the top two most common types of fraud.
Table 5 contains data on the types of fraud Enron Corporation, WorldCom, Inc., Bernard
L. Madoff Investment Securities LLC, and Al Capone committed.
Table 5
Types of Fraud Committed by Bernie Madoff, Enron, Al Capone, and WorldCom
Scandal
Bernie
Madoff
Securities Mail
Fraud
Fraud
X
X
Wire
Fraud Money Laundering
Tax
Fraudulent Financial
Evasion Reporting
X
X
X
Enron
X
X
X
Al Capone
X
X
X
X
X
WorldCom X
X
Sources: U.S. Securities and Exchange Commission (2010), Federal Bureau of Investigation
(2005)
Figure 3: Types of Fraud Committed by Bernie Madoff, Enron, Al Capone,
and WorldCom
Figure 2: Types of Fraud Offenses in 2021
Source: United States Sentencing Commission (2022)
Source: United States Sentencing Commission (2022)
�Figure 3 contains data on the types of fraud Enron Corporation, WorldCom, Inc., Bernard
L. Madoff Investment Securities LLC, and Al Capone committed.
Variable 3: Investigative Techniques
Table 6 contains data on the types of investigative techniques used during the
investigations of Enron Corporation, WorldCom, Inc., Bernard L. Madoff Investment Securities
LLC, and Al Capone committed.
Table 6
Investigative Techniques Used During the Investigations
Scandal
Data Analytics Interviewing Auditing
Bernie Madoff
X
X
Enron
X
X
Al Capone
X
WorldCom
X
X
Analysis of Financial Statements
X
X
X
X
Sources: Securities and Exchange Commission, Federal Bureau of Investigation, The Business
Journals
�Figure 4 consists of the different types of fraud detection techniques that forensic
accountants may use. These techniques include various statistical data analysis techniques and
various artificial intelligence techniques.
Discussion
H1:
Figure 4: Types of Fraud Detection Techniques
Source: Dorrell & Gadawski, (2012).
Forensic accountants must use data analytics to discover any fraudulent activities.
�My hypothesis states that to discover any fraud, forensic accountants must use data analytics.
I examined this by analyzing 4 different cases of fraud. I found that in these 4 cases, data
analytics was not a necessary technique for discovering the fraud. Only one case used data
analytics. This is shown in Table 6. This may be due to the cases I analyzed taking place either in
the 1900s or the early 2000s. With the lack of technology, data analytics may not have been
popular around the time that these investigations were going on. Researching data analytics in
today’s age, I found Benford’s Law. Forensic accountants use this type of data analytics to
investigate financial statements. This is shown in Figure 1 and Table 3. These show the
probability that digits 1-9 are expected to occur in the first position. The purpose of Benford’s
Law in forensic accounting is to discover anomalies in data. Forensic accountants work with
large amounts of data in investigations, making data analytics a helpful tool for discovering
fraudulent activities.
H2: Investigative techniques are necessary for a forensic accountant to discover fraudulent
activities.
The results from Table 6 show that different techniques were used in the discovery of fraud
in the Bernie Madoff case, the Enron case, the Al Capone case, and the WorldCom case. The
investigative techniques that were analyzed included interviewing, auditing, and the analysis of
financial statements. Table 6 shows that interviewing and analyzing financial statements was
used in 100% of the cases that were reviewed. Auditing was used in the Enron case and the
WorldCom case.
My hypothesis was also partially disproven. One of the techniques examined was auditing.
Further research revealed that forensic accountants do not perform internal audits. This is done
by auditors, not forensic accountants. Auditing is present in the Enron case and the WorldCom
�case. WorldCom and Enron were both exposed through an internal audit which was done by the
company’s internal auditors. Forensic accountants may perform a forensic audit which is not the
same as an internal audit. Forensic accountants are used to find any illegal financial activity.
Conclusion
General Conclusions
This study has shown how investigative techniques such auditing, analyzing financial
statements, and interviewing skills are necessary for a forensic accountant to uncover fraud. This
study has also disproven the need for data analytics since the cases of fraud that I decided to
study occurred before these technological advances. Data analytics is a newer tool that has been
implemented in the forensic accounting field to assist in discovering fraudulent misconducts.
Data analytics is an easier and faster way for forensic accountants to discover fraud. These
techniques are necessary as well as many other investigative skills when it comes to investigating
fraud.
Every case that was study in this paper relates to the fraud triangle and utilitarianism.
Everyone that was involved in each case had a motive behind what they were doing whether it
was opportunity, pressure, or rationalization. Each case also affected many people greatly and
affected the whole economy. The actions in these cases were deemed morally wrong because of
the negative consequences that came about.
Implications for Practice
People in the forensic accounting field should be aware of the evolving techniques that
could assist them in an investigation. Colleges and Universities should implement more courses
�relating to the forensic accounting field to help future forensic accountants develop the skills and
knowledge they will need. Many schools do not have such course and only teach this topic as a
unit in a different accounting course. Forensic accounting should be more available and
advertised to students who are pursuing a career in accounting.
Implications for Research
Researchers should analyze the various techniques that could be used to detect fraudulent
misconducts to determine which techniques are the most effective in this field. A more in-depth
study on what techniques and skills are the most effective when it comes to fraud detection
would help forensic accountants greatly in the future of this field. There has been an increase in
the different techniques that forensic accountants may use to detect fraud. Figuring out which
techniques are the fastest and most effective would help forensic accountants in a criminal
investigation.
References
Afriyie, Stephen Owusu, Akomeah, Michael Owusu, Amoakohene, Gertrude, Ampimah,
Benjamin Chris, Ocloo, Chosniel Elikem, Kyei, Michael Owusu, Forensic accounting: A
�novel paradigm and relevant knowledge in fraud detection and prevention. Taylor &
Francis (2022).
Akman, V., Acar, B., & Kızıl, C. (2020). Auditing Techniques to Avoid Cost Accounting
Frauds. EMAJ: Emerging Markets Journal, 10(1), 60–66, DOI: 10.5195/emaj.2020.210
Azam, M. R. (2018). Theory Application: Why People Commit Fraud. International Journal of
Management, Accounting & Economics, 5(1), 54–65.
Bobițan, N., & Dumitrescu, D. (2015). Interviewing - An Investigative Technique Used by
Forensic Accountants. Ovidius University Annals, Series Economic Sciences, 15(2),
380–384.
Cressman, C., Brown, A., & Abumere, F. A. (2019, December 9). Utilitarianism. Introduction to
Philosophy Ethics.
Curtis, G. E. (2008). Legal and Regulatory Environments and Ethics: Essential Components of a
Fraud and Forensic Accounting Curriculum. Issues in Accounting Education, 23(4),
535–543.
Gorenc, M. (2019). Benford’s Law as a Useful Tool to Determine Fraud in Financial Statements.
Management (18544223), 14(1), 19–31. https://doi.org/10.26493/1854-4231.14.19-31.
Jofre, Maria and Gerlach, Richard H., Fighting Accounting Fraud Through Forensic Data
Analytics (April 30, 2018).
MacAskill, W., Meissner, D., and Chappell, R.Y. (2023). Introduction to Utilitarianism. In R.Y.
Chappell, D. Meissner, and W. MacAskill (eds.), An Introduction to Utilitarianism.
Nathanson, S. (n.d.). Act and Rule Utilitarianism. Internet encyclopedia of philosophy.
Oyedokun, Godwin Emmanuel, Forensic Accounting Investigation Techniques: Any
rationalization? (2016).
�Ozili, Peterson K, Forensic Accounting and Fraud: A Review of Literature and Policy
Implications. (2015). International Journal of Accounting and Economics Studies, 3(1),
63-68.
Rezaee, Z., & Wang, J. (2019). Relevance of big data to forensic accounting practice and
education. Managerial Auditing Journal, 34(3), 268–288.
Waddell, C. (2022). Investigative and Diagnostic Tools for Covering Fraud: Insights from the
Forensic Accounting Field. International Journal of Accounting, Economics & Finance
Perspectives, 2(1), 85–97.
�
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Types of Methods Forensic Accountants Should Use to Detect Financial Misconduct
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The Almost Forgotten Feminism of the Italian Renaisance:
A Look at Poets, Playwrights, and Prostitutes
Ava LaGressa
HI490: Senior Thesis
Dr. Smith
December 14, 2022
�LaGressa 1
During the sixteenth-century, feminist ideas flourished. The main factor of this trend was
the Italian Renaissance. The Renaissance was an incubator for new ideas, as a result, society
became more open to different voices in art; and women’s voices entered the intellectual sphere.
The Renaissance opened a door for women to establish themselves in intellectual society.
Through this trend, women created and produced art through their wealth, creativity, and
individualization. Examples of these women include Veronica Franco, Moderata Fonte, and
Isabella Andreini. This paper will delve into feminist writing during the sixteenth-century and
investigate the notions of societal female equality shared by Renaissance women.
The term Renaissance Feminism has been defined in many ways by historians in the
field; one of the best interpretations of Renaissance Feminism looks at feminism through three
different lenses. The first form of Renaissance Feminism is “Explicit Feminism,” a critique of
male supremacy. Explicit feminists believed that a womens place in society did not correspond
with natural law. Explicit feminism explores the idea of female community and articulates the
woman’s desire to have a public voice and platform.1 The second form of Renaissance feminism
is “Celebratory Feminism,” which places an emphasis on female scholars and their status as
such. This feminism strengthened the thought that women could be seen as intelectuals.2 Finally,
“Particapatory Feminism,” notes that women who complete the same authorial work as men shall
be regarded as equal in matters of the mind. Whether or not the woman addresses this fact does
not change the reality, which is that she is equal. This type of feminism challenges judo-christian
misogyny.3 These models of the feminist argument provide clear definitions of what categories of
feminism existed during the sixteenth-century.
1
Sarah Gwyneth, Ross. The Birth of Feminism: Woman as Intellect in Renaissance Italy and
England. Harvard University Press (2009), 132.
2
Ross, Feminism,132.
3
Ross, Feminism,132.
�LaGressa 2
Renaissance feminism was born in the home, successful females benefited from their
families legitimacy. This domestic paradigm was a major contributor that made room for female
voices; specifically during a period of extreme male dominance in the fields of literary, artistic,
and musical exchange.4 Once female voices entered the sphere, their messages were spread and
eventually, critiques of literary misogyny and the patriarchal system began to follow. This led to
a more active call for female participation in male dominated fields. The continued praise of
female participation ultimately proved that the literary world was listening, which prompted a
growth of female literacy.5
It is important to note the role of patrons in the career of writers. All Renaissance writers
published work with the aid of their patron who would supply funds. This was true for not only
female writers, but male writers as well. But does this devalue the work of the authors?
The role of patrons does not devalue the work of authors. Yes, writers were given
opportunities because of their patrons. In the case of female writers, the patron may have been
their father or husband, in other cases, a sexual partner or mentor.6 This is true for all three of the
Renaissance women I will be studying: Veronica Franco, Isabella Andreini, and Moderata Fonte.
Veronica Franco entered the intellectual sector of society after meeting her patron and client
Domenico Venier.7 Moderata Fonte made a name for herself through the collective effort of her
grandfather Prospero Saraceni and family friend Niccolo Doglioni.8 Isabella Andreini
exemplified a new range of possibilities for literary women but was able to do so with the help of
4
Ross, Feminism, 133.
Ross, Feminism, 133.
6
Ross, Feminism, 133.
7
Margaret, T. Rosenthal. The Honest Courtesan: Veronica Franco, Citizen and Writer in
Sixteenth-Century Venice. University of Chicago Press (1993), 5.
8
Ross, Feminism, 195.
5
�LaGressa 3
her husband Francessco Andreini.9 Without their patrons, these women would not have been
heard during their time, and they may not have been discovered today. It is imperative to note
that all writers needed patrons to support their work, regardless of gender.
Women of the Renaissance should not have their work, effort, or status as feminists
diminished because they were supported by men.10 These women used men as a stepping stool of
opportunity, and the men believed in them. These feminist writers were feminist because of what
they wrote. Regardless of their male patrons, the work they produced were acts of feminism. And
men can also be feminist, these patrons serve as an example of that; otherwise, why would they
have supported womens work? The men had faith in their writers, they understood the value of
the writers work.
When an opportunity presented itself to spread a message of equality, these women were
not going to ignore it. And in every single case, the men were close relatives and friends of the
females. Therefore, the women were taking the chance they received to further their literary
careers. And within their work they were able to spread messages of equality. Their work
popularized ideas of female equality in education and politics, which in turn spread support for
the cause among willing readers. Readers who were educated in literacy were able to consume
this information, and possibly became inspired by it. If a feminist sentiment is spread in order to
create support, then the author must be a feminist.11
Female writers used the power of their pen to shed light on their unequal treatment in
everyday life. One of the main issues women faced was the perception of their intelligence by
men; which was often negative. The Pre-Renaissance Period looked different for both men and
9
Ross, Feminism, 212.
Ross, Feminism, 314
11
Ross, Feminism, 314.
10
�LaGressa 4
women when it came to education. Men were often educated and women were not. However,
elite class women proved to have more opportunities than lower class women when obtaining
education. In fact, they were more than able to attain an education which put them on an
intellectually equal level with men. Therefore, the education of women depended heavily on
their social status; and their status was contingent upon either their families or husbands wealth
and popularity.12
Social class was a large factor in the everyday lives of Italian citizens. Peasant women
worked with their husbands typically in farm work, later they would return home and take care
of their children and the household. If they were the wife or daughter of a middle-class merchant,
they would have assisted their husband within the business and taken care of their children and
home. Upper class Renaissance women had a better chance at receiving an education. Upper
class Renaissance women had two career choices; marriage or become a nun.13
One of the females studied in this paper chose neither of these options. Instead, she
became a courtesan; which was not necessarily a career option however, it was a role that existed
in society. A courtesan is a modern day prostitute. Courtesans would perform sexual favors on
men for money. Typically these men would be wealthy enough to pay for such acts. These
women were not necessarily highly respected for their work. They were especially not respected
by the church and by wives of men who spent nights with courtesans. This career was a way to
avoid a life of devotion to a man; the men being both God and a husband. It is important to note
however that most women who had the option of becoming courtesans were upper class women.
If they chose not to, they would likely be married off or sent to the nunnery.
12
Virginia, Cox. A Short History of the Italian Renaissance. London, I.B. Tauris, (2015), 167.
Virginia, Cox. A Short History of the Italian Renaissance. London, I.B. Tauris, (2015), 172.
13
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In the Renaissance Period, marriages were far from the idea of love. They explicitly dealt
with personal matters of family prosperity, loyalty, alliances, and civic institutional support.
marriages were a form of currency and diplomatic exchange. Marriages reflected order and
influence on society in each class; and only certain women could marry certain men within their
social class. Typically, the young woman would be a child below the age of 20 and the man
would be older around his 30s. The couple would be paired based on age in order to ensure the
virginity of the young lady; of course, the man’s virginity did not matter. A match would be
identified by a broker or influential family member who had connections to the groom’s family.14
But, before a woman could be married off she must present a dowry to her groom.
A dowry was a sum of value placed on a marriage. A dowry consisted of goods such as
clothing, jewelry, property, and money. And families who wished to elevate their status would
pay large dowries in order to marry their daughter off to a wealthy groom. Dowries were a
substantial investment and if a family could not pay one then their bride could not be married
off.15
Traditionally, one woman from a family would be able to marry; if she had sisters, they
would likely become nuns but this was not always the desired choice. One young woman per
family could reasonably be married off, otherwise it would be too expensive. Most, if not all
families would not be able to afford another marriage dowry. This is because the dowry
depended on the wealth of the bride’s family. If the family wished to gain mobility, they would
pay a large dowry to a groom of higher status. No woman would marry into a significantly less
wealthier family, the ultimate goal was to marry richer. The richer the suitor, the more expensive
the dowry would be. However, it is important to note that in order for a woman to become a nun,
14
Virginia, Cox. A Short History of the Italian Renaissance. London, I.B. Tauris, (2015), 178.
Virginia, Cox. A Short History of the Italian Renaissance. London, I.B. Tauris, (2015), 179.
15
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a dowry would also be paid. This dowry would be significantly less expensive than a marriage
dowry. Traditionally, socially upward families would use this strategy.16
Veronica Franco
Veronica Franco was the most famous Venetian courtesan in history. Franco’s family
could not afford a respectable marriage dowry and she refused to join the nunnery, therefore, she
became a courtesan. Franco born in 1546 Venice lived a very illustrious life as both a poet and
courtesan.17 Franco was born into a prestigious family with a venetian coat of arms; because of
her family’s nativeborn status they belonged to the professional caste that made up the
government bureaucracy in Venice. Her parents were Paola Fracassa and Francessco Franco.
Franco was the only daughter of her parents and was married to Paolo Panizza, although, not
soon after, she separated from him. Franco birthed six children from all different men with only
three children surviving beyond their infancy.18
Due to the circumstances Franco was born into, her intellectual life began at a young age.
She was very fortunate compared to the other women of the time. She shared her brothers
education by being present for their private tutor sessions.19 She continued her education in her
later life by attending literary gatherings of writers and painters. In the late 1560s Franco began
her life as the Cortigiana Onesta.20 She began to provide men with physical favors in exchange
for money; this is when her career as a poet flourished.
As a courtesan Franco captured the interest of Domenico Venier, head of the most
renowned literary academy in Venice.21 Venier was a well respected poet; and one of Franco’s
16
Virginia, Cox. A Short History of the Italian Renaissance. London, I.B. Tauris, (2015), 182.
Edited by Margaret F. Rosenthal and Ann Rosalind Jones. “Veronica Franco” in Poems and
Selected Letters. University of Chicago Press (1998), 2.
18
Rosenthal and Jones, Poems and Letters, 2.
19
Rosenthal and Jones, Poems and Letters, 4.
20
Rosenthal and Jones, Poems and Letters, 3. Translation: Honest Courtesan
21
Rosenthal and Jones, Poems and Letters, 7.
17
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clients. Franco often visited him at his private library. Venire would later become Franco’s
reader, protector, and patron; after which, her work began to be published. By Franco’s mid
twenties she was requesting to publish her sonnets that commemorated men of the Venetian
elite.22 Nine of her sonnets were published in a volume named Rime di diversi eccellentissimi
autori nella morte dell’illustre sign; she was also selected to edit this work. In the same year,
Franco published her own volume of poetry, Terze Rime.23
Franco took her opportunity as a courtesan and wrote about the situation of courtesans as
well as everyday women. Franco wrote about women not only in her work but also in her private
life. She spoke of practical economic concerns for a woman like herself in her two wills.24 A
common practice for women in the Renaissance was creating wills when they became pregnant.
This was done in order to provide for their family in the possibility of death during childbirth.
Franco left two wills, the first in 1564 when she was 18 years old. This was the first time that she
was pregnant. In this will she left money for a dowry for her child if her child were a girl. She
also left money to her female servants, and two poor unmarried Venetian women eligible for a
charitable donation through her will.25 Her second will was completed in 1570 and showed
similar concern. In this will she left money for the marriages of two other Venetian women.26 She
wanted to assist other women who were not fortunate enough to have a dowry and who would
ultimately lead lives as nuns or worse.
Franco was very open about her career as a courtesan in her poetry. And this is because
people knew her for being a courtesan meretrice sumptuosa. A courtesan meretrice sumptuosa
22
Rosenthal and Jones, Poems and Letters, 7.
Rosenthal and Jones, Poems and Letters, 5. Translation: Rhymes of various excellent authors in
the death of illustriousness and Third Rhymes.
24
Rosenthal and Jones, Poems and Letters, 4.
25
“Veronica Franco” in her will. University of Southern California, Dana and David
Dornsife,College of Letters, Arts and Sciences (2013), will 1.
26
“Veronica Franco” in her will, will 2.
23
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was a way of calling her a dirty prostitute. Therefore she had nothing to hide in her work. She
celebrated her sexual enterprise rather than being ashamed by it.
Through her work, Franco challenges masculine discourses. She often directed her poems
to particular men whom she requested responses from. An example of this is her work Capitolo
16. In this poem, Franco directly responds to a man who challenges her. Franco mainly defends
herself against insults penned by Maffio Venire. Yes, Venire as in Domenico Venier, Franco’s
patron; Maffio was the nephew of Domenico.
“And blade in hand, I learned warrior skills, so that, by handling weapons, I learned that women
by nature are no less agile than men. So devoting all my efforts to arms, I see myself now, thanks to heaven,
at the point where I no longer fear harm from anyone…when we women, too, have weapons in training, we
will be able to prove to all men that we have hands and feet and hearts like yours; and though we may be
tender and delicate, some men who are delicate also are strong, and some, coarse and rough, are
cowards.27”
Franco was not afraid to challenge men through her poetry and work. She challenged
traditional masculine ideas of strength and knowledge. She valued herself and other women
higher than most men. She understood that women and men could be on the same level. In fact,
she states that if men and women were given the same amount of opportunity, then they would
be regarded as equals. She challenged men who challenged her. She told her challengers that
women are no less agile than men in matters of the mind.28 She knew that on an intellectual level
she was more capable than a men; and she was not afraid to let this be known.
Franco stated that she would pick up her weapon and she would strike it down upon any
enemy.29 Her weapon was her pen and she would use it through writing. She boasted her
intelligence and stated that she could write in multiple dialects of Italian. She goes so far as to
27
Rosenthal and Jones, Poems and Letters, 163.
Rosenthal and Jones, Poems and Letters, 166-7.
29
Rosenthal and Jones, Poems and Letters, 166-7.
28
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say that her competitor could choose the dialect they write in. For she would be equally happy
with them all, because she learned the dialects for the purpose of dueling intellectually with a
man.30 She was confident that she would win in a joust of words not only because of her
education but because of her character and truth as a woman.
Franco’s confidence in dueling male poets was something never before seen during the
Renaissance Period. No female poet had ever challenged a male in such a public way. It was a
true medieval duel, except instead of swords and blood the knights/writers used pens and ink.
Franco’s ability to ascend into upward nobility through her career as a courtesan is unlike any
trajectory seen from the time period. Franco was able to propel her career as a poet through her
career as a courtesan. She made a name for herself and was able to accrue enough money to
support herself without a husband or father present in her adult life.
She served as an inspiration to other women although she did not always want other
women to follow in her footsteps. When friends reached out to her for guidance in beginning
their daughter’s career as a courtesan, Franco warned them against the unpleasantries of the
job.31 In a letter to her friend she stated “Although it is mainly a question of your daughter’s
well-being, I’m talking about you, for her ruin cannot be separated from yours… if she should
become a prostitute, you would become her go-between and deserve the hardest punishment.”32
She put women before men and she was open about her feelings about this during her lifetime.
So much so that later in her life she began to receive a lot of hate. Which would allegedly
attribute to her near death experience with the Venetian Inquisition in 1580.
30
Rosenthal and Jones, Poems and Letters, 166-7.
ARTH 470. “Franco and the Women of Venice.” University of Mary Washington, (2008).
https://venice.umwblogs.org/exhibit/veronica-franco-courtesans-and-venuses/franco-and-the-wo
men-of-venice/.
32
ARTH 470. “Franco and the Women of Venice.”
31
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Franco, accused of practicing magical incantations was pardoned after providing her
own defense against these accusations.33 After living a long life of 45 years Franco died
impoverished after the plague and the trial took all her monetary worth from her. But, Franco
lives in time as the wealthiest woman of the Renaissance in regards to her historical significance.
Her mere existence as a courtesan who served as an example to others at a time where women
were regarded as less than, proved to be true act of feminism that is still relevant today.
Moderata Fonte
Moderata Fonte, also known as Modeste Pozzo, was an Italian writer of the
sixteenth-century. Fonte, another Venetian citizen, was born to a family of elite professional
class. Her family was wealthy and privileged but her parents passed away of the plague a year
after her birth in 1555.34 Fonte’s situation is quite unique; her possessions and money were
subject to a lengthy court process following her parents death. Due to this, her marriage was
delayed well into her twenties; because she did not have a proper dowry. Fonte went on to live
with her grandparents.35
While women did not have access to formal education Fonte, similar to Franco, received
education through home tutors. Her step grandfather was a present force in her life that
encouraged reading and writing; which would later inspire her career as a writer. Fonte’s career
took off in her early twenties when she began to live with her uncle Niccolò Doglioni; Doglioni
became her guardian and he was also married to her childhood friend Saracena. Doglioni was
well connected with the literary elite of Venice and pushed for Fonte to publish her work.36
33
Marylin, Migel. Veronica Franco in Dialogue. University of Toronto Press, 2022.
Virginia, Cox. Biography of “Moderata Fonte (1555-1592).”University of Chicago Library,
2004. https://www.lib.uchicago.edu/efts/IWW/BIOS/A0016.html.
35
Cox, Biography of “Moderata Fonte.”
36
Cox, Biography of “Moderata Fonte.”
34
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Her work would be well received by many, so much so that her dialogues were performed
for the Venetian Doge. Fonte, like the two other women studied in this paper, authored volumes
of verse dedicated to kings and Venetian noblemen.37 These types of works were very important
for writers to produce at the time because it would earn them respect.
After gaining respect as a writer Fonte became most known for her publication: The
Worth of Women. Her writing soley centered on the role of male dominance over women in
society. When The Worth of Women focused on the life of women rather than commemorating
the life of the man.
The Worth of Women is a fictional dialogue between seven Venetian noblewomen that
takes place over the course of two days.38 Though fictional, this may have been a discussion that
took place in real life during the time. On the first day, the seven women debate whether men are
good or bad. They discuss the dignity of women and the traditional job and role women had in
society. On the second day, the women review their general knowledge of natural history and
culture. They relate this back to their discussion on the sexes. In The Single Self by Virginia
Cox, the author focuses on the female arguments made by Moderata Fonte; she specifically
narrows in on Fonte’s emphasis on women challenging their role in society. Rather than arguing
that a woman is better than or equal to a man Fonte focused on the empowerment of Renaissance
females.39 Cox believes that this was extremely clever. She states “a significant indicator of this
seriousness is the fact that unlike previous ‘defenders of women’…(Fonte) dictate[s] some of
[her] energy to contemplating ways in which women might rouse themselves from their ‘long
37
Cox, Biography of “Moderata Fonte.”
Virginia, Cox. “The Single Self: Feminist Thought and the Marriage Market in Early Modern
Venice.” Renaissance Quarterly 48, no. 3, 1995, 514.
39
Cox, “Single Self,” 516.
38
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sleep’ and use their energies to free themselves from their dependence on men.”40 Cox indicates
that the tone behind Fonte’s ideas suggest that she should be taken seriously. Fonte was
genuinely and openly criticizing male supremacy.41
Fonte conveys thoughts of an armed female uprising through her character Lenora. Again
while fictional, these were thoughts that Fonte and other women may have had during the time.
Her more realistic aspirations centered on improved educational and public life participation
opportunities.42 Furthermore, Moderata Fonte’s use of character development in the second part
of her book reinforces the idea that women are and could be intellectually equal to a man.43 In
the second part of the book the women have discussions on topics such as geography,
meteorology, politics, law, and medicine. Not only was Fonte conveying female intelligence
through her characters but, she was vicariously showing the readers that she had knowledge on
these areas. Cox states, “the ‘official’ theme of the second day’s discussions… was the question
of whether and by what means men could be persuaded to abandon their misogynist views.”44
This was an extremely controversial dialogue to put in a work that would inevitably be read by
thousands during the time. Especially due to the fact that Fonte had made a name for herself
before releasing The Worth of Women. Nonetheless, she did so without holding back.
It is more than clear that Fonte’s work directly opposed the traditional values of society.
In fact, it was an open challenge; the very name The Worth of Women proves this point. Fonte
essentially stated that women are worth more than society believed them to be; this is especially
on the intellectual level. In Fonte’s work she writes about things that she learned in a modern
40
Cox, “Single Self,” 521.
Cox, “Single Self,” 526.
42
Cox, “Single Self,” 520.
43
Cox, “Single Self,” 525.
44
Cox, “Single Self,” 524.
41
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education, such as politics and medicine. These are the topics that she may have learned as or
been inspired to learn from her home tutors and step grandfather as a child. Fonte used herself as
an example through the voices of her characters in her pastoral drama. Ultimately, Fonte held the
knowledge that she wrote into her female characters. This drama would inspire those that were
able to read it. Her play exemplified her life experiences and showed other women that it was not
normal for women to be considered less than. It placed emphasis on the female education and
mind; it displayed the true worth of women.
Isabella Andreini
In Italy during the late sixteenth-century, the genre of pastoral dramas began to become
increasingly popular. Additionally, during this time professional theater took up roots on the
stage, in the amphitheater, and in the streets. Women began to act on the stage rather than men
acting out female roles. This helped advance theater as more and more people became devout
followers, mostly because there were females on the stage. Females empowered and enabled the
expansion of the theater. And with the introduction of women to theater, came Commedia
dell’Arte which focused around romantic plot points between two characters, the innamorati.
These innamorati scenes drew heavily from the Petrarchan model. The pastoral theater drama
drew inspiration from Commedia dell'Arte and pastoral writing. It emerged from poetry that
idealized nature and rural life. Pastoral dramas put an emphasis on romanticizing the lives of
country folk. Isabella Andreini, the first feminist we are taking a look at in this paper,
revolutionized the pastoral drama during her time.
Isabella Andreini was born in Padua to Venetian parents in 1562. Andreini became very
well known for her work as a Commedia dell’Arte actress.45 Andreini was extremely famous for
45
Ilana, Walder-Biesanz. “Writing Pastoral Drama as a Woman and an Actor: Isabella Andreini’s
Mirtilla.” Italian Studies 71, no. 1, 2016, 49.
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her work as an actress and writer. She published two major works in her lifetime and her patron
helped publish two final works after her death in 1604. Her first and most famous work was
Mirtilla, 1588. In this work Isabella used her first-hand experience as an actress to rewrite the
traditional pastoral play Aminta by Torquato Tasso with a feminist twist. She inverted and
satirized a standard patriarchal work into her own. The second work she became known for was
Rime, 1601.46 Published over 10 years later in 1601 Rime reflected ideas in both Mirtilla and in
Andreini’s life. In this work Andreini demonstrated her awareness of literacy and the dramatic
process.
In the same year Andreini noted in a letter to a friend that she had begun a third literary
project; a collection of letters. The work would not be released until three years after her death in
1607. The piece was called Lettere di Isabella Andreini padovana comica gelosa, and although
the name alludes to a collection of “letters,” it was a collection of monologues. The work was
published under Andreini’s name by her husband and patron Francesco Andreini.
A final project would be released in 1620, again with the assistance of Francesco
Andreini; although this time, Andreini did not prepare for the piece to be published. Instead, it
was released by Flaminio Scala in order to commemorate her life’s work.47 The literature was a
collection of dialogues that Isabella had created after her experience in the Commedia dell’Arte
theater space. It was titled Fragment di alcune scritture della signora Isabella Andreini comica
gelosa e accademia intenta.48
It is important to note that all of Andreini’s works centered around the thing she loved
most: theater. Each of them incorporated her experiences as an actress in Commedia dell'Arte.
And most of them were satirized versions of Commedia dell'Arte which was a play form that
46
Walder-Biesanz, “Writing Pastoral Drama,” 51.
Walder-Biesanz, “Writing Pastoral Drama,” 51.
48
Walder-Biesanz, “Writing Pastoral Drama,” 52.
47
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ironically served as a comedy. The traditional list of Commedia dell'Arte characters includes the
innamorati. The Innamorati are the two main characters in love. One of the most notable uses of
the innamorati are Romeo and Juliet in Shakespeare’s Romeo and Juliet. Andreini took these
traditional characters and turned them on their heads. Andreini would expertly display how these
classic stylized compositions of love and relationships focus on the man rather than the woman.
She showed how the woman was an object of the man’s desire.49 Andreini was able to show this
stylistically by having two characters, a male and female, played by one person. This was a style
that Andreini herself was famous for on her own; as one of the skills her most notable acting
skills was adopting a hermaphroditic stage presence.50 And by doing this, she became popular for
her work not just as an actress, but as a writer.
Part of what distinguishes Andreini from the other female playwrights of her time was
how popular she was when her first play came out. Her performances were seemingly unlike any
other. While men enjoyed watching women in the theater, they often regarded actresses as less
than. But, Andreini was able to gain the respect of many; so much so that her first play La
Mirtilla, sold out rather quickly. The play was re-printed nine times, issued in both Paris and
Italy for a two and a half decade period.51
The plot of La Mirtilla is rather complicated but that was the point of pastoral dramas.
The play centers around love entanglement. A man named Igilio is in love with Filli and Filli
loves Uranio who is also loved by Mirtilla but, Uranio is in love with Ardelia and Ardelia wants
49
Walder-Biesanz, “Writing Pastoral Drama,” 54.
Walder-Biesanz, “Writing Pastoral Drama,” 54.
51
Walder-Biesanz, “Writing Pastoral Drama,” 56.
50
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to love no one. By the end, a man named Tirsi falls in love with Mirtilla, Igilio wins the love of
Filli, and Uranio gains the love of Ardelia; all through threats of suicide of course.52
The feminist ideas shine through in Andreini’s reflection scene. This scene centers
around Ardelia, it aims to inspire the audience by holding up a mirror to the character; this is
why it is the reflection scene.53 Whereas in the original drama this character fails to self-reflect,
in Andreini’s version, she successfully does so. In the height of the dramatic love entanglement
Andreini’s character Ardelia finds out she is the romantic victim of her own reflection.54
Andreini undermines the purity of the Petrarchan model by shifting the traditional view of the
audience from the male gaze into a much more poetic understanding of the character.55 And
although this does not fully eliminate the male gaze from the character Ardelia, it essentially
satirizes the excesses of it. Andreini takes her character Ardelia and allows her to speak for
herself during the reflection scene. She draws on classical models of knowing one’s self and
echoes lines of metamorphosis.56 Ardelia states “spero che si come ho rinnovato, di narciso
infelice il crudo scempio, così a guisa di lui debba fortuna, dar fine al mio dolor con la mia
morte.57” This self-awareness shows the audience that Ardelia sees what the audience sees. She
understands the mockery of it all; and what the audience would have been laughing at during the
52
Edited by Valeria Finucci and Julia Kisacky. Isabella Andreini: Mirtilla, A Pastoral. Iter Press,
2018.
53
Alexia, Ferracuti. “Reflections of Isabella: Hermaphroditic Mirroring in Mirtilla and Giovan
Battista Andreini’s Amor nello specchio.” Escholarship.org
https://escholarship.org/content/qt4br8n5zs/qt4br8n5zs_noSplash_e8a8b6555e28afe23d041f8dc
dff90bb.pdf?t=ntbubx.
54
Finucci and Kisacky. Mirtilla, Scene 4, The Nymph Ardelia.
55
Walder-Biesanz, “Writing Pastoral Drama,” 56.
56
Finucci and Kisacky. Mirtilla, Scene 4, The Nymph Ardelia.
57
Finucci and Kisacky. Mirtilla. Scene 4, The Nymph Ardelia 2601-4, 212-213. Translated: I
hope that just as I have renewed the cruel havoc of an unhappy narcissus, so, like him, fortune
should end my pain with my death.
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entire play. It even adds a note of tragedy to her life because the play becomes more serious as a
result of this reflection.
So what exactly makes Isabella Andreini a feminist? How does her work as a playwright
an actress attribute to proto-feminism during the Renaissance Period? Andreini’s rewriting of
traditional play styles like Commedia dell’Arte and the pastoral drama creates a new level of
satire theater. She helped raise the professionalism of female actresses as well as aiding the
transition of presentational and representational styles of theater. Not only this but, Andreini was
already famous when she published her first play La Mirtilla; as stated, she was well known for
her acting. She pushed the boundaries of what a woman was able to do in the theater while also
remaining well respected in her community. This was because she successfully filled her societal
gender roles. She was a woman who fulfilled her motherly and wifely duties in the home and
maintained a perfect reputation. And with this, she could on stage transgress most acceptable
forms of femininity. She played with gender, she crossed lines, she pushed the envelope and she
did more so than any other woman during her time. Andreini revolutionized the theater by
changing theater gender expectations of her time. She blazed a valuable future for female
playwrights and actresses to come.
So much so, that her work was published even after her death; and by men nonetheless.
Her work that challenged the male gaze and Petrarchan ideas was published by men after her
death. They chose to posthumously honor her because they knew how innovative her work was.
This displays how Andreini was able to successfully make a name for herself and create a new
platform for women in the theater space.
Franco, Fonte, and Andreini each made waves in their own ways during their time.
Franco, born in Venice built a life on the wealth she accumulated in her career as a courtesan.
�LaGressa 18
She used her career as the cortigiana onesta to advance her writing in Venetian society. Through
her role as a courtesan, she met her patron Domenico Venier who helped her grow her career as a
poet. She was well respected and well known for her talents as a courtesan. So much so that King
Henry III chose her to bed. Once the plague hit Venice, the church took a much larger role. The
Inquisition accused Franco of witchcraft. This was a front, they had believed prostitutes like
Franco, angered God which caused him to send the plague. They argued that Franco was a witch
because she bewitched so many men, especially married ones. Although Franco survived her
trial, it took her money and reputation. While her life comes to an unfortunate end, one can not
help but be inspired by her story. Franco put other women before men, even though she had sex
with men all the time. It is interesting because she ultimately benefited from the relationships she
had with men as a result of her job. She used being a courtesan to her advantage. Not only did
she make money bedding men but she made a name for herself, and met her patron through
being a prostitute. And while all of this is true, she also warned others about the courtesan
lifestyle, she knew it was not a sufficient way to live. Ultimately, she wanted to change the world
so that courtesanship would not have to be the best option that young women had to live
independently.
Moderata Fonte expertly defined the worth of women in her play The Worth of Women.
Ironically, women were not worth much in society. However, what Fonte displays in her work is
that women were worth so much because of their dowries. She made others question why
dowries were so expensive, especially if women were not worth much in society. It made people
reflect on the worth of women, which of course forced them to understand that women were
worth a lot. In fact, they were worth just as much as men; not only metaphorically but
intellectually. Fonte rightfully held up a mirror to society and said “look.”
�LaGressa 19
Finally, Isabella Andreini liberated women in the field of acting. She set new precedents
in the career. She used gender and sex as a way to make change; and she did this by playing both
men and women on stage. She used her talent as an actress to bring hermaphroditic characters
played by women to the acting world. Not only that but she used her popularity as a well
established and respected woman to her advantage when she published her first play Mirtilla.
Mirtilla would also serve to change the world of theater. This is because it brought a level of self
awareness to a comedic play structure, one where the woman would often be depicted as
clueless. This new level of consciousness proved to pull back the curtain on the traditional
understanding of women in society. It showed that women were in fact not clueless, they were
not simply searching for love, and they could be as intelligent as men.
Each of these womens publishing’s were a testament to the thoughts of Italian women
during the Renaissance. A great portion of females were thinking like Franco, Fonte, and
Andreini. Female liberation was at the forefront of society, even feminist men were getting on
board with the thought. These women were the pioneers of feminism in Italy. They wrote the
blueprints for females to come. Without these women, society would not have advanced as much
as it did, although, it is a shame that female liberation did not occur sooner.
For centuries, women have been separated from education and from one another in order
to discourage connectedness. These writings were a way for women to communicate; and the
three women in this paper were all alive for a certain amount of years at the same time. Veronica
Franco 1546 to 1591, Moderata Fonte 1555 to 1592, and Isabella Andreini 1562 to 1604. These
women were living amongst each other for 29 years. However, the chance that they knew or read
each other’s work is low. Franco’s poetry was released in the mid 1570s and early 1580s,
Andreini’s was released in the late 1580s, and Fonte’s most famous work was published in 1600
�LaGressa 20
after two of their deaths. Although I would love to imagine a world where Franco and Fonte
attended a performance of Andreini, I am a realist and I understand that the likelihood of this is
little to none. There are certainly no surviving accounts of this happening. However, I can not
help but think to myself: what if these women were releasing work at the same time? It would
most certainly serve as a form of communication between them. In fact their writing may have
gotten even more “radical” as they played off each other’s ideas. Now I pose the question, if
these three women sat down together in a room, what conversations would they have had?
If these women were in a room together there would be an incredible flow of ideas and
imaginative visions of a utopian society. The society of course would be one where women were
regarded as equal to men. I imagine that their conversations would have mirrored those described
in The Worth of Women. These conversations could have been an explosion of feminist ideals.
Both Franco and Andreini have sexual undertones in their work. Franco played off of her
role as a courtesan in her writing. She did not hide this part of her life from her readers, she
embraced it. And Andreini’s performances were very sexual as female actresses were often
thought of as sexual beings. Therefore, I imagine sexually liberating discussions from these two
women. They would have certainly talked about sex and dominance; especially the power that
can come along with sex and the sexual being.
Moderata Fonte and Veronica Franco both had sufficient childhood educations and both
resided in Venice. This is not to say that Andreini was not of their caliber, but, I believe the two
women would have connected on this front and begun to discuss topics in literature, science, and
the humanities. Perhaps they would have discussed the piloted ideas of the scientific revolution
which began in 1543.
�LaGressa 21
Andreini and Fonte may have talked about mens hostility towards women. This is
specifically because both of their famous works focus on the relationships between men and
women; especially the love and hate between the two.
Ultimately, together, the three women would have discussed the way in which women
could make advancements in society to be considered equal to men. Again, their conversations
may have mirrored ideas in The Worth of Women. They may have discussed their ambitious
individual work and how they sought to elevate the status of women to that of men; of course
these ideas were presented through their writing. They would have argued amongst themselves
that women had the same innate abilities as men, especially when similarly educated; Fonte and
Franco could have attested to this. And one example of women being equal to men were the
cases of widows. From this point the women would discuss dowries.
Dowries implied that women were a burden, so much so that a man would be paid to
marry a woman. However, this opened the door for women to reclaim this wealth in the case of
death. If a woman’s husband and father both passed, then she would be the sole owner of her
dowry. In this case, the woman would be in charge of her own life as she had jurisdiction over
her money and property. The women would have discussed this idea and how it could lead to
females becoming more aware of their societal worth. I believe that Fonte, Franco, and Andreini
would have played upon this and used it as a tool to educate other women about how powerful
they could be in society. If widows were able to claim this power, then the average woman could
as well.
Marriage in general was a practice that focused on eliminating all moves for female
equality. Marriage was, in its basic form, a transfer of property between a woman’s father and
husband. The biggest issue is that women did not have much of a choice Franco, Fonte, and
�LaGressa 22
Andreini knew this and would have examined the role of marriage and work in female lives.
They would have argued for more choices for women especially when it came to work. They
would have focused their efforts for equality on social and educational equality. And my reason
for believing so is because neither of them brought this up in their work. Instead however, they
focused on the social equality of women and their arguments centered around education. If
women were as intelligent as men then why were they not equal? Why were they powerless in
choosing their destiny?
While, women were seemingly powerless, they had one extremely powerful tool: their
voices; and these women knew how to use their voices to ignite feminism in others. This is
something that they would have collectively understood and respected about one another.
Therefore, they may have strategically found ways to do this together. Perhaps they would have
joined forces to create a collection of letters, poems, or dialogues which would have been
published. If this were the case women from all over Italy would have seen it and possibly acted
upon it. For all we know there could have been a feminist uprising in the late sixteenth-century
that had everything to do with these three powerful women getting together. This is exactly what
men were afraid of and why they took such great lengths to isolate women from one another.
Because, if women were able to have these intellectually stimulating conversations with each
other, then the world would have looked much different. Gender equality would have been
achieved considerably sooner than it was; and in the same breath I will say that women are still
fighting for equality today.
If these women were able to congregate and have intellectual discussions in a room
together, they would have more than likely been able to ignite a feminine uprising. It is without a
doubt that female liberation would have been achieved sooner. These three women are more
�LaGressa 23
alike than not, and this can be said about most women during the Italian Renaissance; mostly
because they shared one thing in common: suppression. The strive to equality was a large goal to
reach but it ignited a passion within and together, these women would have been unstoppable at
reaching such a goal.
Ultimately, the path to equality is a constant struggle. So much so that women are still
feeling the effects today. And it is no secret that women are as capable and in some cases
superior to men. So why is it that equality is still a goal being strived for not only in Italy but all
over the globe? It is our history that often defines us; so let these women serve as an example of
what was and let their writing serve as an example of what should be. They held the torch that lit
the way for women to come. This is a constant struggle but a struggle nonetheless; and they
would be proud to see the strides made today. But, women will not stop fighting for equality
until equality is achieved. Therefore, we must use women like Veronica Franco, Moderata Fonte,
and Isabella Andreini as examples of women who stood up against oppression in a time where
women were not supposed to stand; and we as women must be inspired to blaze a new trail
ourselves.
�LaGressa 24
Bibliography
ARTH 470 (college class). “Franco and the Women of Venice.” University of Mary Washington,
(2008).
https://venice.umwblogs.org/exhibit/veronica-franco-courtesans-and-venuses/franco-and-the-wo
men-of-venice/.
Benson, Pamela Joseph. The Invention of the Renaissance Woman: The Challenge of Female
Independence in the Literature and Thought of Italy and England. Pennsylvania State University
Press, 1992.
Brizio, Elena and Piana, Marco. Idealizing Women in the Italian Renaissance. Victoria
University, University of Toronto, 2022.
Cox, Virginia. A Short History of the Italian Renaissance. London, I.B. Tauris, 2015.
Cox, Virginia. Biography of “Moderata Fonte (1555-1592).” University of Chicago Library,
2004. https://www.lib.uchicago.edu/efts/IWW/BIOS/A0016.html.
Cox, Virginia. The Prodigious Muse: Women's Writing in Counter-Reformation Italy. Johns
Hopkins University Press, 2011.
Cox, Virginia. The Single Self: Feminist Thought and the Marriage Market in Early Modern
Venice. Renaissance Quarterly 48, no. 3, 1995. 513–81. https://doi.org/10.2307/2862873.
Cox, Virginia. Women's Writing in Italy, 1400-1650. Johns Hopkins University Press, 2008.
Finucci, Valeria and Kisacky, Julia. Isabella Andreini: Mirtilla, A Pastoral. Iter Press, 2018.
Franco, Veronica. Will 1 and 2. University of Southern California, Dana and David Dornsife,
College of Letters, Arts and Sciences, 2013.
Garrard, Mary D. “Here’s Looking at Me: Sofonisba Anguissola and the Problem of the Woman
Artist.” Renaissance Quarterly 47, no. 3, 1994. 556–622. https://doi.org/10.2307/2863021.
Gordon, Bonnie. “Talking Back: The Female Voice in ‘Il Ballo Delle Ingrate.” Cambridge Opera
Journal 11, no. 1, 1999. http://www.jstor.org/stable/823768.
Kaborycha, Lisa. A Corresponding Renaissance: Letters Written by Italian Women, 1375-1650.
Oxford University Press, 2016.
�LaGressa 25
MacNeil, Anne. Selected poems of Isabella Andreini. The Scarecrow Press Inc. 2005.
Migel, Marylin. Veronica Franco in Dialogue. University of Toronto Press, 2022.
http://www.jstor.org/stable/10.3138/j.ctv2hvfjjs.
Ray, Meredith. Writing gender: In Women’s Letter Collections of the Italian Renaissance.
University of Toronto press, 2009.
Rosenthal, Margaret F., The Honest Courtesan: Veronica Franco, Citizen and Writer in
Sixteenth-Century Venice. University of Chicago Press, 2003.
Rosenthal, Margaret F. and Ann, Rosalind Jones. “Veronica Franco”Poems and Selected Letters
(the Other Voice in Early Modern Europe). University of Chicago Press, 1998.
Ross, Sarah Gwyneth. The Birth of Feminism: Woman as Intellect in Renaissance Italy and
England. Harvard University Press, 2009.
https://ezproxy.wagner.edu:2462/login.aspx?direct=true&db=cat03980a&AN=ebr.EBC3300796
&site=eds-live.
Viglionese, Paschal. Italian Writers of the Seventeenth and Eighteenth Centuries. McFarland &
Company, Inc. 1998.
Wojciehowski, Dolora Chapelle. “Veronica Franco vs. Maffio Venier: Sex, Death, and Poetry in
Cinquecento Venice.” Italica 83, no. ¾, 2006. 367–90. http://www.jstor.org/stable/27669097
�
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Olsen, 1
Jillian Olsen
Wagner College
December 2022
Success or Failure? Women’s Integration into the United States Military Academy at West Point.
�Olsen, 2
The United States Military Academy at West Point is America’s oldest standing military
Academy. Since its foundation in 1802, West Point has been providing officers for the United
States Army. Though American soldiers would first occupy this base on January 27th, 1778, it
would take almost 25 years for West Point to be established as the north’s most prestigious
military college. 217 graduates during the Civil War would serve for the Union army, while 146
men would be generals for the Confederate army during this time. West Point has an extremely
long list of notable alumni, including Robert E. Lee, graduate of the class of 1829, William
Tecumseh Sherman, graduate of 1840, and Ulysses S. Grant, graduate of the class of 1843. It is
obvious that there are no women in that list of notable graduates before 1976. Military
Academies in the United States did not allow women into their colleges until President Gerald
Ford signed Public Law 94-106 allowing women to be admitted into previously male-only
military colleges. This thesis aims to explore the experiences of women entering the United
States Military Academy at West Point for the first time in 1976, and seeing the social changes
that have occurred since.
Public Law 94-106 states that “a), the Secretaries of the military departments shall, under
the direction of the Secretary of Defense, continue to exercise the authority granted them in
chapters 403, 603 and 903 of title 10, United States Code, but such authority must be exercised
within a program providing for the orderly and expeditious admission of women to the
academies, consistent with the needs of the services, with the implementation of such program
upon enactment of this Act.” 1 Gerald Ford signing this law on October 7th, 1975 would allow
women to join the military academies in the United States the following academic year, starting
in the summer of 1976. According to West Point’s Superintendent Lieutenant General Sidney B.
Berry, this integration is “the most significant change in the 173-year history of the United States
1
Public law 94-106, (October 7, 1975)
�Olsen, 3
Military Academy.” 2 The signing of this law is just the beginning for the journey of women at
the military academies within the United States.
When I began my research into this topic, I truly believed that this story would be
focused on the terrible things that these pioneer women went through. These women officers are
ground-breaking as they are the first to assume the nontraditional roles of West Point cadet and
officer.3 From harassment to hazing, the women of the first graduating integrated classes were
nothing but easy. But still with this, the women who survived the 4 years at the military academy
at West Point are positive about their experience and understand that they were the first women
to go through these things in order for other women to have a more pleasant experience. Sharon
Disher, a female graduate in the first integrated class of 1980, expresses her commitment to the
academy. “It pains me every time I see a newspaper headline defaming the Naval Academy. It is
not my intent to inflict more pain. I write this book to document history. The events depicted in
this book took place nearly thirty years ago. If the issues seem too fresh or the events appear too
similar to modern-day occurrences, then it is time to stop repeating them.”4 Writing a book to
express her experiences, Disher feels as though she must tell the truth about her experiences, but
that people should not do so in a way that defames the academy, but rather shows a growth in
gender acceptance and that the academies will continue to grow as there is more inclusivity
placed into the military.
Not only did my research lead to me finding mainly positive experiences, I also learned
that although women have been at the United States Military Academy at West Point for over 40
Feron, James. “Integrated West Point Prepares for First Women Cadets.” The New York Times.
(September 22, 1975)
3
Yoder, Janice D.; Adams, Jerome “A Report on Women West Point Graduates Assuming
Nontraditional Roles.” Midwestern Psychological Association (May 1984)
4
Disher, Sharon H. “First Class : Women Join the Ranks at the Naval Academy.” New York:
Naval Institute Press. (2013)
2
�Olsen, 4
years, they are still an understudied group.5 Leslie Lewis’s study also addresses the lack of
literature on women and leadership development at the United States Military Academy. 6 A large
question that altered my research in Leslie Ann Lewis’s study of women at West Point is as
follows: How do women develop their leader identities as members of a minoritized group in a
male-dominated culture when experiencing different levels of misogyny, sexism, sexual
harassment, and sexual assault? 7 Not only does this question strike me regarding women’s
abilities to lead, but also the idea of women being a minority. “Of all the minority groups seeking
equal rights, however, women are expected to create the most dramatic changes at the academy
next year,” says James Feron.8 While women have attended West Point and the other United
States military service academies since 1976, there is little published scholarly research on the
lived experiences of these women and even less on their leadership development. No one has
asked West Point women how they define leadership or how their West Point experiences have
informed their leadership development.9 According to Marene Allison, “the black males always
felt like they didn't belong, and it was only after the females showed up did they feel like they
weren't the lowest class at West Point.”10 This proves women as a minority group at West Point.
West Point's success stems from a rigorous program that combines academics, athletics,
and military training in an extremely regimented schedule for the future military leaders.
Athletics bring an extremely positive atmosphere onto the campus of West Point. Academics are
crucial in order to breed future leaders of our country, and significantly enough, West Point was
Lewis, Leslie Ann, “West Point Women’s Views on Leadership: Perceptions From First Women
Graduates Through Current Cadets,” Journal of Women and Gender in Higher Education. (Dec
29, 2020). ii
6
Lewis, “WEST POINT WOMEN,” 21
7
Lewis, “WEST POINT WOMEN,” 8
8
Feron, “Integrated West Point,”
9
Lewis, “WEST POINT WOMEN,” 303
10
O’Connor, Brandon. “Forty years have passed since the first women graduated from West
Point in the Class of 1980.” Army.mil, (May 27, 2020)
5
�Olsen, 5
the only engineering college until 1824. This led most of the United State’s railways, roads, and
bridges to be created by graduates of West Point. The graduates of the United States Military
Academy at West Point are the nation’s top military leaders, with no regard to gender.
West Point was designed for men, by men, and for its first 176 years of existence, it was
kept that way. In the summer of 1976, women were allowed to enter the military academy as
cadets for the first time in history. 62 of the 119 women of the first admitted class would stay for
the full four years and graduate. Not only did these 62 women complete their four years- being
held to the same standards as the men, they also did it while enduring sexism, misogyny, and
hate from faculty, other male cadets, and the outside world. Even with these odds against them,
at all three military academies, including the Air Force academy, women and men performed
equally in academic studies in the first years.11 Even with their environment telling them to stop,
these 62 women in the class of 1980 persisted.
The initial introduction of women to all of these academies were instrumental in the
movement to equal rights in the military. Before this, women may have been seen as
instrumental to the war effort, solely as being good partners for their husbands. Women were
solely people to watch over the home while their husbands were able to serve in the military
freely. A military family meant the men were in the military, not the women. A typical woman
born into a military family would be a well-mannered daughter who would turn into some
military mans’ housewife early on in her life. This way of life changed when women were
integrated into these military academies and during wartime. Before WWI, women served
primarily as civilian nurses, cooks, laundresses, clerical workers, or military hospital
administrators.12 Women like Pat Locke took a different route. Locke was enlisted in the United
No Author, “How Women are Faring At West Point and Annapolis.” The New York Times.
(September 11, 1977)
12
Lewis, “WEST POINT WOMEN,” 56
11
�Olsen, 6
States army and employed as a communications specialist in a signal battalion at 17 years old to
escape her hometown of Detroit and when stationed at Fort Polk, Louisiana, she was given the
opportunity to attend West Point in the first class, in which she did and Locke thrived.13 Locke
was able to fit in having military experience and an understanding of discipline. In order to fit in,
the women tended to adopt traditional masculine qualities in order to win acceptance.14
Since these military academies were still very prestigious, the women being admitted
were women from high-status military families. The women of the Class of 1980 were twice as
likely to come from military families as the men (36% of women vs. 18% of the men).15 These
women who were part of the first year of admittees faced every piece of discrimination one could
think of. Facing discrimination from many areas including their uniforms and their medical
needs, this first class of women were pioneers for the following women to this day to attend the
academies freely. After 4 years of having women at the academy, as previously stated, 62
women graduated from West Point. In Annapolis in the same year of 1980, 55 women graduated
from the Naval Academy. These women, once destined to be housewives, were becoming
Second Lieutenants in the United States Army or Ensigns in the United States Navy.
The same experiences were happening down at the Naval Academy in Annapolis,
Maryland. The Naval Academy was founded in 1845, being another military academy where
future United States military leaders were trained. The Naval Academy, located in Annapolis,
Maryland, is perfectly located on the Chesapeake river with access to the Atlantic Ocean. With
public law 94-106 being put into military schools, the Naval Academy would also integrate their
college to allow women at the Academy. The Naval Academy had the same experience as West
O’Connor, “Forty years,”
Associated Press, “Impact of Female Cadets Assessed by West Point.” The New York Times.
(October 10, 1979)
15
Durning, Kathleen P. “Women at the Naval Academy: AN ATTITUDE SURVEY.” Navy
Personnel Research and Development Center. (Summer 1978) 574
13
14
�Olsen, 7
Point, having their first graduating class in 1980, 4 years after the law was signed in 1976. To
compare the two academies, the United States Military Academy is a larger institution than the
Naval Academy.
In order to help with my understanding of West Point, it is interesting and important to
look into the experiences of women at the Naval Academy. On July 6th, 1976, for the first time
in the history of the U.S. Naval Academy, 81 female plebes were sworn in as midshipmen
alongside 1,217 male classmates.16 Historian Michael Gelfand has done crucial scholarly
research on the problems of these women and what is being explored in this thesis, but his focus
being the Naval Academy. Though different academies with different futures for their graduates,
the social acceptances of women would be very similar.
On May 28th, 1980, the first female Midshipmen graduated from the Naval Academy. Of
the 947 graduates that day, 55 were women.17 According to Michael Gelfand, author of Sea
Change at Annapolis: The United States Naval Academy, 1949-2000, women’s acceptance into
the Brigade of Midshipmen was a significant step in getting females into combat and, therefore,
helped them to fulfill their roles and responsibilities as American citizens. 18 This is interesting in
understanding the personal and scholarly opinions of Gelfand in regards to women being allowed
in combat. Legally, navy women must be treated differently from navy men. Title 10 of the U.S.
Code, Section 6015, states that women "may not be assigned to duty in aircraft that are engaged
in combat missions nor may they be assigned to duty on vessels of the Navy other than hospital
ships and transports."19 This restriction had an immediate impact on women midshipmen in the
Disher, Sharon, “Women CAN Fight.” U.S. Naval Institute, (September 2006)
Gelfand, Michael. “Sea Change at Annapolis: The United States Naval Academy, 1949-2000.”
Chapel Hill: University of North Carolina Press. (2006) chapter 5
18
Gelfand, “Sea Change,” chapter 5
19
Durning, “Women at the,” 570
16
17
�Olsen, 8
summer of 1976, in that they could not embark on orientation cruises and flights without being
"required to take leave, wear civilian clothes, and be the guest of a male Navy member."20
As for the first women and their experiences, they were very similar to West Point.
Women were looked down upon, and there was even a regimental commander who would order
men to treat the women “as if they were his daughters.”21 Though this commander may have
intended for the male midshipmen to respect their female classmates, it can be interpreted by
each individual male, and could very well put these women on a lower level then the men.
In regards to sexual assault, for the first graudating class at the Naval Academy,
administrators only noted five sexual misconduct cases, all of which involved alcohol.22 An
unbelievably low statistic, this proves the drive to cover up or not notice any form of sexism
against these newly admitted women to overlook any problems that would make the Academy
look bad. This may also stem from women not wanting to speak out. Anonymous interviews
with eight women who graduated between 1988 and 1993 reveal experiences similar to those of
previous female graduates. As for sexual harrassment, all of the women remembered repeated
comments from male midshipmen about their weight, attractiveness, supposed sexual
promiscuity, intelligence, and their being out of place in a man’s environment.23 Graduate of the
class of 1982, Brig. General Cindy Jebb, now the Dean of the Academic Board at West Point
says that “I think it’s safe to say we were probably all sexually harassed.”24 As hard as it is to
speak on these topics and potentially traumatizing experiences, it is crucial to allow historians to
understand the journeys of these first female midshipmen through the Naval Academy.
Durning, “Women at the,” 570
Gelfand, “Sea Change,” chapter 6
22
Gelfand, “Sea Change,” chapter 6
23
Gelfand, “Sea Change,” chapter 7
24
O’Connor, Brandon. “The Army is Changing: Current Female Cadets Will Enter the Army
with More Career Options Than Ever.” Army.mil (June 10, 2020)
20
21
�Olsen, 9
One must compare the experiences of women at both the United States Military Academy
and the United States Naval Academy in the beginning years of integration at these academies
from 1976-1984 in order to understand the experience of women today, whether that be
successful or full of failure. This period of time which includes the experiences of the first
female cadets is crucial for understanding how women were treated and if they stayed at their
respective academies. At West Point the dropout rate for females in the class of 1980 was 31
percent and 22 percent at the Naval Academy. In each case, that was about 10 percent higher
than the dropout rate for men.25 This percentage, for the first class of women when West Point
was not prepared, is a smaller percentage than I expected.
My research is driven by the question of if women to this day are still overlooked in the
military as there are still questions of allowing women into combat and other male-dominated
roles in the military. The women in the class of 1980 are the original basis of my research when
bringing light to the challenges and opportunities these women faced.
These women faced struggles in their day to day lives. These women were ready to be
introduced into the military academies, but the academies and their faculty and other cadets were
not. The women were placed into dorms that were not adjusted to housing women. The dorms
had more urinals than toilets, which is not beneficial to the women. Men cadets sabotaged
women’s rooms, damaged their uniforms, and hazed women cadets not just because they had
done something wrong, but simply because they were women.26 The female-specific uniforms
alone caused controversy. A wardrobe malfunction on the first day caused several broken
zippers.27 These small mishaps proved the unpreparedness of the academy.
“How Women are,”
Lewis, “WEST POINT WOMEN,” 72
27
Schloesser, Kelly. “Hard-Earned Respect: The first women of West Point.” Army.mil,
(November 2010)
25
26
�Olsen, 10
Women also had very little representation at these academies upon their first arrivals.
Very little to no staff members were female and the men who led these academies were
uneducated on the needs of women, let alone women in the military. These women endured
struggles with their uniforms. Uniforms malfunctioned or didn’t fit right as the academy adjusted
to a new population, and West Point was led by a superintendent, Lt. Gen. Sidney B. Berry, who
originally resisted the arrival of females.28 They would not fit their body types, or even be too
feminine looking to sexualize the women. In regards to sexualizing the women, these cadets
faced sexual harassment. Though it is rarely spoken about, the women who entered these
academies were sometimes sexually harassed and even sometimes sexually assaulted. On the
lowest level, women would face sexual discrimination from not only their classmates, but
educators and faculty. This enforced title IX to come into effect at these schools. Title IX, created
in 1972, protects everyone in the United States from sexual discrimination in any school or
program which receives funding from the United States federal government.29
In order to expand on the difficulties women faced when being allowed to attend the
United States Military Academy and the United States Naval Academy, the rhetoric of
newspapers and public articles from this time period, which had both negative and positive
rhetoric, are crucial to understanding public opinion. The importance of the words that people
who have the power to affect the opinions of the local communities sometimes goes unnoticed. If
one person has the ability to monopolize a community of people and force their beliefs on a
controversial decision, their beliefs will be the most widespread. When women were being
introduced to the communities in Annapolis and West Point, the way undecided people inside
and outside of the academy viewed them was up to the people who were covering it in the news.
28
29
O’Connor, “Forty years,”
Title IX, Education Amendments of 1972 (1972)
�Olsen, 11
These undecided people have the power to speak on such a unique experience such as being a
cadet at West Point, and it can be detrimental to the viewpoints of community members.
Rhetoric and the words one chooses to use when speaking about women joining these
military academies have a crucial impact on the way the women will get treated during their time
at the academy. Journalists hold such power not only in regards to my research, but we see this
even today with the power of information being said in the news. When a community relies on
information from one source or from just looking at the news, not doing personal research
themselves, this causes a monopoly in regards to controlling that community’s opinions. The
integration of women into the academies had been characterized as one of the most controversial
issues surrounding women in the military in the 1970s.30 Topics as controversial as allowing
women into military colleges are also very hard to do personal research on, especially during the
times of the events, so people are bound to believe the opinions in the sources handed to them.
A perfect example of this occurs in a New York Times article published on April 17th,
1977, still during the first academic year of women being at the Academy. This article begins by
saying that “officials have concluded, for example, that women from the Deep South are poor
prospects.” 31 This type of language towards a group of women that could be potential success
stories at the academy, are automatically disregarded by the community as unnamed officials are
poorly representing women due to where they come from.
Not only does this article written by James Feron have negative connotations, it also
blatantly tries to convince its readers that women do not belong at the Academy. “They have also
learned that few, if any, of the female recruits had a realistic idea of the grueling physical and
Jones, Paul L. “Naval Academy: Gender and Racial Disparities. Report to the Chairman,
Committee on Armed Services, U.S. Senate.” United States General Accounting Office. (April
1993) 13
31
Feron, James.“West Point Will Revise Its Policies On Finding and Training of Women.” The
New York Times. (April 17, 1977)
30
�Olsen, 12
mental stress they would encounter. Copies of newspaper articles describing this are now being
sent to applicants.”32 This speaks on the idea that potential future female cadets are being scared
out of coming to the academy, telling unsuccessful stories of women. The extremely negative
language is shocking. “Running, a major element of the first summer of training, will be
conducted in categories according to skill, to de‐emphasize the women's poor performances.”33
The disrespect to the pioneer women of the class of 1980 in this article is exponential. This
article becomes even more convincing to the readers of its time when Feron interviews a woman,
not specified if she was a cadet or not, and she explains how “It's not stuff girls are used to.”34
The comments about women being too emotional are so crucial in the fight to keep women out
of West Point. “The biggest difference is that the women take negative evaluation more
personally,”35 says Major Howard T. Prince. The article also acknowledges the disrespect
towards the current female cadets as when a woman conducted a formation, “the corps of cadets
burst into laughter.”36 This is when the article becomes blatantly anti-women at West Point.
Someone who wants women to succeed would never publish an embarrassing account that a
female cadet experienced without denouncing this behavior, especially when the female cadet's
name was published. One of the most astonishing statements made in this degrading article is
when Feron says that “The inability of women to fulfill physical standards set by the men can be
traced to their different upbringing.”37 Feron tries to convince his readers that women will never
belong, and that it's due to their homelife, in which they are raised by a woman. Not only are
they incapable, but they are set back because of “weak grips as with underdeveloped arms and
Feron, “West Point Will,”
Feron, “West Point Will,”
34
Feron, “West Point Will,”
35
Feron, “West Point Will,”
36
Feron, “West Point Will,”
37
Feron, “West Point Will,”
32
33
�Olsen, 13
shoulders. Dr, Peterson said.”38 Something that strikes me is also the way Feron tries to depict
women as clueless. Feron says that a female cadet told him that she never ran until she got to the
Academy, and that she was suffering shin splints because of it. This rhetoric is so detrimental to
women gaining respect, equality, or equity.
Another example of this detrimental rhetoric is an article published by the New York
Times on June 4th, 1995. The title is “Woman Ranks First in West Point Class.” Though this title
may sound uplifting and pro-women, the article is a total of 7 sentences long for such a high
achievement for women. For the first time in the United States Military Academy's 193-year
history, a woman was named valedictorian of the graduating class.39 Not only is this such an
amazing accomplishment, but this woman, Second Lieutenant Rebecca E. Marier, would lead the
988 members of her class for the first time as a woman. Rhetoric makes such a large impact on
the community, and the fact that this article is only 7 sentences long is disrespectful and shows
that the writer, who is not named, put minimal effort into such a high achievement.
Rhetoric and ideas pushed into newspapers are effective and typically the widely
accepted viewpoint. The opposition included most of the male administration, faculty, and staff
and male cadets at West Point. Most of West Point’s all-male alumni also vehemently opposed
admitting women.40 The local community, who are not involved in the actual day to day military
experience, did not fully accept this change, while head officials like the Naval Acamemy’s
Superintendent William P. Mack believed that women would add much more to the academy, as
they could do what a man can do, and even more. Another example of this positive rhetoric is a
quote from Colonel Ripley while receiving the second highest award a Marine can receive for
Feron, “West Point Will,”
Associated Press. “Woman Ranks First In West Point Class” The New York Times. (June 4,
1995)
40
Lewis, “WEST POINT WOMEN,” 65
38
39
�Olsen, 14
valor in combat. "No way this country could accomplish its role and mission without women.
Those who deny that today hold a fossilized view of the academies. They've earned the doggone
right to be there."41 This type of response to a question of whether or not women belong in the
military sparks hope for women across the country. A small percentage of administrators were
pro-integration of women, but powerful leaders in these academies like William P. Mack are
crucial to women gaining respect, representation, and influence.
Not only can the rhetoric discourage women from making this incredible commitment to
their country, but also people in their communities. Lindsey Danilack, a class of 2014 graduate,
was discouraged from attending the academy. “In high school, one of my teachers actually told
me that I would never get into West Point, that it was too hard,”42 says Lindsey, a perfect fit for
the academy as she would go on to be a brigade commander for the entire student body.
The motto of the United States Military Academy at West Point is “Duty, Honor,
Country,” which focuses on the integrity of service, not any gender regulations. A model cadet is
based on character and behavior, to be leaders. Women have strengthened that model cadet. A
model cadet then easily transitions to crucial parts of our society: model doctors, model
engineers, model scientists, model service members, and model members of society. In 1989,
Kristen French became the first woman brigade commander, also known as first captain.43 This is
the highest ranking cadet position, which a woman filled just 13 years after the initial transition,
proving women had a place at the Academy. Simone Askew became the first African-American
woman first captain.
Disher, “Women CAN,”
Taylor, Rumsey; Williams, Josh; Williams, Margaret C. “The Women of West Point.” The New
York Times. (September 5, 2014)
43
Lopez, Tony. “French Retires After 29 Years of Distinguished Service to Our Nation,”
Army.mil, (July 10, 2015)
41
42
�Olsen, 15
Brigadier General Kristen French retired in 2015 after 29 years of service to the United
States Army. French graduated from West Point in 1986, 10 years after the first female class was
allowed at the academy. Kristen has been recognized as the best logistician in the US Army.
French has been deployed overseas in support of Operation Joint Endeavor in Croatia, Operation
Desert Fox in Kuwait, Operation Iraqi Freedom in Iraq and Operation Enduring Freedom in
Afghanistan.44 Kristen French is a superior example of a female asset to our country’s military.
Simone Askew is the first black woman to lead the Long Grey Line at West Point. Askew
assumed duties as first captain of the 4,400 member Corps of Cadets.45 First Captain is the top
and highest position that a cadet can hold at the Academy. Not only does Simone have the largest
responsibility within the cadets, she also is the liaison between the cadets and the administration.
Simone is an inspiration for women and people of color. Pat Locke, an African-American female
graduate of the class of 1980 “can’t believe this happened in (her) lifetime.”46 A 2018 graduate,
Simone Askew is just a single example of how successful women have been at West Point.
Family ties to West Point are very common for women to follow the courageous
decisions of their mothers. This is the case for the Efaw family. Amy and Andre Efaw are both
graduates of The United States Military Academy at West Point in 1989. The Efaw family
consists of 3 daughters who have thus graduated from the Academy. Alix, Anastasia, and
Arianna. Alix graduated in 2014, Anastasia graduated in 2016, and Arianna graduated in 2017.
Each of these women had a much different experience than their mother did, being part of just
the 8th graduating class including women. Though Alix puts an emphasis on the idea that “You
don’t want to be the weak link in the chain. Because they already expect you to be the weak link
in the chain,” her alumni mother Amy believes that “it’s different now. The standards are
Lopez, “French Retires,”
Cahillane, Kevin. “The West Point Sisters.”The New York Times. (September 11, 2014)
46
Cahillane, “The West Point,”
44
45
�Olsen, 16
different because they have to be.” This change in the experience of women at West Point shows
the foundation the first groups of women laid for females to feel welcome now.
Women interested in pursuing a career in the military may be turning more towards West
Point. Though today the Air Force Academy is around 30% female and the Naval Academy is
around 29%, West Point is actively working on creating more places for women to fit at their
academy.47 As of 2016, the American military will be opening combat positions to qualifying
women. Arianna Efaw, class of 2017, is one of these women who saw a future in infantry.
“Whenever I tell people I want to go infantry, they laugh in my face,”48 says Efaw. Efaw’s desire
to be an infantry officer is inspiring and proves that women belong in that setting if they are the
right fit for the job. That same year in 2016, the incoming class of women recorded for 22% of
the class, a jump from the previous year’s class make up only 16% women.49
Women around the country dominate the college pool. Today, women make up about
60% of colleges while men only 40%. Women are much less 60% of West Point, about 24-25%.
This could possibly be due to the fact that it is a military school, or that women were just allowed
to be in the institution 44 years ago. Though still women only make up less than 25% of the
corps of cadets, the transition has been far from unsuccessful. This transition also translates into
the actual army. As of 2019, women make up 16.8% of officers in the Active Duty Army, 13.6%
of enlisted soldiers in the Active Duty Army, and 15.5% of members of the Active Duty US
Armed Forces.50
Women have been more than just successful at West Point over the last 40 years. Women
at West Point today truly thrive. In order to get to this conclusion, I conducted interviews with 2
Cahillane, “The West Point,”
Taylor, “The Women of,”
49
Taylor, “The Women of,”
50
Lewis, “WEST POINT WOMEN,” 9
47
48
�Olsen, 17
active female cadets at West Point. In order to understand the current conditions of women at
West Point, the best way to do this was to understand the daily lives of female cadets. It is
imperative to capture women’s stories and experiences before they are lost to history as women
often go unheard in the documenting of history as no one asks them their stories.51 The questions
I prepared for the interview were guidelines to further topics that the cadets and I would explore
during the interviews. The interviews both lasted around 30 minutes and were conducted on
phone calls.
The story I found is that the integration of women to West Point has been successful. In
the academy’s 175-year history, women were only first accepted into the class of 1980, Sydney
Barber is the 16th woman selected for brigade commander since that time, but the 1st black
woman to be in this position.52 Success stories seen on the internet drove me to knowing the
success stories of cadets I am able to personally communicate. This has been strengthened by the
testimony of two current West Point cadets. The first interviewee, Lauren Lithgow, is in her third
year at the Academy, making her known as a “Cow” on campus. Lauren recently signed and
committed to serve as an Officer in the US Army, as all juniors will do at the Academy to stay.
Lauren is from West Long Branch, New Jersey, and has no family affiliation to the Academy. At
21 years old, Lauren spent a year at USMAPS, the preparatory school at West Point, to allow an
extra year to prepare her socially, physically, academically, and athletically, as Lauren is a current
member of the Division 1 Women’s Basketball team. Lauren’s participation on the basketball
team is what originally led her to the Academy. The other cadet who was willing to share her
story with me was Elizabeth Pepper. Elizabeth is a Firstie, meaning this year is her last academic
year at West Point, and she will be graduating as a 2nd Lieutenant in the Spring. When asking
Lewis, “WEST POINT WOMEN,” 338
Cronk, Terri Cook, “First Black Female Brigade Commander at Naval Academy Leads With
Passion.” U.S. Department of Defense. (March 12, 2021)
51
52
�Olsen, 18
Elizabeth where she is from, she does not have a set town as she and her family frequently
moved as her father graduated from West Point and now has an active job in the Army. Elizabeth
is an engineering major.
When speaking to both of these cadets, the first questions of the interviews had to do with
Title IX. Title IX is the federal law that prohibits sex-based discrimination in any school or any
other education program that receives funding from the federal government. I led the discussion
with Title IX because I wanted to understand their own personal viewpoints and knowledge level
of sex-based law and how it has affected their own personal journeys to get and stay at West
Point. Lauren’s response to what Title IX meant to her was it meant equality, as an athlete, Title
IX has influenced her but she notices there is still room for improvement at West Point in regards
to equality with athletics. Lauren spoke on quality of equipment but also acknowledges how “it
is also donation based and donors tend to lean towards mens sports.”53 As for Elizabeth, she says
that her experience has been positive and she has not even had to truly look at the specific
implications of Title IX. Though I wish these cadets had more experience with Title IX and more
of a personal relationship with it, I must conclude that it is a positive that these women do not
have to learn about the laws on gender equality as they feel secure as a woman at the academy.
These cadets both have very different backgrounds and these specific backgrounds gave
them different preparation for the Academy. Lauren, coming from a typical non-military
household, had more of a change in her way of life than Elizabeth, who grew up in a military
home, had to. Though it was a change for Lauren, she says “the dress code at West Point is fairly
normal and as expected.”54 Lauren speaks on the uniform and how she prefers the Army Combat
Uniform over the As for Class uniform as “it is more versatile for females.” These ACUs are the
Lauren Lithgow, Interview by Jillian R. Olsen, November 16, 2022, interview 1, Wagner
College.
54
Lauren Lithgow, Interview
53
�Olsen, 19
camo pattern uniform while the As for Class uniform is the “most dress like uniform.” 55 These
female cadets today have comfortable clothing to learn, train, and live in due to the women
before them. The many first classes of women were able to give feedback on the uniforms, as
early graduates of the academy had uniforms that were masculine, too big, and showed the
college’s unpreparedness for women. According to Sue Fulton, “The women were a new species
at the academy. They were surrounded by men who had never served with women or who were
used to attending an academy without them, and were not ready to accept their presence or treat
them as equals.”56 Neither the academy nor the male cadets were prepared for the integration.
Change has been happening recently. More doors opened in the coming years as women
at West Point in the class of 2016 were allowed to branch infantry and armor for the first time.57
This change allows for career opportunities and options for men and women to be equal.
In January of 2021, West Point announced that they would allow different hairstyles for
women other than the standard low-bun, in response to a popular opinion coming from female
cadets within the academy, according to Pepper. Defense Secretary Mark Esper ordered a review
of military hairstyle and grooming policies in the prior July.58 In the name of diversity, women
who have hair types that were not easily placed into a bun can now have more freedom with
protecting their hair. According to Sergeant Major Michael Grinston, “This is about an Army
standard and how we move forward with the Army, and being a more diverse, inclusive team.” 59
Elizabeth was fond of this change, as she can now wear her hair more comfortably in a braid and
so that her Advanced Combat Helmet, or ACH, can fit more comfortably. Elizabeth spoke of her
Lauren Lithgow, Interview
O’Connor, “Forty years,”
57
O’Connor, “The Army is,”
58
Associated Press, “In a Nod to Diversity, Army loosens rules on hairstyles, grooming.” Los
Angeles Times. (January 26, 2021)
59
Associated Press, “In a Nod,”
55
56
�Olsen, 20
experience wearing the ACH with the bun, so uncomfortable that she would have to deal with a
headache for the rest of the day. “When you have that tight bun all day in every single uniform,
not only does it hurt your hairline, but it also reduces headaches, and especially in a training
environment where you have an ACH, it is almost impossible to wear that with a bun and be able
to tilt your head up to shoot a rifle.”60 The larger buns, needed to accommodate thick or longer
hair, can make a combat helmet fit badly and potentially impair good vision.61 Elizabeth also
says that this small appearance change allows her “to perform better in the combat uniform.”
Elizabeth brings up how she has “talked to a lot of female cadets and also professors that feel the
same way.”62 This recent advancement in comfortability for women is a win for equity for
women.
Another new update for these current female cadets is nail polish. Something that had
seemed to be very feminine has become a natural occurrence for both men and women. The
allowance of a neutral colored nail polish has been approved. Elizabeth says that “they are still
very specific about the regulations,”63 as they ensure safety with nail length and shape. This
allows all cadets to maintain something that is seen as self-care and a beauty standard. Lauren
believes this change was made to allow “female cadets to show some femininity and small ways
to dress like a female even though the uniform is the same to males.”64 Women are allowed one
hole piercing on each ear, while men are still prohibited to wear earrings. Another aspect men are
held to at a different standard at West Point than at other military academies is that West Point “is
the only military that does not allow men to have beards”65 according to Elizabeth. Elizabeth
Elizabeth Pepper, Interview by Jillian R. Olsen, November 17, 2022, interview 2, Wagner
College.
61
Associated Press, “In a Nod,”
62
Elizabeth Pepper, Interview
63
Elizabeth Pepper, Interview
64
Lauren Lithgow, Interview
65
Elizabeth Pepper, Interview
60
�Olsen, 21
believes “that something coming in the future is an adjustment to the male standards, as West
Point is adjusting the female standards to allow for a more comfortable and stylistic nature, so
there may be a change in the male standards as well.”66
It was interesting to learn that both men and women have the same standard for tattoos.
Lauren explained how if a cadet wants to get a tattoo it “must be approved before-hand to make
sure it is appropriate.”67 Elizabeth explains a new rule that cadets “are allowed to have tattoos in
between fingers, as long as they can not be seen when the cadet is saluting.”68 Elizabeth also
mentioned that cadets are allowed to have a neck tattoo, but it must be a small size, as well as
cadets being permitted to have tattoos behind their ears. This ruling is very important when
looking at equality of appearance as women and men are held to the same standards in an aspect
that is not gendered.
Another focus of the interviews were how other cadets viewed these women. Lauren
described her experience as a cadre when she had to lead a group. She felt as though in the
beginning, that she would have to “work harder and prove”69 herself “against the other male
leadership for” her squad to respect her. She tells the story of how she was successful in this
situation and that after she was able to lead her group, she was “respected and liked more for
that.”70 Just like Arianna Efaw says, “You want to be better than the guys to prove that you
belong here.”71 According to Lewis, women officers have served as professors and tactical
officers at West Point and have provided female role models not only for the women but also the
men.72 These experiences with younger male cadets give them experiences that will allow them
Elizabeth Pepper, Interview
Lauren Lithgow, Interview
68
Elizabeth Pepper, Interview
69
Lauren Lithgow, Interview
70
Lauren Lithgow, Interview
71
Taylor, “The Women of,”
72
Lewis, “WEST POINT WOMEN,” 7
66
67
�Olsen, 22
to realize the equality of male and female leadership. As for Elizabeth, she has very similar
situations. Elizabeth describes her time with other male cadets as a gradual progression to full
respect. Elizabeth believes that the male cadets, ones who may not be convinced of the equality
of men and women at West Point, over time gain respect for the women that are completing the
same physical, emotional, and academic tasks as they are. Elizabeth blames any kind of
disrespect towards women at the Academy on immatureness of the male cadets and that it is a
personal problem that they will face themselves, rather than a problem of the Academy or a
problem of the culture at West Point. As Lindsey Danilack says perfectly: “We’re all trying to
accomplish very similar goals, regardless of gender.”73
As for the uncomfortable topic of sexual assault, these two cadets truly were able to open
up and speak proudly on the fact that neither of them have experienced any type of assault,
misconduct, or unwanted advances by male cadets. Not that I was wanting or expecting either of
these cadets to have a story to speak about, but I was surprised when they truly responded in the
opposite direction. Both cadets have stories of success within their fellow cadets. Lauren
acknowledged the idea of “pretty privilege” and that there is a “stigma that pretty girls in the
Army are more well liked or get what they want''74 due to their appearance. Elizabeth also
acknowledged this phenomena and how it allows women at the Academy who have physical
features that are appealing to society. Lauren states that “this is obviously a problem, that
unfortunately leads to issues like sexual harrassment or assault.”75 But, on a positive note, these
cadets both believe they are surrounded by a positive environment that keeps them safe from
forms of sexual assault, discrimination, or harrassment. Elizabeth spoke of a situation she had
during her first year where she felt uncomfortable around a male cadet, but her friends and even
Taylor, “The Women of,”
Lauren Lithgow, Interview
75
Lauren Lithgow, Interview
73
74
�Olsen, 23
those cadets she may not have been close with, gave her a safe environment where she felt
protected. It is a nationwide problem of having “bad eggs in the batch” but it is so important to
recognize that these female cadets feel safe and that the community would stand behind a woman
who felt threatened.
These interviews truly turned my research around. The experiences of women at West
Point have not always been positive, but today, it is clear to say that women are comfortable,
accepted, and thriving. These interviews were eye opening at the fact that these women represent
both a typical female athlete and a daughter of a West Point graduate, giving a wide
representation of female students at the academy, and they both have had the same positive
experience. These two cadets are prime examples of success stories for women at the Academy.
Lauren has been such an inspiration to not only our community, to young athletes, but also to me.
Lauren is a strong, independent, and successful woman who is thriving at the nation’s top
military academy. As a fellow female athlete, she drives me to be my very best self and to keep
me proud, yet humble to be a woman who will do what other women in the past could not. Their
amazing stories of success transitioned my research from negative to positive. I truly believe that
these two women encapsulate the success stories of women in today’s times. My findings are that
women are respected and well-accepted by the United States Military Academy at West Point. “I
would definitely not be here today if the women of 1980 wouldn’t have opened the door for all
of us. You can really see the impact when you have women from armies from all over the world
coming to West Point and then going back and opening doors for women in their militaries,”
Said Arelena Shala, class of 2020. As Pat Locke says, “When I entered the Academy in 1976, the
men did not want us there. Now 40 years later, everybody recognizes the talent and skills women
�Olsen, 24
bring to the game.”76 Women in the class of 1980 crawled, so that current women like Lauren
and Elizabeth as well as future female cadets could run.
The pressure to be a model cadet is strong enough, but the women who endure and
graduate from The United States Military Academy at West Point face much more than just that
pressure. Alexandra Efaw represents this insecurity well. She says; “not only do I have to prove
myself as a fresh lieutenant out of West Point, but I have to prove myself as a woman too.”77
Breaking through a glass ceiling is not a well enough said way to depict the experiences of the
first women at West Point. Not only did the first graduating female classes break the glass
ceiling, but ““there's some shards of glass that may have been embedded in my shoulder now and
then,”78 says Marene Allison, a graduate in the class of 1980. West Point women are strong,
resilient, determined, accomplished, vulnerable, and at times self-doubting. They are confident,
proud, funny, patriotic, compassionate, and inspiring.79
This research has led me to a success story of women’s integration at West Point. From
the experiences of women in the first integrated classes to the ongoing experiences of current
cadets, women are prosperous and triumphant. Using sources from the live events from 1976,
research from historians, and interviews with Lauren and Elizabeth, I formed a complete
understanding of a full history of the integration of women at West Point. Though there is always
room to grow, West Point accepting women into the military academy is such an amazing
achievement and a successful one at that.
Esch, Mary. “Simone Askew is the First Black Woman to Lead West Point Cadets.”
Taylor, “The Women of,”
78
O’Connor, “Forty years,”
79
Lewis, “West Point Women’s Views,” 321
76
77
�Olsen, 25
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Elizabeth Pepper, Interview by Jillian R. Olsen, November 17, 2022, interview 2, Wagner
College.
Esch, Mary. “Simone Askew is the First Black Woman to Lead West Point Cadets.”
https://www.armytimes.com/news/your-army/2017/08/15/simone-askew-is-first-black-woman-to
-lead-west-point-cadets/
Feron, James. “Integrated West Point Prepares for First Women Cadets.” The New York
Times. (September 22, 1975)
�Olsen, 27
https://www.nytimes.com/1975/09/22/archives/integrated-west-point-prepares-for-first-women-c
adets.html?searchResultPosition=1
Feron, James.“West Point Will Revise Its Policies On Finding and Training of Women.”
The New York Times. (April 17, 1977)
https://www.nytimes.com/1977/04/17/archives/west-point-will-revise-its-policies-on-finding-and
-training-of.html?searchResultPosition=1
Gelfand, Michael. “Sea Change at Annapolis: The United States Naval Academy,
1949-2000.” Chapel Hill: University of North Carolina Press. (2006)
Jones, Paul L. “Naval Academy: Gender and Racial Disparities. Report to the Chairman,
Committee on Armed Services, U.S. Senate.” United States General Accounting Office. (April
1993) https://files.eric.ed.gov/fulltext/ED371972.pdf
Lauren Lithgow, Interview by Jillian R. Olsen, November 16, 2022, interview 1, Wagner
College.
Lewis, Leslie Ann. “WEST POINT WOMEN: AN ORAL HISTORY OF THE WEST
POINT EXPERIENCE AND LEADER IDENTITY DEVELOPMENT.” Clemson University.
(2019)
https://tigerprints.clemson.edu/all_dissertations/2337/
�Olsen, 28
Leslie A. Lewis “West Point Women’s Views on Leadership: Perceptions From First
Women Graduates Through Current Cadets,” Journal of Women and Gender in Higher
Education. (Dec 29, 2020)
https://www.tandfonline.com/doi/pdf/10.1080/26379112.2020.1839903
Lopez, Tony. “French Retires After 29 Years of Distinguished Service to Our Nation,”
Army.mil, (July 10, 2015)
https://www.army.mil/article/152099/french_retires_after_29_years_of_distinguished_service_to
_our_nation
O’Connor, Brandon. “Forty years have passed since the first women graduated from West
Point in the Class of 1980.” Army.mil, (May 27, 2020)
https://www.army.mil/article/235994/forty_years_have_passed_since_the_first_women_graduate
d_from_west_point_in_the_class_of_1980
O’Connor, Brandon. “The Army is Changing: Current Female Cadets Will Enter the
Army with More Career Options Than Ever.” Army.mil (June 10, 2020)
https://www.army.mil/article/236362/the_army_is_changing_current_female_cadets_will_enter_
the_army_with_more_career_options_than_ever
Schloesser, Kelly. “Hard-Earned Respect: The first women of West Point.” Army.mil,
(November 2010)
https://www.proquest.com/docview/817662356
�Olsen, 29
Taylor, Rumsey; Williams, Josh; Williams, Margaret C. “The Women of West Point.” The
New York Times. (September 5, 2014)
https://www.nytimes.com/interactive/2014/09/04/magazine/women-of-west-point.html?searchRe
sultPosition=1
Yoder, Janice D.; Adams, Jerome “A Report on Women West Point Graduates Assuming
Nontraditional Roles.” Midwestern Psychological Association (May 1984)
https://files.eric.ed.gov/fulltext/ED247484.pdf
“How Women are Faring At West Point and Annapolis.” The New York Times.
(September 11, 1977)
https://www.nytimes.com/1977/09/11/archives/how-women-are-faring-at-west-point-and-annapo
lis.html?auth=login-google1tap&login=google1tap
Public Law 94-106, (October 7, 1975)
https://www.govinfo.gov/content/pkg/STATUTE-89/pdf/STATUTE-89-Pg531.pdf
Title IX, Education Amendments of 1972 (1972)
https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/title-ix-education-amendmen
ts/index.html#:~:text=Title%20IX%20of%20the%20Education%20Amendments%20of%201972
%20
�
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This archive contains materials from Wagner’s annual ‘Senior Presentations.’ This event honors outstanding students from each discipline who completed their Senior Learning Community project with excellence. The work is representative of Wagner’s highest standards, and is exemplary of the diversity of subject matter, public-facing scholarship, and civic-minded professionalism our students have attained through their four years here. These students were specially invited to present their work in a formal setting, traditionally the day of Baccalaureate. Students are encouraged to present their work in a format appropriate for their discipline, and so, the presentations vary in their format. Some might be in the form of a short video, or paper abstracts, while others might be posters or music clips. We expect this archive to serve as a resource for generations to come. Congratulations to our Seniors!
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Success or Failure? Women’s Integration into the United States Military Academy at West Point.
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Text
The Music Department of Wagner College presents
Thomas Folderauer, baritone
with
Giovanni Longo, piano
Friday, April 14, 2023, at 5 p.m.
Music Performance Center, Campus Hall
Thomas Folderauer is a student of Vincent Graña.
�Program
Why do the nations so furiously rage together?
from Messiah, HWV 56
Lord God of Abraham, Issac and Israel!
from Elijah, Op. 70
Ideale
Sogno
George Frideric Handel (1685–1759)
Felix Mendelssohn (1809–1847)
Paolo Tosti (1846–1916)
from The Great Comet
Dave Malloy (b. 1976)
Sonya & Natasha
Sarah Sweeney, soprano
Sonya Alone
Paul Hogan, guitar
The Stag
Thomas Folderauer (b. 2000)
Sarah Sweeney, soprano
Thomas Folderauer, piano
Questo amor, vergonga mia
from Edgar
Giacomo Puccini (1858–1924)
Intermission
Don Quichotte à Dulcinée, M. 84
1. Chanson romanesque
2. Chanson épique
3. Chanson à boire
Maurice Ravel (1875–1937)
from Winterreise, D. 911
5. Der Lindenbaum
15. Die Krähe
21. Das Wirtshaus
Franz Schubert (1797–1828)
�Program Notes
Why do the nations so furiously rage together?
from Messiah
Messiah is one of the most famous choral compositions in the classical music repertoire. It was
composed in 1741 by George Frideric Handel and has a libretto featuring passages from the King James Bible
adapted for the oratorio by Charles Jennens (1700–1773). It is in three parts: Part I centers on the prophecies
of Jesus’ birth as well as the events surrounding his birth, Part II details his crucifixion, and Part III focuses
on Jesus’ resurrection and the Day of Judgement.
“Why do the nations so furiously rage together?” is an air from Part II. The singer is originally
accompanied by a string orchestra performing driving figures with immense energy. In this performance. the
orchestral music is arranged for solo piano. The frenzied nature of the accompaniment can be heard within
the piano part, and this element combined with several powerful moments for the voice aptly expresses the
fury of God against the nations for their vanity. The Air’s text is that of Psalm 2:1-2 and features long
melismas on words such as rage, council, and anointed. It serves as a crucial moment in the work, setting up
God’s eventual triumph over the vengeful nations.
Since its premiere in Dublin, Ireland in 1742, Messiah has been performed countless times worldwide.
The beloved classic is a masterpiece, and its cultural relevance today speaks to the strength of Handel’s music.
Lord God of Abraham, Isaac and Israel!
from Elijah
“Lord God of Abraham, Issac, and Israel” is an aria from Felix Mendelssohn’s Elijah. The work is an
oratorio fashioned after similar works of Handel and Bach. It recalls the life of the prophet Elijah as told in
the books 1 Kings and 2 Kings of the Old Testament.
In the aria, Elijah is on Mount Carmel calling upon God to light his altar in flames. The Israelites
have been worshipping Baal, a god in the Canaanite Religion, so Abraham set up a test with the prophets of
Baal. Each prophet will set up an altar for their god; whichever god lights their altar ablaze is the true god.
Despite hours of worship, Baal never lights the altar, but when Elijah speaks to God the words of the aria,
from 1 Kings 18:36-37, his altar is set ablaze.
Tosti Art Songs
Paolo Tosti is best known as a composer of art songs noted for their singable, memorable melodies
as well as their romantic and nostalgic theming. Although Tosti never composed opera, his work is a standard
part of the classic Italian repertoire. He also wrote songs with French and English texts, and at one point was
the most popular composer in England. He wrote over 300 songs during his lifetime, and many are still
performed today.
The two songs featured in this recital are “Ideale,” which features a text by Carmel Errico (1848–
1892), and “Sogno,” which features a text by Olindo Guerrini (1845–1916). Both songs deal with longing for
the love of another and both ultimately end with the visions of the other being a dream. The difference
between these two songs reflects the different approaches to the lover. “Ideale” unabashedly runs to its lover
while “Sogno” reluctantly returns, but both end in the bittersweet feeling of knowing the lover who is,
however, absent.
�The Great Comet
Natasha, Pierre, and the Great Comet of 1812, or simply The Great Comet, is a show written in 2017 by
Dave Malloy, whose words and music blend contemporary and classical styles. His previous works include
theatrical explorations of Rachmaninoff and Winterreise with a contemporary twist; The Great Comet continues
this trend. The show is taken from an 80-page excerpt of War and Peace by Leo Tolstoy and features a score
influenced by classical music, electronic dance music, and indie rock. Malloy has described it “an electro-pop
opera ripped from a slice of Tolstoy's War & Peace.”
“Sonya & Natasha” and “Sonya Alone” are successive scenes in the stage production. Cousins
Natasha and Sonya have been dear friends since their childhood, and Sonya has finally learned of Natasha's
affair with Anatole Kuragin. Here their relationship reaches a breaking point, leaving Sonya to pick up the
pieces.
Sonya is defined by silent endurance. Her gentle strength is different from that of the roles typically
assigned to the baritone voice, but I felt it was an important exercise and challenge as a singer to explore it.
Sonya is typically portrayed by an alto, so I have transposed all of Sonya’s music down by an octave to suit a
lower voice. Both selections have retained their original key.
The Stag
“The Stag” is a song from my in-progress musical adaptation of the first branch of the Mabinogion.
The Mabinogion is a collection of stories from twelfth-century Welsh literature. They are divided into four
“branches,” each dealing with a different group of characters and events (with some overlap).
The first branch tells stories of kings, queens, magic, and honor. This song, however, deals with none
of the aforementioned. Instead, it features a stag roaming the countryside. The song switches between the
idyllic scene of a buck in the meadow and the sudden panic and alertness that the prey experiences. It ends
with a group of hounds circling and taking down the deer. Typically the hounds will be singers, but in this
performance the low chords in the piano at the end of the song take their place.
Before being written down, these stories were part of oral tradition, passed down by word of mouth
through centuries. They were constructed to be remembered, and the music reflects that. The piano features
repeating, simple figures. However, these weren’t simple stories. They were loaded with deep meaning and
symbolism. The soprano sings the role of The Stag, and her melody is more complex than that of the piano.
It features odd intervals, subtle changes in lengths of phrase, and long sustained notes. The composition can
be thought of as a minimalist art song.
Questo amor, vergogna mia
from Edgar
Edgar was the second opera completed by Giacomo Puccini. It premiered in Milan on April 21, 1889,
and featured a libretto by Ferdinando Fontana (1850–1919). Puccini was a composer of the verismo style. His
works were typically set in the present day, had gritty storylines, and dealt with the lives of everyday people
instead of deities or nobility. Edgar, an early example of this style, is set in the late medieval period and
follows a knight who falls in love with a village girl, with love triangles and tragic outcomes ensuing.
“Questo amor, vergogna mia” is an aria in Act I for Frank, who sings of his unrequited love for
Tigrana, a seductress trying to sway Edgar to return to their life of debauchery together. After this aria, Frank
renounces his feelings for Tigrana and recruits Edgar into his army. This shows Tigrana’s lasting grip on
those she tries to manipulate, as Edgar spends the rest of the opera deciding between his passion for Tigrana
and his love for Fidelia, Frank’s virtuous sister.
�Don Quichotte à Dulcinée
Don Quichotte à Dulcinée is a song cycle composed by Maurice Ravel to poetry by Paul Morand (1888–
1976). The cycle was commissioned by the film director Georg Wilhelm Pabst for a cinematic adaption of
Miguel de Cervantes’s epic novel Don Quixote. Ravel was in failing health while writing the cycle, and because
this slowed his work Pabst went instead with music by Jacques Ibert. Ravel completed only three of the four
intended songs, but the three that he completed serve as the full song cycle and were Ravel’s final
compositions.
The three songs feature unique time signatures and elements of Spanish dance, accentuating different
aspects of Don Quichotte’s character and story. “Chanson romanesque” showcases Quichotte’s sensuality for
Dulcinée, his princess just out of reach, as well as the lengths he would go to for her favor. “Chanson épique”
features slow full chords in the piano reminiscent of a church organ. It reveals Quichotte’s devotion to
Dulcinée which borders on the spiritual. The final song, “Chanson à boire”, removes the focus on Dulcinée
and instead shows Quichotte in the pursuit of bubbly wine. This goofy song features rhythms that enhance
the feeling of a drunken Quichotte stumbling around. It depicts Quichotte as a character who is silly but fullhearted and sincere in all he does.
Winterreise
Winterreise is a cycle of 24 songs or lieder by Franz Schubert (1797–1828), who imbued his songs
with an inventiveness unseen before him and with a dramatic sense typically reserved for opera. Schubert
found an appropriate source in Die Winterreise by Wilhelm Müller (1794–1827), a poetry cycle that follows a
single character dealing with intense heartbreak while setting off on a long walk through a wintery landscape.
The three selections in this recital serve as an abbreviated version of the journey, each song
displaying a distinct feature of the work. In “Der Lindenbaum” (The Linden Tree), old symbols of love
morph into new symbols of grief; the piano’s main melody shifts from the major key to the minor key. “Die
Krähe” (The Crow) is a venture into the tormented psyche of the wanderer, who sees a crow flying
relentlessly above his head. He wonders whether it is a sign of his imminent death. The piano plays high in
the treble register, leaving the wanderer stranded high in the air. How different is the wanderer’s silhouette in
the snowy landscape from that of the crow’s in the vast, white sky? “Das Wirtshaus” (The Inn) expresses the
wanderer’s desire to rest. He finds comfort in the green wreaths he sees around him and feels that at the inn
he can rest for good. The inn is actually a graveyard, and although he feels the unrelenting need to rest, he
still finds himself walking forward. The incessant call to rest is overtaken by the need to move forward; a man
and his walking stick become even more inevitable than death.
“‘Come to Schober's today and I will play you a cycle of terrifying songs; they have affected me more
than has ever been the case with any other songs.’ He then, with a voice full of feeling, sang the entire
Winterreise for us.” - Joseph von Spaun, a friend of Schubert.
Schubert performed this work, which he felt to be one of his best, in 1827 for a group of his friends
at the home of Franz von Schober. Within the next year he was dead. It’s between these two images that
Winterreise sits, deeply profound and deeply morbid, constantly teetering on a tightrope between the two.
�Thomas Folderauer is a classically trained baritone and composer based in New
York City. He is a senior vocal performance major at Wagner College. He is in Vincent
Graña’s vocal studio and has studied composition under Thomas Juneau and Stephanie
Leotsakos.
He has performed the roles of Papageno in Wagner College Opera’s The Magic Flute
and Octavius in Savannah Yates’s rock adaptation of Cleo and Tony, and has played for
many musicals as a pianist or drummer. In May, he will perform as Le Podestat in
Wagner College Opera’s production of Le Docteur Miracle. His work as a composer
includes his original musicals Roanoke, which was performed at Wagner College, and
Niagara, which had its debut at the DC Arts Center in Washington, D.C. after workshop
productions in Connecticut and Maryland.
Thomas is the 2020 Wagner College Italian Idol competition winner and a recipient of
the Ronald Cross Music History Award. He plans to pursue a graduate degree in classical
voice.
Giovanni Longo is the Wagner College Music Department’s primary pianist. He
plays for various choirs as well as for student juries and recitals. He also offers a class in
which he coaches students on their singing as well as analyzes great singers and operas.
Sarah Sweeney is a junior vocal performance major and the 2021 Wagner College
Italian Idol competition winner.
Paul Hogan is a junior theatre performance major. He records and releases original
music under the name Doc Francis.
The Performers
�
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Title
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Senior Presentations Archive
Description
An account of the resource
This archive contains materials from Wagner’s annual ‘Senior Presentations.’ This event honors outstanding students from each discipline who completed their Senior Learning Community project with excellence. The work is representative of Wagner’s highest standards, and is exemplary of the diversity of subject matter, public-facing scholarship, and civic-minded professionalism our students have attained through their four years here. These students were specially invited to present their work in a formal setting, traditionally the day of Baccalaureate. Students are encouraged to present their work in a format appropriate for their discipline, and so, the presentations vary in their format. Some might be in the form of a short video, or paper abstracts, while others might be posters or music clips. We expect this archive to serve as a resource for generations to come. Congratulations to our Seniors!
Date
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2017 -
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Wagner College, Staten Island, NY
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Date Digital
2023
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Senior Recital Program
Description
An account of the resource
Thomas Folderauer, baritone, with Giovanni Longo, piano
Friday, April 14, 2023, at 5 p.m.
Music Performance Center, Campus Hall
Creator
An entity primarily responsible for making the resource
Thomas Folderauer
Date
A point or period of time associated with an event in the lifecycle of the resource
4/14/2023
Contributor
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David Schulenberg
Vincent Grana
Music
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U.S. and international copyright laws may protect this work. It is provided by Wagner College for scholarly or research purposes only. Commercial use or distribution is not permitted without prior permission of the copyright holder.
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application/pdf
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6 pages
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text
Identifier
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2023_Music_Folderauer
Rights Holder
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Wagner College, Staten Island, NY
-
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055b63ba4594f0f6796b10420736dce2
PDF Text
Text
presents
Kelli Griffin, soprano
with
Giovanni Longo, piano
Sunday, May 7, 2023, at 5 p.m.
Music Performance Center, Campus Hall
Kelli Griffin is a student of Casandra LaMotte
Program
Gretchen am Spinnrade, D. 118
Franz Schubert (1797–1828)
from Le Nozze di Figaro, K. 492
L’ho perduta, me meschina
Wolfgang Amadeus Mozart (17561791)
I Only Have Eyes for You
Harry Warren (1893-1981)
from Cinq mélodies populaires grecques
2. Là-bas, vers l'église
3. Quel galant m'est comparable
5. Tout gai!
Maurice Ravel (1875–1937)
from Giant
He Wanted a Girl
Michael John LaChiusa (b. 1962)
I’m Not Waiting
Andrew Lippa (b. 1964)
Intermission
from Liebesfrühling
Liebst du um Schönheit
from Natasha, Pierre and the Great Comet of 1812
No One Else
Clara Schumann (1819-1896)
Dave Malloy (b. 1976)
�Fever
from Sunday in the Park with George
Everybody Loves Louis
Otis Blackwell (1931–2002)
Eddie Cooley (1933-2020)
Stephen Sondheim (1930–2021)
Rainy Night House
Joni Mitchell (b. 1943)
from Kinky Boots
The History of Wrong Guys
Cyndi Lauper (b. 1953)
�Translations
Gretchen am Spinnrade
Gretchen at the spinning-wheel
Meine Ruh’ ist hin,
Mein Herz ist schwer,
Ich finde sie nimmer
Und nimmermehr.
My peace is gone
My heart is heavy;
I will find it never
And nevermore.
Wo ich ihn nicht hab’
Ist mir das Grab,
Die ganze Welt
Ist mir vergällt.
When he’s not with me,
Life’s like the grave;
The whole world
Is turned to bitterness.
Mein armer Kopf
Ist mir verrückt
Mein armer Sinn
Ist mir zerstückt.
My poor head
Is crazed,
My poor mind
Is shattered.
Nach ihm nur schau’ ich
Zum Fenster hinaus,
Nach ihm nur geh’ ich
Aus dem Haus.
It’s only for him
I gaze from the window,
It’s only for him
I leave the house.
Sein hoher Gang,
Sein’ edle Gestalt,
Seines Mundes Lächeln,
Seiner Augen Gewalt.
His proud bearing,
His noble form,
The smile on his lips,
The power of his eyes,
Und seiner Rede
Zauberfluss.
Sein Händedruck,
Und ach, sein Kuss!
And the magic flow
Of his words,
The clutch of his hand,
And ah, his kiss!
Mein Busen drängt sich
Nach ihm hin.
Ach dürft’ ich fassen
Und halten ihn.
My bosom forces itself
After him.
Ah! I must clasp
And hold him,
Und küssen ihn
So wie ich wollt’
An seinen Küssen
Vergehen sollt’!
And kiss him
To my heart’s content,
And in his kisses
Perish!
�L'ho perduta, me meschina
I have lost it, woe is me!
L’ho perduta, me meschina!
Ah chi sa dove sarà?
Non la trovo. L’ho perduta.
Meschinella!
E mia cugina? E il padron,
cosa dirà?
I have lost it, woe is me!
Ah, who knows where it is?
I can't find it. I have lost it.
Miserable little me!
And my cousin, and the boss,
what will he say?
I Only Have Eyes for You
My love must be a kind of blind love,
I can’t see anyone but you.
And dear, I wonder if you find love
An optical illusion too?
Are the stars out tonight?
I don’t know if it’s cloudy or bright
‘Cause I only have eyes for you, dear.
The moon may be high,
but I can’t see a thing in the sky,
‘Cause I only have eyes for you.
How can I live a day without you?
I need your love to see me through.
You’re not here by my side.
Maybe millions of people pass by,
But they all disappear from view,
And I only have eyes for you.
Are the stars out tonight?
I don’t know if it’s cloudy or bright
‘Cause I only have eyes for you, dear.
The moon may be high,
but I can’t see a thing in the sky,
‘Cause I only have eyes for you.
I don’t know if we’re in a garden
Or on a crowded avenue.
You are here, so am I,
Maybe millions of people pass by,
But they all disappear from view,
And I only have eyes for you.
Cinq mélodies populaires grecques
2. Là-bas, vers l'église
There by the church
Là-bas, vers l’église,
Vers l’église Ayio Sidéro,
L’église, ô Vierge sainte,
L’église Ayio Costanndino,
Down there by the church,
By the church of Saint Sideros,
The church, O Holy Virgin,
The church of Saint Constantine,
Se sont réunis,
Rassemblés en nombre infini,
Du monde, ô Vierge sainte,
Du monde tous les plus braves!
Are gathered together,
buried in infinite numbers,
The bravest people, O Holy Virgin,
The bravest people in the world!
�3. Quel galant m'est comparable
What gallant can compare with me?
Quel galant m’est comparable,
D’entre ceux qu’on voit passer?
Dis, dame Vassiliki?
Vois, pendus à ma ceinture,
Pistolets et sabre aigu …
Et c’est toi que j’aime!
What gallant can compare with me?
Among those seen passing by?
Tell me, Mistress Vassiliki?
See, hanging at my belt,
Pistols and sharp saber…
And it's you I love!
5. Tout gai!
So merry!
Tout gai! gai, Ha, tout gai!
Belle jambe, tireli, qui danse;
Belle jambe, la vaisselle danse,
Tra la la la la …
So merry, Ah, so merry;
Lovely leg, piggy bank, that dances
Lovely leg, the dishes dance,
Tra la la la la …
He Wanted a Girl
He wanted a girl who hates dusty roads.
He wanted a girl who cries porcelain tears.
He wanted a girl who’ll put locks on the door
to protect all those gemstones she’s got in her
ears.
We’d laugh ourselves to sleep.
That’s something I can keep.
That’s something I can keep in my heart.
And we would ride!
Barrel-assin’ through the gullies,
Pitching camp and chewing jerky,
Showing off our scratches and favorite scars.
Teaching me to hold my bourbon,
Coaxing me to play my fiddle,
Making up songs, singing ‘em to the stars!
He wanted a girl who hates dusty roads.
He found him a girl who hates dusty roads.
Their hearts was meant to fit.
So I’ll be the fiddle-playing,
Bourbon-drinking,
Girl who’ll learn to live with it.
But hearts don’t dress up in fancy new
clothes,
But I am a girl who likes dusty roads,
And hearts don’t wear jewels or put locks on
‘Cause I am a girl who enjoys the outside.
the door.
Yeah, I was that girl who could keep up with
Hearts are just drums that go beating with
him and would follow him anywhere he chose wanting, and he was the one that my heart
to ride.
wanted for.
�I’m Not Waiting
Two years, Three years
You have had my eye.
Handsome, friendly,
Someone else's guy.
I’ll see you at a party
And we will say, “Hello.”
We'll chatter at a party
And I'll wonder if you know
I’m not waiting for you…
I'm not waiting for you!
Single? Hardly!
You can play the field.
Friends say, “No way!”
I just clutch my shield.
But I'll see you at a party
And want to hold you so.
I'll feel you at a party
But I quickly whisper “No,”
I'm not waiting for you.
I'm not waiting for you!
Am I old? Am I dumb?
Do I wear the wrong kind of jeans?
Am I flat? Am I slow?
Do I read the wrong magazines?
Am I tall? Am I cold?
Am I all the wrong in-betweens?
I'm not changing. I'm not growing.
You’re not watching! I’m not going!
We're not loving. You're not seeing
I'm not waiting!
I’m not waiting.
Four years, five years
Finally get that call
You're free, I'm free
Free to disenthrall
But we stagger to a party
As if it were an alibi
You lose me at a party
And I stop to wonder why
I've been waiting for you
I'm not waiting for you
�Liebst du um Schönheit
If you love for beauty
Liebst du um Schönheit,
O nicht mich liebe!
Liebe die Sonne,
Sie trägt ein goldnes Haar.
If you love for beauty,
O love not me!
Love the sun,
She has golden hair.
Liebst du um Jugend,
O nicht mich liebe!
Liebe den Frühling,
Der jung ist jedes Jahr.
If you love for youth,
O love not me!
Love the spring
Which is young each year.
Liebst du um Schätze,
O nicht mich liebe!
Liebe die Meerfrau,
Sie hat viel Perlen klar.
If you love for riches,
O love not me!
Love the mermaid
Who has many shining pearls.
Liebst du um Liebe,
O ja, mich liebe!
Liebe mich immer,
Dich lieb’ ich immerdar.
If you love for love,
Ah yes, love me!
Love me always,
I shall love you ever more.
No One Else
The moon —
First time I heard your voice
Moonlight burst into the room
And I saw your eyes,
And I saw your smile,
And the world opened wide,
And the world was inside of me,
And I catch my breath, and I laugh and blush,
and I hear guitars.
You are so good for me.
I love you, I love you, I love you, I love you
I love you.
Oh, the moon.
Oh, the snow in the moonlight,
And your childlike eyes,
And your distant smile.
I'll never be this happy again.
You and I
And no one else.
We've done this all before.
We were angels once.
Don't you remember?
Joy and life, inside our souls,
And nobody knows, just you and me.
It's our secret.
This winter sky,
How can anyone sleep?
There was never such a night before!
I feel like putting my arms round my knees
And squeezing tight as possible
And flying away like this…
Oh, the moon.
Oh, the snow in the moonlight,
And your childlike eyes,
And your distant smile.
�I'll never be this happy again.
You and I, you and I, you and I
And no one else.
Maybe he'll come today.
Maybe he came already
And he's sitting in the drawing room
And I simply forgot.
Fever
Never know how much I love you;
Never know how much I care.
When you put your arms around me,
I get a fever that's so hard to bear.
You give me fever,
When you kiss me,
Fever when you hold me tight.
Fever in the morning',
fever all through the night.
Romeo loved Juliet.
Juliet, she felt the same.
When he put his arms around her,
He said, "Juliet ,baby, you're my flame,
Thou givest fever
When we kisseth,
Fever with thy flaming youth.
Fever, I'm on fire.
Fever, yea, I burn forsooth!”
Sun lights up the day time;
Moon lights up the night.
I light up when you call my name,
And you know I'm gonna treat you right.
You give me fever,
When you kiss me,
Fever when you hold me tight.
Fever in the morning',
fever all through the night.
Now you've listened to my story,
Here's the point that I have made:
Chicks were born to give you fever,
Be it Fahrenheit or Centigrade,
They give you fever
When we kiss them;
Fever if you live, you learn.
Fever till you sizzle;
What a lovely way to burn!
What a lovely way to burn.
Oh, what a lovely way to burn!
Everybody's got the fever:
That is somethin' you all know.
Fever isn't such a new thing;
Fever started a long ago.
�Everybody Loves Louis
Hello, George...
Where did you go, George?
I know you're near, George.
I caught your eyes, George.
I want your ear, George.
I've a surprise, George...
Not that Louis' perfectionThat's what makes him ideal.
Hardly anything worth objection
Louis drinks a bit, Louis blinks a bit.
Louis makes a connection,
That's the thing that you feel...
Everybody loves Louis,
Louis' simple and kind.
Everybody loves Louis,
Louis' lovable
Seems we never know, do we,
Who we're going to find?
And Louis the baker is not what I had in
mind.
We lose things.
And then we choose things.
And there are Louis's
And there are GeorgesWell, Louis's
And George.
But George has George,
And I need someone!
Louis-
But… Louis' really an artist
Louis' cakes are an art.
Louis isn't the smartestLouis' popular.
Everybody loves Louis,
Louis bakes from the heart...
The bread, George.
I mean the bread, George.
And then in bed, George...
I mean he kneads meI mean like dough, George...
Hello, George...
Louis' always so pleasant,
Louis' always so fair.
Louis makes you feel present,
Louis' generous.
That's the thing about Louis
Louis always is "there."
Louis' thoughts are not hard to follow,
Louis' art is not hard to swallow.
Everybody loves Louis,
Him as well as his cakes.
Everybody loves Louis,
Me included, George.
Not afraid to be gooey,
Louis sells what he makes.
Everybody gets along him.
That's the trouble, nothing's wrong with him.
Louis has to bake his way,
George can only bake his...
Louis it is.
�Rainy Night House
It was a rainy night,
We took a taxi to your mother's home.
She went to Florida and left you
With your father's gun, alone.
Upon her small white bed,
I fell into a dream.
You sat up all the night and watched me
To see who in the world I might be.
I am from the Sunday school.
I sing soprano in the upstairs choir.
You are a holy man on the F.M. radio.
I sat up all the night and watched thee
To see, who in the world you might be
You called me beautiful.
You called your mother, she was very tanned.
So you packed your tent and you went
To live out in the Arizona sand.
You are a refugee
From a wealthy family.
You gave up all the golden factories
To see, who in the world you might be.
�History of Wrong Guys
Women have been making bad choices
since the beginning of time.
Are you gonna be another one of mine?
Oh whoah
I used to think you were from outer space
Who's that bright-eyed guy in your place?
You're kind of cute when you're not so shy
Oh whoah
Yesterday no spark
No heart aching allure
But today I'm feeling
Something I just can't ignore.
Charlie, honestly
I've been hurt like this before
Oh. Oh. Oh
The history of wrong guys:
But I've been here before,
Chapter one - he's a bum.
Have I come back for more?
Two - he's not into you
Another chapter in the history of wrong guys. Three - he's a sleaze.
You used to be so "Ehhhh"
Four - loves the girl next door.
A limp lackluster bore,
Five - loves the boy next door.
But now you're changing into something I just Six - don't love you no more,
can't ignore.
makes you insecure,
makes you so unsure,
Charlie, honestly,
Is so immature,
I've been hurt like this before.
Loves his mother more, Or...
Is there really more to you
... has a girlfriend named Nicola.
Than what I always thought?
How can you surprise me anymore?
Charlie, honestly
Oh. Oh. Oh.
I've been hurt like this before
I can see there's more to you
Don't want to be another star-crossed lover.
Than what I always thought
We all know how that ends.
But I won't be burned anymore
I'm better off without him,
Oh, oh, oh
We're better off as friends.
But I've been here before
Have I come back for more?
Another chapter in the history of wrong guys.
�Program Notes
Gretchen am Spinnrade
“Gretchen am Spinnrade” Op. 2, D. 118 is a lied, or German art song, composed by Franz
Schubert (1797-1828) with text by Johann Wolfgang von Goethe (1749-1832). This piece,
composed in 1814, marked one of the initial successes in Schubert’s career at merely 17 years
old. The text of “Gretchen am Spinnrade,” or “Gretchen at the Spinning Wheel” derives from
Scene 15, Part I of Goethe’s Faust, in which Gretchen, a woman bewitched to love Faust, longs
for peace from her feelings of desire. The monotony of her activity at the spinning wheel
simultaneously grounds her and drives her to feelings of madness as she grows aware of her
lunacy. Schubert’s writing for the piano mimics the fast, repetitive rotations of the spinning
wheel in the right hand. The song is strophic, including three stanzas that repeat the same
melodies but build in intensity as Gretchen spirals into a feverish and amorous craze despite her
attempts at reclaiming composure.
L’ho perduta, me meschina
from Le Nozze di Figaro, K. 492
Le Nozze di Figaro, K. 492, is an opera composed by Wolfgang Amadeus Mozart (17561791) with a libretto by Lorenzo da Ponte (1749-1838). Premiering on May 1, 1786 in Vienna,
The Marriage of Figaro marked the first collaboration between Mozart and da Ponte and
Mozart’s eighteenth opera. Based on Pierre Beaumarchais’ play La folle journée, ou le Mariage
de Figaro, the opera details the comical trials and mishaps of the household of Count Almaviva
of Spain. The title character, Figaro, is betrothed to Susanna, a maid who has caught the eye of
the hotheaded Count. In the throes of the Countess and Susanna’s scheme to teach the Count a
lesson in fidelity, Barbarina, another maid, has been tasked with delivering a message and a pin
between the Count and Susanna. In a moment of melodrama, Barbarina misplaces the pin and
cries for heaven to help her locate the special pin.
“L’ho perduta, me meschina,” No. 23, opens the fourth act of the opera. Accompanied by
the strings and piano, the aria conveys the feeling of anxiety and panic despite being quite slow
in tempo. The short phrasing of the expressions and the rests in between each make it sound
almost like panting, out of breath from a fanatic search for a small pin. The aria is in da capo
form, repeating the opening section at the closing of the song in a more dramatic fashion as
Barbarina resigns in failure.
�I Only Have Eyes for You
Featured in the 1934 film Dames, “I Only Have Eyes for You” was written by the
American songwriting duo: composer Harry Warren (1893-1981) and lyricist Al Dubin (18911945). Upon its release, the song became a popular jazz standard with several recording by
notable artists such as the Flamingos, a doo-wop group, Art Garfunkel, and Frank Sinatra. “I
Only Have Eyes for You” is also featured in some versions of 42nd Street, a jukebox musical of
Warren and Dubin’s works inspired by their 1933 movie of the same name. The musical tells the
classic tale of a small town girl, Peggy, who moves to New York to perform, and, in a stroke of
luck, gets to make her big break on Broadway replacing the lead diva, Dorothy Brock. When
performed in 42nd Street, “I Only Have Eyes for You” takes place in the latter half of Act I and
is sung by Dorothy Brock in a moment of vulnerability. To fund the Broadway musical that will
put her name back in lights, Dorothy dates an oil tycoon for whom she has no true affection.
Torn between her lover, Pat Dennings, and her chance at renewed stardom, she sings about the
all-consuming nature of their relationship.
The song highlights the romantic qualities of 1930s jazz style, with the melody and
accompaniment working to express longing and tension. In its original form, the accompaniment
combined brass instruments and strings to illustrate the lighthearted and emotional aspects of
romance. The jazz harmony expresses moments of tension that resolve to mimic the discovery of
emotional clarity.
Cinq mélodies populaires grecques
The song cycle, Cinq mélodies populaires grecques, or Five Popular Greek Songs, was
written by French composer Maurice Ravel (1875-1937) with words by the Greek musicologist
Michel-Dimitri Calvocoressi (1877-1944). The songs were commissioned in 1904 by Pierre
Aubry, a French musicologist, for a lecture on Greek folklore. Ravel and Calvocoressi arranged
five short songs for soprano and piano based on the chansons and folksongs of various Greek and
French artists. In 1905, Ravel replaced three of the songs from the cycle with newer, longer folk
settings. The collection premiered in France in 1906, in Calvocoressi’s recital on Greek popular
song, performed by soprano Marguerite Babaïan. Ravel used Greek and French folk melodies
and put his own chromatic and modal twist on the underlying accompaniment to create a
reimagining of well known songs.
“Là-bas, vers l'église,” or “Down by the church” is the second song in the cycle. The
song gently discusses those buried in the church cemetery. Set in the phrygian mode, Ravel
evokes the eeriness of reflecting on death and mortality. The piano plays a motif that mimics the
sound of church bells to affirm the gloomy setting of the piece.
�The third in the set, “Quel galant m'est comparable,” or “What gallant compares with me?”
depicts a boastful man attempting to woo a woman by pointing out that he is simply the best
suitor in town. To highlight the large proclamation that opens the song, the piano strikes a large
chord and the voice sings unaccompanied through the first verse. The second verse repeats the
melody of the first, but this time with dance-like rhythms in the piano. The singer expresses their
love in a brief tender moment before returning to the dance.
“Tout gai!” ends the song cycle with a positive outburst, declaring the merriment of all. The
song is entirely major, maintaining the joy of the text. The melody of the first stanza repeats, the
second time sung on “Tra la la…” as the singer is overcome with giddiness.
He Wanted a Girl
from Giant
Giant is a musical that premiered at the Signature Theatre in Virginia in 2009, with a
book by Sybille Pearson and music and lyrics by Michael John LaChiusa. LaChiusa is a Tony
nominated musical and opera composer who is famous for his works Hello Again (1994) and The
Wild Party (2000). Based on Edna Ferber’s 1952 novel of the same name, Giant explores the
impact of the 1920s oil boom in Texas from the perspective of the Benedict family. The show
also examines the racism that was heavily present between the Mexican families that lived in
Texas before white ranchers took over the land.
“He Wanted a Girl” is sung by Vashti, a former flame of Bick Benedict, in a flashback to
when Bick ended their relationship to marry another woman from Virginia. Vashti relinquishes
her claim over Bick as she comes to realize that she was always more of friend and follower than
she was a leading lady in his eyes. The piece resembles a country-folk tune, prominently
featuring the banjo, fiddle, and piccolo. Vashti employs the melody of the verse four times, as
she directly compares herself to Bick’s new wife, who is everything she is not. The bridge breaks
up this pattern, as she reminisces on the time they spent together, until she ultimately resigns
herself to feeling inadequate, acknowledging that she has to let him go.
I’m Not Waiting
“I’m Not Waiting,” written by Andrew Lippa (b. 1964) is a stand-alone, musical theatre
style song written specially for Broadway alum, Julia Murney. The song premiered on her 2006
solo album, also titled “I’m Not Waiting.” Lippa is a British-American composer and performer
famous for his musicals The Addams Family and Big Fish. Lippa met Murney in 1996 when she
was auditioning for him, and they became close friends. He offered to write a song for her debut
album, wanting to give her a piece that highlighted the elegant clarity of her voice and her knack
for storytelling.
�The song itself tells the story of a woman whose love for an acquaintance remains
steadily unrequited. The playful opening piano motif returns each time she sings about her long
lasting infatuation with this man, each time ending with the singer assuring herself that she’s not
waiting for him to notice her. She begins to question why she has not garnered his attention, and
finally, after learning he is not who she thought, declares that she is leaving him in the past.
Liebst du um Schönheit
“Liebst du um Schönheit” Op. 37 no.4 is a poem by German poet Friedrich Rückert
(1788-1866) set to music by Clara Schumann (1819-1896), a famous German pianist, composer,
and teacher. Schumann was a child prodigy who toured Europe as a pianist beginning at age 11.
She married fellow composer Robert Schumann (1810-1856) at the age of 21, and they
premiered collections of lieder together as spouses, setting romantic poems to music and
dedicating them to one another. Liebesfrühling is a collection of their Rückert lieder that was
published in 1840, the year of their marriage.
Clara Schumann composed this song for voice and piano as an intimate and genuine
performance of the poetry. The strophic song repeats the simple melody over four stanzas, the
piano underneath growing in volume and complexity with each strophe. The first three stophes
advise the listener, or the lover of the singer, that they should not love them for reasons that are
materialistic or superficial. The song reaches its climax in the fourth strophe, when the text
expresses “If you love for love, Oh yes, love me!” The singer accepts the love of another and
avows her faith in true and genuine love.
No One Else
from Natasha, Pierre and the Great Comet of 1812
Natasha, Pierre and the Great Comet of 1812 is a contemporary musical written by Dave
Malloy (b. 1976) based on an excerpt of Leo Tolstoy’s War and Peace (1869). The show’s
ensemble employs modern humor to narrate the story as the show’s principals sing in an older
dialect. Musically, this show blends a classical sound with Russian folk tunes and modern pop
and rock style vocalisms to illuminate both the context of the work and today’s musical
storytelling vernacular. Great Comet is entirely sung through, using the classical operatic
structure of recitative and aria.
“No One Else” takes place in Act I of the show, depicting Natasha, a young visitor to
Moscow, as she expresses her love for her betrothed, Andrey, who is away fighting in the war.
Unlike many other parts of this musical, “No One Else” hardly uses electronic musical sounds,
illuminating Natasha’s purity and naivete. The song prominently features the piano, strings, and
chimes. The song adds instruments and grows stronger in volume as Natasha dissociates from
�reality as her isolation sets in. The song ends in a very quiet place, as Natasha realizes that she
may never see Andrey again, and she may never experience love again, but attempts to remain
optimistic.
Fever
“Fever” is an American jazz standard co-written by Otis Blackwell (1931–2002) and
Eddie Cooley (1933-2020). Blackwell was a Brooklyn-born songwriter who wrote several well
known songs, including “Don’t Be Cruel” and “All Shook Up,” made famous by Elvis Presley,
and Jerry Lee Lewis’s “Great Balls of Fire.” Blackwell took great inspiration from Blues singers
and country music. The song, “Fever,” was written for and recorded by Little Willie John (19371968), an American Rhythm and Blues singer, for his first album, Fever (1956). Peggy Lee’s
version of the song in 1958 brought intense popularity to the song, standardizing her lyric
rewrites. Lee herself wrote the “Romeo and Juliet” verse, which brought a clever comedy that
the text did not have previously.
The 1956 version of “Fever” was a blues tune, arranged for alto and baritone saxophones,
guitar, and Little Willie John’s snapping fingers. Peggy Lee’s rendition features only a bass and
drum kit, mimicking the environment of a jazz club. The song modulates keys twice, both times
up a half step, indicating a rising metaphorical temperature.
Everybody Loves Louis
from Sunday in the Park with George
The musical Sunday in the Park with George tells the fictionalized story of how Georges
Seurat's painting, A Sunday Afternoon on the Island of La Grande Jatte (1886), came to be.
With music and lyrics by Stephen Sondheim (1930–2021) and a book by James Lapine (b.
1949), the show questions the meaning and inspiration of artistic expression in both the 1880s
and contemporary times, following both George (Georges Seurat) and his grandson, a struggling
artist also named George. Stephen Sondheim is one of the most notable composers of twentieth
century musical theatre, creating a large impact on the structure of musicals and the exploration
of tonality as a form of communication to an audience.
In Act I of Sunday in the Park with George, Dot, George’s estranged former lover, sings
“Everybody Loves Louis” about her new life with Louis, the baker. The song revolves around
two musical themes, the first a longing, slower theme as Dot longs for the attention of George.
The orchestra plays held chords as Dot sings a repeated melody on top. This theme is meant to
symbolize George, with whom her relationship was intellectually deep and emotion driven. The
secondary theme is much quicker, with a much more active accompaniment. Dot sings about all
of Louis attributes, positive and mediocre, as she tries to convince George that she is happy. The
�harmony of Louis’ theme is unsatisfying to the ear but not unpleasant, representing how Dot
appreciates being well-respected in her new relationship, but lacks the passion of her torrent
relationship with George. The song concludes as Dot decides to settle for Louis, a man who will
make time for her.
Rainy Night House
Joni Mitchell (b. 1943), a Canadian-American poet, songwriter, and singer, is one of the
most prominent voices of the 1960s folk circuit due to her unique sound and astounding lyricism.
Mitchell crafted an unconventional and non-linear style of storytelling and image painting that
exposed an element of authenticity to the listeners, speaking about social reality to the outside
world.
“Rainy Night House” was released on Mitchell’s 1970 album, Ladies of the Canyon.
Written for voice and piano, the song employs a strophic form to create a simplicity and
familiarity within its musical elements. The lyrics center around Mitchell's relationship with
fellow singer, songwriter, Leonard Cohen, and a specific night they spent together in his
childhood home. Mitchell tells three different stories, each combining to relay the complex
emotions that accompany self discovery and human curiosity, commenting on the innate desire
for human connection.
The History of Wrong Guys
from Kinky Boots
Kinky Boots is a Broadway musical with a book by Harvey Fierstein and music and lyrics
by Cyndi Lauper. As Lauper’s first endeavor to write for the stage, she combines the attention
grabbing and catchy melodies of her eighties hits with elements of theatrical and comedic
storytelling. The plot of Kinky Boots centers around Charlie, a man who inherited his father’s
shoe factory, and Lola, a drag queen, who both learn to leave parental transgressions behind and
live for themselves. The two team up to save Charlie’s family business by producing a line of
heeled boots.
“The History of Wrong Guys” is sung by Lauren, an employee, as she realizes she is
falling for her boss. Charlie, however, is not available, causing Lauren to lament always falling
for the wrong person. The accompaniment utilizes synthesizers, electric guitars, and drums,
creating a very 1980s pop sound.
Kelli Griffin (soprano) is a senior Vocal Performance major with a minor in Spanish at Wagner
College. She performs in the Wagner College Choir under the direction of Thomas Juneau and,
�in 2020, performed at Carnegie Hall with the Wagner Treble Choir. In 2022, she participated in
the New England Symphonic Ensemble Carnegie Hall performance of Mark Hayes’s Te Deum
and Serenade to Music by Ralph Vaughan Williams. With Wagner College Opera Workshop,
directed by Vincent Graña, she appeared as Marcellina in Mozart’s Le Nozze di Figaro and First
Attendant/Spirit in The Magic Flute.
On campus, Kelli serves as Music Director for Student Run Musical Theatre and as
Treasurer of the Theatre Advisory Board. She is also the percussionist for Spin Cycle, Wagner’s
Improv Troupe. In November 2022, she made her Main Stage debut as Miss Shingle in A
Gentleman’s Guide to Love and Murder. She has also appeared in Smokefall (Footnote), Little
Women (Mrs. Laurence, Swing), Peter and the Starcatcher (Smee), A Midsummer Night’s
Dream (Nick Bottom), and Harvey (Betty/Miss Johnson).
�
Dublin Core
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Title
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Senior Presentations Archive
Description
An account of the resource
This archive contains materials from Wagner’s annual ‘Senior Presentations.’ This event honors outstanding students from each discipline who completed their Senior Learning Community project with excellence. The work is representative of Wagner’s highest standards, and is exemplary of the diversity of subject matter, public-facing scholarship, and civic-minded professionalism our students have attained through their four years here. These students were specially invited to present their work in a formal setting, traditionally the day of Baccalaureate. Students are encouraged to present their work in a format appropriate for their discipline, and so, the presentations vary in their format. Some might be in the form of a short video, or paper abstracts, while others might be posters or music clips. We expect this archive to serve as a resource for generations to come. Congratulations to our Seniors!
Date
A point or period of time associated with an event in the lifecycle of the resource
2017 -
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A HISTORICAL ANALYSIS OF ATTACHMENT
A Historical Analysis of the Implementation of Attachment Theory into the Elementary
School Classroom
Liana Andersen
Department of Psychology; Wagner College
1
�A HISTORICAL ANALYSIS OF ATTACHMENT
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Abstract
Attachment theory has been developed and integrated into the classroom as a result of years of
psychoanalytic theories, studies, and films aiming to evaluate the behaviors of children in
relation to their parents. The purpose of this paper is to examine the historical theories of
attachment in children and its growth since being implemented into the classroom. Freud and
Klein created two schools of thought, but ultimately Klein’s theory that the mother serves as the
child’s first attachment figure, as well as her psychoanalytic practices, overruled Freud’s works.
Further researchers, such as Ainsworth through the use of the Strange Situation Experiment,
Bowlby’s attachment theory, and films such as Spitz’s Grief: A Peril in Infancy and Robertson’s
A Two Year Old Goes to the Hospital built upon Klein’s theories, and allowed for the
implementation of attachment theory in the classroom. Boxall’s nurture groups served as the
pioneering intervention services used to address emotional and behavioral difficulties in children.
Keywords: Attachment Theory, Nurture Groups, Attention, Elementary School
Classrooms
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Contents
Chapter 1 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 5
Introduction - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 5
Freud and Klein’s Creation of Child Psychoanalysis - - - - - - - - - - - - - - - - - - - - - - - 5
Psychoanalysts Build Upon the Works of Freud and Klein - - - - - - - - - - - - - - - - - 8
Attachment Theory Becomes Implemented in the Classroom by Teachers - - - - - 11
Conclusion - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 14
Chapter 4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 15
References - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 16
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Chapter 1: A Historical Analysis of the Implementation of Attachment Theory into the
Elementary School Classroom
Child psychoanalysis is a relatively new field of psychology that has made
groundbreaking discoveries with origins in the work of Melanie Klein and Anna Freud in the
1920s. Much of their works set the foundation for what many teachers use in classroom
environments today. Anna Freud published her first work in 1927, titled Introduction to the
Technique of Child Analysis, and Klein’s book titled The Psychoanalysis of Children followed
shortly in 1930. Both women shared similar ideas regarding attachment in children at the
beginning of their careers, but split after a disagreement regarding the practical use of child
psychoanalysis. The works of A. Freud and Klein paved the way for John Bowlby to create his
theory of attachment in the 1950s, which was incorporated into educational settings across the
country and is used today. The purpose of this chapter is to examine the historical theories of
attachment in children and its growth since being implemented into the classroom.
Freud and Klein’s Creation of Child Psychoanalysis
Anna Freud and Melanie Klein are considered the creators of the field of child
psychology. Both were originally trained under Sigmund Freud in adult psychoanalysis, as they
felt it necessary to understand their own psychosexual thoughts in order to properly prepare for
the psychoanalysis of children (Lachlan, 2007). By understanding their own psychosexual
desires, they would be able to relate to the children they worked with more thoroughly and assist
them as they begin the process of child psychoanalysis. The goal of child psychoanalysis
according to Freud and Klein was to help children overcome anxieties and repressed feelings in
order to improve their future adult lives (Lachlan, 2007). Although both psychoanalysts had a
common goal, they had a public disagreement regarding the methodology for achieving this goal
�A HISTORICAL ANALYSIS OF ATTACHMENT
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and eventually the pair divulged to create two schools of thought surrounding child
psychoanalysis.
According to Anna Freud, the preadolescent stage of a child’s life is characterized as
being one of inner turmoil as they navigate the external world around them and their internal
world (Freud, 1968). From ages eleven to fourteen, children struggle with a lack of guidance;
they no longer value the opinions of adults such as their parents or teachers in the formation of
their personalities, but rather their peers as they begin to influence their ego (Freud, 1968).
Despite this desire for acceptance, in many cases sound attachments between peers are not
created yet, which can result in a child that has greedy, self-centered tendencies (Freud, 1968).
The root of the outwardly selfish personality of children is not necessarily their fault, according
to Freud. Freud believed it was the repressed fantasies about their parents that caused the child’s
personality to present as having behavioral disorders, such as neurosis (Freud, 1968). Not only
that, but Freud was adamant that neurosis does not develop until the child is aged three to five
years old due to the development of the superego and the Oedipal Complex (Freud, 1968). This
means that a child’s disruptive behavior is also a result of their parents actions, as well as the
repressed fantasies a child has about their parents, and the use of psychoanalysis can reduce the
frequency of neurosis symptoms (Freud, 1968; Lachlan, 2007). Freud theorized that different
stages in development present different disabilities, and the effectiveness of psychoanalytic
therapy as a cure varies based on the stage the child is currently in (Freud, 1968). This serves as
one of the first allusions to individualized education plans, as each child will require different
intervention services depending on what age they are. An eleven year old child’s needs are going
to vary greatly compared to the needs of a four year old, and it is imperative that we consider this
in schools in order to ensure the success of children academically, socially, and emotionally.
�A HISTORICAL ANALYSIS OF ATTACHMENT
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Unlike Freud, Melanie Klein believed that regardless of gender, behavioral disorders
stem from the oral phase of psychosexual development and the attachment of a child to their
mother. Having experience with observing her own children, Klein believed that the superego
was developed within the first year of a child’s life as a result of both positive and negative
experiences with their mother, particularly through feeding and the mother’s breast (Klein, 1975;
Lachman, 2007). The mother’s breast serves as the first attachment object of a child’s life (Klein,
1975). When a child has demands to be fed, they will either experience pleasure when the mother
meets that need and provides her breast, or they will experience anxiety due to the lack of their
needs being met (Klein, 1975). Anxiety, according to Klein, is formed through the child’s fear of
losing something or someone they love, and therefore the child may develop anxiety due to their
fear of abandonment (Klein, 1975). Klein believed that a child’s play behaviors can give
psychoanalysts a window into the attachment styles of a child, and therefore used free
associations to analyze the behaviors of a child’s play. For example, if a child displays aggressive
behaviors, such as hitting during play, Klein believed it was due to the child’s attempt to seek
revenge against their mother for abandoning them at a time of need (Klein, 1975). In an attempt
to master their anxiety, a child will call upon its ego to make sense of the situation and reassure
themself that their object will return (Klein, 1975). Similar to Freud, Klein also believed that the
mastering of anxiety varies at each stage of childhood. Both Freud and Klein had spent years
refraining from commenting on each others’ work, but this changed once Freud criticized Klein’s
method of psychoanalysis, claiming that hers presented more benefits (Donaldson, 1996). In a
rebuttal, Klein accused Freud of not actually analyzing children at all, which other
psychoanalysts of the time built upon as they provided deeper disputes of Freud’s work
(Donaldson, 1996). This led to a chasm between the friendship of Freud and Klein, and also a
�A HISTORICAL ANALYSIS OF ATTACHMENT
7
greater divide of the field of child psychology with most child psychologists favoring Klein for
her application of child psychoanalytic theory into therapy.
Psychoanalysts Build upon the Theories of Freud and Klein
The tension between Freud and Klein may have caused a rift in the field of child
psychology, but many psychoanalysts built upon their works and provided relevant empirical
research studies (Ainsworth, 1978), theories (Bowlby, 1988), and integrated practices (Boxall,
2000) to deepen our understanding of children. One psychoanalyst, John Bowlby, even felt it was
absolutely necessary to remain neutral when discussing the work of Freud and Klein due to their
lack of data to support their theories (Mooney, n.d.). Despite this, most studies following the
publications of their works seemed to support Klein’s theory more strongly, finding her
attachment of all children to the mother to be more relevant (Ainsworth, 1978; Boxall, 2000;
Bowlby, 1988; Klein, 1968).
Mary Ainsworth, through her Strange Situation experiment, helped provide data that built
upon Klein’s theory by supporting the role of attachment figures in an infant’s life, and
differentiating between attachment styles of children (Ainsworth, 1978). The experiment invited
mothers to enter a laboratory with their infants and begin playing with them (Ainsworth, 1978).
After a few minutes, a stranger would enter the room and join in with play, and eventually the
mother would exit the laboratory (Ainsworth, 1978). The goal of the researchers was to evaluate
the behaviors of the infants once their mother had left the room in hopes of determining how
strong the emotional attachment was between mother and infant (Ainsworth, 1978). Results of
the experiment separated the babies into three groups based on their behaviors when left alone
with the stranger (Ainsworth, 1978). Group B and C babies were recognized as having a more
positive relationship with their mothers– Group B babies seemed to cry less when their mothers
�A HISTORICAL ANALYSIS OF ATTACHMENT
8
exited the room indicating that they were secure that their mother would return, whereas Group
C babies displayed crying behaviors more and had a seemingly lower expectation of their
mother’s responsiveness and ability to address their needs (Ainsworth, 1978). Researchers
noticed a major difference between the behaviors of the mothers of Group A babies. These
mothers seemed to be more dismissive or annoyed by their babies discomfort than other mothers
(Ainsworth, 1978). These data helped Ainsworth separate attachment styles into three categories:
insecure avoidant (Group A), secure attachment (Group B), and insecure ambivalent attachment
(Group C) (Ainsworth, 1978). She concluded that these attachment types were influenced by
early interactions with the childrens’ mothers (Ainsworth, 1978), thus supporting Klein’s theory
that mothers play a prominent role as an attachment figure in all children’s lives.
Although no research regarding this topic was ever performed, Ainsworth provided future
directions for psychologists to build upon her findings from the Strange Situation (Ainsworth,
1978). In her 1978 work, Ainsworth proposes that the principal attachment of infants does not
necessarily need to be the child’s biological mother, but rather a caretaker who accepts the role a
typical mother plays in an infant’s life (Ainsworth, 1978). This can include a father, babysitter, or
even a sibling of a child (Ainsworth, 1978). By providing this direction for future research, it
allowed John Bowlby to develop his theory of attachment.
Highly influenced by his work as an army psychiatrist during World War II, specifically a
film created by Rene Spitz in 1947, as well as the works of Mary Ainsworth, John Bowlby
created the theory of attachment (Bowlby, 1988). World War II resulted in many children
experiencing prolonged separation from their parents, or worse, being orphaned from the
detriments of violence. Rene Spitz, a psychoanalyst at the time, working alongside Katherine
Wolf, developed a film to highlight the detrimental effects long periods of separation had on
�A HISTORICAL ANALYSIS OF ATTACHMENT
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children (Spitz & Wolf, 1947). All of the children in the film were recorded at the beginning of a
separation period from their mother, displaying typical happy baby behaviors such as smiling
and feeling comfortable around strangers, confident that their mothers would return (Spitz &
Wolf, 1947). During the separation period, which ranged from a few weeks to months, the
behavior of the child changed drastically, with the child showing extreme discomfort around
strangers and seeming to express a depressive personality (Spitz & Wolf, 1947). An important
conclusion of this film stated that children who experienced their mother’s return before the age
of one years old, there is a rapid rate of recovery and the baby returns to his pleasant state (Spitz
& Wolf, 1947). Similar findings were highlighted in James Robertson’s (1952) film titled A Two
Year Old Goes to the Hospital. This short clip also displays the discomfort behaviors of children
experiencing separation periods from their parents, this time recounting an older child who also
began crying and repeatedly shouting “I want my mummy,” when the nurse entered her hospital
room (Robertson, 1952). The children in both of these films intrigued Bowlby, and along with
the findings of Ainsworth’s Strange Situation, he was able to develop the theory of attachment.
Bowlby described attachment behavior as any form of behavior that results in one person
remaining in close proximity to another (Bowlby, 1988). Oftentimes a child will seek the comfort
of an individual who has more experience coping with the stressors of the outside world,
therefore supporting the idea that this person serves as a nurturing figure to the child in need
(Bowlby, 1988). Agreeing with the findings of Ainsworth, Bowlby also believes that this
attachment figure does not need to be a biological mother, but rather a person who serves as a
constant in the child’s life (Bowlby, 1988). Attachment behaviors stem from the child’s need for
attention, not necessarily the mother’s breast for feeding as Klein had suggested (Bowlby, 1988).
Attention can be provided both evidently or discreetly (Bowlby, 1988), such as when a child
�A HISTORICAL ANALYSIS OF ATTACHMENT
10
seeks a hug from their caregiver, or when a child is about to endure a brave event such as trying
the swing on the playground for the first time. In both scenarios, the child is looking for attention
from their caregiver (which also according to Bowlby does not need to be a biological mother) in
an attempt to gain security (Bowlby, 1988). Attention received by a child increases their feelings
of protection, which is a natural desire of all humans and translates to other species as well
(Bowlby, 1988). By nurturing the attachment bond between parent and child, it will strengthen
their relationship and improve the quality of the child’s life into adulthood (Bowlby, 1988).
Attachment Theory Becomes Implemented in the Classroom by Teachers
Anna Freud was one of the first psychoanalysts to acknowledge teachers as important
role models in children’s lives (1968), but it was not until Marjorie Boxall and Marion
Bennathan created nurture groups that intervention services were implemented into schools to
improve behavioral disorders of children (2000). In a seminar with Harvard students in the
Graduate School of Education, Freud explained that in order for elementary school teachers to be
successful, they must avoid certain scenarios, such as taking on the role of a child’s mother or
keeping a personal interest in their student’s lives (Freud, 1968c). These scenarios may bring up
feelings of competition between the child’s family members as they may begin to feel jealous if
the child displays a stronger attachment to their teacher than their own parent (Freud, 1968c).
Displaying a stronger attachment to one student over another may result in jealousy of that
child’s peers, and puts that child at risk of not developing strong relationships necessary for their
development (Freud, 1968c). This seminar is relevant in revealing how vital Freud’s theories
were in creating the contemporary classroom we see today. Teachers should therefore serve as a
guide to their students, but should not overstep in serving as the primary attachment figure for
children.
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Almost 50 years after Freud’s seminar, Boxall (2000) and Bennathan (2015) aim to build
on the idea that children have attachment needs that their teachers must meet in order for them to
be successful in their educational careers. Boxall believed that the reason a child may display
emotional and behavioral difficulties in a classroom is because their emotional attachment needs
may not be addressed by their parents at home (Boxall, 2000). This means that the child is not
receiving any attention, and therefore is hindered in their development of healthy relationships
between peers and adults in the outside world. An interesting point that Boxall made is that the
difficulties of parents may not necessarily be from a lack of effort, rather it could be a
generational deficiency in emotional support (Boxall, 2000). The parent may not have received a
secure attachment from their own parent, and therefore struggle to create a healthy attachment
bond with those around them, including their own children.
Bennathan brings an alternative explanation for a child’s emotional/behavioral difficulties
in classrooms, proposing that the behavior may be due to feeling unaccepted in the classroom in
combination with the stress of a teacher (Bennathan, 2015). The Education Acts of 1988 and
1993 call for children with disabilities to be placed in the least restrictive learning environment
(Bennathan, 2015), oftentimes resulting in the child remaining in a general education classroom
and thus limiting the attention that child can receive from their teacher. Most general education
classrooms average a ratio of thirty students to one teacher, so the child may feel the need to
compete with their peers for attention and lash out behaviorally as a result of their needs not
being met. Both psychoanalysts recognized this as a problem for those students in need of
behavioral assistance, and created nurture groups in an attempt to address this issue.
Nurture groups, according to Boxall, provide students with a smaller ratio of students to
teachers, and therefore increase the attention the participating children receive (Boxall, 2000).
�A HISTORICAL ANALYSIS OF ATTACHMENT
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Tactics such as increased eye contact and close physical proximity help bring the children’s
attention to the teacher’s facial expressions, gestures, and tone of voice (Boxall, 2000). This will
result in an increase in the children’s awareness of their teacher’s attention in hopes of creating a
stronger attachment bond and meeting the children’s emotional needs. Tasks would be broken
down individually based on the children’s ability, resulting in different smaller targets that must
be met in order to complete one complex task (Boxall, 2000). This demonstrates the stabilizing
role a teacher plays in the educational careers of students with emotional and behavioral
difficulties. The teacher controls the situation, just as a mother would, and breaks it into separate
parts in order to help the child feel satisfied with their work (Boxall, 2000). In doing so, they are
creating an attachment to the child, reassuring them that they as the teacher will serve as a
constant (Boxall, 2000). The teacher will remain available to aid the child and provide security
that they always have them to support their educational endeavors.
The principles of nurture groups are still being implemented into modern-day classrooms,
as highlighted by Verschueren (2012). As mentioned by previous psychoanalysts (Freud, 1968c;
Bowlby, 1988; Boxall, 2000; Bennathan, 2015), teachers create an attachment bond with their
students, but not on the same level as the child’s parent(s). The child will enter a new classroom
every year, resulting in an inconsistent bond between the teacher and the student (Verschueren,
2012). Although the teacher may see their prior students in the hallways, it is an entirely different
dynamic compared to interacting closely with a child every day for an academic year. This
emphasizes the need for a professional staff member who is able to travel consistently with the
child throughout the longevity of their academic careers, such as a paraprofessional.
Verschueren’s work highlights the importance of individualized learning plans for students with
behavioral and emotional disabilities as well as describing the influence of Bowlby’s work.
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13
The development of attachment theory has evolved from its origins by Freud and Klein
from child psychoanalytic theories into behavioral interventions that are present in contemporary
classrooms. A. Freud and Klein, although having similar backgrounds, chose to build off of
different aspects of S. Freud’s psychoanalysis of adults and separated into two opposing schools
of thought. After publicly disproving each other, researchers further build upon Klein’s works by
developing and conducting studies to evaluate attachment theories. Ainsworth’s Strange
Situation helped categorize attachment styles based on the relationships between mothers and
their child. Spitz and Robertson aided Bowlby in discussing the importance of attention on the
creation of attachment bonds between children and their parents. Boxall and Bennathan then
applied Bowlby’s theory in the classroom by implementing nurture groups, a behavioral
intervention program aiming to increase the amount of attention given to students who were not
receiving the emotional support they needed outside of the classroom. Each one of these works
has led to the development of individualized learning programs for students, all aiding the
common goal of improving the quality of life and development of children into happy,
successful, adults.
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Chapter 4: Reflection
As cliche as it sounds, my student teaching experience was probably one of the most life
changing and rewarding memories that I have from college. I was placed into a third grade
integrated co-teaching (ICT) classroom, meaning that one teacher was a general education
teacher and the other was a special education teacher. When I first entered the classroom, I
underestimated how much work truly went into being a teacher and creating lessons that
addressed the needs of all thirty students in the room. A major flaw that I had going into my
placement was feeling overconfident in myself. I already had some substitute teaching
experience under my belt, and had dealt with my fair share of challenging students in terms of
behavior, so I truly went into the experience with a “Hey, how bad can it be?” attitude. This is
not in any attempt to minimize my capabilities as an educator. I have credible sources, including
principles and professors who have raved about my skills at my job. But what I failed to
recognize was the amount of behind-the-scenes work that went into lesson planning and
engagement and scaffolding and social emotional learning and group work and reading sciences
(you get my point). It is one thing to show up and stand in the place of a teacher who is out sick,
reciting every part of the day that is perfectly laid out for you in your substitute plans. But it is
another entirely different breed of struggle to be the one creating the school day for your kids.
A scary realization for me was that if I, a member of the education field, am
underestimating the amount of work that goes into a teacher’s classroom, then imagine how
others outside of the field perceive teachers. No wonder we get paid as little as we do! On the
outside our work looks like sunshine and rainbows (plus summers off…what can be better than
that?!), but on the inside, the science of teaching is completely overlooked. There are so many
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15
psychoanalytic theories and empirically supported strategies that go into education, so for my
thesis I decided to pick one: attachment theory.
I have had my fair share of attachment theory as applied in my everyday life, but my
student teaching experience really brought to light how mundane it is. My students, who I had
just met in September, were crying at the thought of me leaving them after spending three
months together. And I was doing the same thing at the thought of leaving them (I most likely
cried more). How is it that we had created such a deep bond in such a short amount of time? Or
were both parties looking to fulfill a deeper need that had not been met by any person before? Or
were those needs entirely different from those of a partner or parent? These questions inspired
me to pursue attachment theory as my area of interest for my thesis.
Looking into this one theory that supports the field of education has inspired me to
pursue a career in exploring other methods that have created the education field we have today. If
it were not for the works of Freud and Klein and Ainsworth and Spitz and Bowlby and Boxall
(mostly Boxall but I am biased) and Bennathan and Robertson, I would not have even had the
opportunity to pursue my career in special education, let alone a career as an educational
psychologist. I guess the point I am trying to make is that although this paper has elevated my
stress hormones one too many times, it really has served a higher purpose. So truly, to this paper,
I would like to say thank you.
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A Historical Analysis of the Implementation of Attachment Theory into the Elementary School Classroom
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Childhood Education (Grades 1-6)
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GRIEF STUDIES AND PERCEPTIONS
1
An Overview on Perceptions of Grief Implemented into Counseling
Katie Bivona
Department of Psychology, Wagner College
�GRIEF STUDIES AND PERCEPTIONS
2
Table of Contents
ABSTRACT……………………………………………………………………………………….3
CHAPTER
1
THE HISTORICAL ANALYSIS ON THE DEVELOPMENT OF GRIEF
COUNSELING AND CHANGES TO ITS GENERAL PERCEPTION…………………5
Grief in the First Millennium……………………………………………………………...5
Freud’s Grief Work Theory…………………………………………………………….….6
Kubler-Ross Model…..…………………………………………………………………..12
Stroebe and Schut’s Dual Process Model………………………………………………..13
Conclusion……………………………………………………………………………….14
2
THE INVESTIGATION OF EFFECTIVE GRIEF COUNSELING AND ITS
CONTRIBUTING FACTORS…………………………………………………………...16
Theory on Personal Experience with Grief…………………………………………..…..16
Countertransference……………………………………………………………………...16
Factor of Personal Experience with Grief.……………………………………………….17
Training…………………………………………………………………………………..19
Relevance to Today’s Needs..……………………………………………..……………..19
Conclusion..………………………………………………………………………….…..20
3
INVESTIGATING COMPLEX ISSUES THAT ARISE IN GRIEF COUNSELING
SETTINGS…………………………………………………………………………...…..21
Problem of Childhood Bereavement………………………………………….………….21
Prevalence…………………………….………………………………………………….21
Potential Solutions……………………………………………………………………….22
�GRIEF STUDIES AND PERCEPTIONS
3
Conclusion…………………………………………………………………………….…25
4
REFLECTING ON INTERNING AT EMMA’S PLACE……………………………….26
Emma’s Place…………………………………………………………………………….26
Connections…………………………………………………………………………….26
LIST OF REFERENCES……………………………………………………………………….29
�GRIEF STUDIES AND PERCEPTIONS
4
Abstract
The study of grief and bereavement is a complex subject and has been developed through various
psychologists and individuals who have done research on it. Analyzing the development of grief
counseling approaches is vital to understanding how the knowledge known today regarding
bereavement was acquired and extended throughout the 19th century. Chapter one focuses on the
historical analysis of grief counseling as well as how and why general perceptions of grief have
changed over time. The events that were significant turning points to the development of grief
counseling approaches are highlighted in this chapter. In chapter two, the focus shifts to factors
and variables that contribute to being an effective grief counselor. The factors discussed are
specific to the needs of societal standards today and reflect current literature on grief. In chapter
three, the problem of childhood bereavement having unpleasant outcomes is discussed and was
combated with solutions to alleviate the likelihood of these circumstances. Lastly, chapter four is
a reflection on the experience at my field placement, Emma’s Place, which is a grieving center
for children and families. Significant connections between my field placement and the first three
chapters of my paper were made. The general goal of this paper is to provide an overview of
grief and how it is approached, throughout history and in current times.
�GRIEF STUDIES AND PERCEPTIONS
5
Chapter 1:
“The Historical Analysis on the Development of Grief Counseling and Changes to its
General Perception”
Beginning in the early nineteenth century when Sigmund Freud proposed his theory of
grief work, to the late nineteenth century when Stroebe and Schut proposed the Dual Process
Model of Coping with Bereavement, the way grief is understood as well as counselors'
approaches to grief counseling has evolved. During the historical events of World War 1 and
World War 2, the needs of those who were grieving began to change. Prior to wars and Freud’s
theory on grief, an event as tragic as losing a child was a normality and didn’t require significant
attention. Freud’s ideas were substantially influential on various psychologists, who proposed
theories to further develop the general perception of grief. The focus of this chapter is to
historically analyze the development of grief counseling from the publication of Freud's
Mourning and Melancholia to the psychological theories of Kubler-Ross and Stroebe and Schut
who contributed to its development and brought about change in the way in which grief is
understood.
At the time of the first millennium, death in infancy was a common event. The first year
of life had the greatest mortality while few people survived to old age (Parkes, 2002). An event
that is considered immensely horrific today was once an occurrence that mothers could not only
move on from quickly, but even boasted about. A belief held onto by millennials was that the
soul of their deceased infant would immediately become a cherub in heaven which was boasted
about by mothers who viewed this as contributing multiple cherubs to heaven depending on how
many infants they had lost (Parkes, 2002). Although death in infancy was a historic trend of this
time period and is disturbing to societal standards now, feelings of grief and sorrow were not
�GRIEF STUDIES AND PERCEPTIONS
6
foreign concepts, and there were other types of bereavement that did cause grief such as the
death of older children (Parkes, 2002). Dying of a broken heart can even be traced back to
Biblical times, confirmed in a study by Benjamin and Fitzgerald in 1969 which indicated that
first year widowers had a rise in heart disease after losing their spouse and had high mortality
rates (Parkes, 2002). The way grief was understood in the first millennium led to individuals
feeling apathetic toward death in infancy, but would later change in several centuries as the
demands of grief became increasingly vital.
During WWI in the early nineteenth century, Freud published Mourning and Melancholia
where he established the difference between mourning and melancholia and proposed his grief
work hypothesis which ultimately changed perceptions of grief, and got it to be considered in the
psychological domain. The publication of his work had come at an appropriate time during the
war which was validated in the 1960s by Geoffrey Gorer, an English anthropologist and writer,
who stated that rising death rates during WWI are what paid show to mourning in earlier years
(Parkes, 2002). Grief was being heavily repressed and a change was desperately needed. Many at
war had developed a “stiff upper lip,” a saying used to describe warriors who had their grief
under firm control by repressing it (Parkes, 2002). In Mourning and Melancholia, Freud
describes mourning as expressing feelings in a healthy manner, and the conscious mind working
through one’s grief to eventually accept the loss for what it is (Freud, 1912). On the other hand,
he described melancholia as unresolved grief that becomes a part of the unconscious mind as it is
too unbearable for the conscious mind to process (Freud, 1912). Essentially, Freud’s grief work
theory meant that the grieving must break ties with the deceased, readjust to new life
circumstances, and build new relationships (Hamilton, 2016). Freud’s efforts initiated
psychologists to think about grief as a phenomena that can affect the psyche. This led them to
�GRIEF STUDIES AND PERCEPTIONS
7
agree that grief should be considered as part of the psychological domain (Granek, 2010) and has
had lasting effects since then. Freud’s grief work hypothesis had laid a new foundation for the
grieving process, that psychologists could reflect on to further develop his work, contributing to
perceptions of grief greatly evolving.
As various psychologists began to theorize and propose ideas about grief, much of what
historical figures had to say such as Erich Lindemann and John Bowlby was influenced by Freud
in some way. In 1944, Erich Lindemann, a psychoanalyst, published the Symptomatology and the
Management of Acute Grief which transitioned and pivoted grief to be further developed as a
psychological kind, giving further relevance to bereavement at the end of WW2 (Granek, 2010).
Lindemann had found confirmation in his work with bereaved individuals through Freud’s theory
of repression (Parkes, 2002). Lindemann’s research had followed the event of the Cocoanut
Grove Fire which killed 42 people and was the deadliest nightclub fire in history (O’Connor,
2019). His efforts to further develop grief in the psychiatric domain was also directly correlated
to war casualties and the demands of evaluating the mental and physical effects of the population
(Lindemann, 1944). Lindemann gave clear and concise reasonings for his beliefs, proposing that
grief is a definite syndrome with psychological and somatic symptomatology which required that
it be treated as a psychiatric disorder; being predicted, managed, and subsequently treated by
professionals (Granek, 2010). The initial response to the distress of losing a loved one would not
typically indicate that medical attention was needed but as the psychiatrist, it was vital to get past
the initial reaction of the patient’s distress to truly understand their trauma and whether or not
they represent clear and cut neuroses (Granek, 2010). Lindemann’s efforts were a success and
provided additional support to Freud’s theory on repressed grief, giving individuals an even
deeper understanding of how to work through it. As Granek (2010) stated, “While Freud put
�GRIEF STUDIES AND PERCEPTIONS
8
grief on the map, Lindemann (1944) charted the territory.” Lindemann was also the first to bring
bereavement studies to be empirically tested; using quantitative methods, epistemologies, and
experimental apparatuses which brought grief from a psychoanalytic concept to a psychiatric one
(Granek, 2010). The efforts of Lindemann in the 1940s brought perceptions of grief into the
following era of it being treated as a psychiatric disorder, while also introducing empirical based
research to support it.
In the 1950s, British psychologist John Bowlby was also heavily influenced by the ideas
of Freud and contributed to the study of bereavement by proposing his theory of attachment,
proving that how individuals grieve and respond to loss partially stems from the organization of
their attachment system (Frayley, 2018). He proposed that children, beginning in infancy, had
attachments to their primary caregiver and that the level of attachment depended on the
availability and responsiveness of the caregiver, which could have psychological effects into
adulthood (Bowlby, 1960). Prior to this, Freud proposed that psychoanalytic theory was the
development of attachment to the satisfaction of the child’s instinctual drives by the mother and
that the mother and child’s emotional bond forms through the attachment to their mother as the
provider of food (Rosenberg, 2013). Bowlby then developed his theory by combining
psychoanalytic and learning theory (Rosenberg, 2013). Bowlby held an ecological perspective on
attachment and loss, which was one of his most major contributions to the study of bereavement
(Frayley, 2018). This perspective suggested that infants of all species could explore and engage
in social interactions when they felt secure with their attachment figure (Frayley, 2018). On the
other hand, inaccessibility to the attachment figure may produce a rise in anxiety, followed by an
attempt to reestablish contact through protesting, searching, approaching, and clinging (Frayley,
2018). As explained, Bowlby and Lindemann’s contributions to the study of bereavement can be
�GRIEF STUDIES AND PERCEPTIONS
9
traced back to the influence of Freud, and were detrimental to its development and changes in the
general perception of grief.
Bowlby’s theory of attachment would eventually be extended upon at various angles by
Colin Murray Parkes and Mary Ainsworth, which has had lasting effects contributing to the
study of bereavement. In 1970, Colin Murray Parkes, a British psychiatrist, extended on
attachment theory by proposing the four stages of mourning, (Servaty-Seib, 2004) as well as
Mary Ainsworth, an American-Canadian psychologist who further developed ideas on
attachment in 1970 by creating a systematic way of studying it (Parkes, 2002). These historical
figures have also contributed to the general studies of bereavement’s development. Colin Murray
Parkes worked under the supervision of Bowlby and had published several articles of his own
regarding grief (Granek, 2010). Together, they proposed a model of mourning including four
stages; numbness, yearning and searching, disorganization and despair, and reorganization
(Servaty-Seib, 2004). The four phases enforced the concept that grieving is a process and Parkes
had stated that the patterns he identified were descriptive, only a rough guide (Servaty-Seib,
2004) and were not clear-cut predictions (Frayley, 2018). He also proposed that it is possible for
oscillation to occur back and forth between two stages (Frayley, 2018). In addition, Parkes was
able to extend on Bowlby’s attachment concept in describing what he called a “grief-prone
personality” which modeled poor outcomes that anxiously attached individuals may face,
supported with empirical evidence (Frayley, 2018).
Parkes’ work took grief studies down a new route since it revolved more around the
empirical and scientistic rhetoric of the time, whereas Bowlby’s theories were psychoanalytic in
orientation (Granek, 2010). His methods were empirically sound and grounded in science which
would assimilate into contemporary psychological culture and even paralleled some of
�GRIEF STUDIES AND PERCEPTIONS
10
Lindemann’s work in 1944 (Granek, 2010). He refers to grief as a complex process which
requires professional intervention, supporting his claim with evidence that the bereaved have
increased mortality rates and physical problems, turning it into a physical and mental disorder,
also defended by American psychiatrist George L. Engel. (Granek, 2010). Parkes believed that
adults who were characterized as insecure, dependent, anxious, or fearful often had an
underlying cause of mourning (Frayley, 2018). In the period of the 1970s, Parkes’ extension on
attachment theory, inspired by Bowlby, has provided significant insight to mourning which has
further developed methods in grief counseling due to identifying various phases which have
empirical validity.
Additionally in 1970, Mary Ainsworth extended on Bowlby’s theory by constructing a
systematic way of studying various types of attachment, and has contributed to bereavement
studies by suggesting that each of the attachment styles will respond to bereavement in a unique
manner (Parkes, 2002). Ainsworth’s goal wasn’t to confirm Bowlby’s attachment theory, but to
see if conceptualizing the child’s tie to its mother as secure would fit what mothers and babies
actually do (Ainsworth, 2015). Her emphasis on the secure base concept is also what motivated
the original attachment theory to evolve (Ainsworth, 2015). She had developed the Strange
Situation Test, and used it to investigate the interplay of attachment in a controlled laboratory
setting (Frayley, 2018), giving her the ability to distinguish between secure and insecure
attachments with the help of her colleague Mary Main (Parkes, 2002). Among their studies they
concluded that there were three identified major patterns of infant-mother attachment: secure,
resistant, and avoidant (Frayley, 2018). Parkes (2002) had also developed a questionnaire to test
variation of responses in bereavement of the different attachment styles. This confirmed that
people with secure parental attachments show less grief and have lower scores of distress after
�GRIEF STUDIES AND PERCEPTIONS
11
bereavement. Parkes (2002) noted that anxious and ambivalent attachment styles, caused by
inconsistencies in parenting, may lead to suffering from protracted grief and a continued
tendency to cling, whereas avoidant attachment styles find it difficult to express affection and
grief. In the early 1970s, the work of Ainsworth and Parkes provided additional research and
gave further understanding on grief, by extending on Bowlby’s attachment theory and how their
work affects grief outcomes.
To touch upon the notion of grief being classified as a medical condition, which as
mentioned earlier was proved by Parkes, it is also important to acknowledge that American
psychiatrist George L. Engel proposed this same idea and originally sparked curiosity about it. In
1960, Engel published Is Grief a Disease? which provided an original psychosomatic
perspective on grief, suggesting that grief is a proper and legitimate subject for study by medical
scientists (Engel, 1960). Engel’s work supported the claims of Parkes, bringing out that grief is a
great cause of mental pain which interferes with one’s effectiveness of functioning due to the
bodily and psychological symptoms that occur (Parkes, 2002). Engel supported his and Parkes’
claim that grief was a disease by interviewing psychiatric patients, finding that twenty-eight out
of twenty-nine of them were suffering from variants of typical grief (Granek, 2010). Although
Engel’s work contributed to the study of bereavement by giving it a psychosomatic perspective
and encouraging psychiatric treatment for it, some felt that it was unfair to classify the grieving
with a psychiatric diagnosis and that medical treatment wasn’t the best option for it (Parkes,
2002). Still, the use of psychiatry to treat this illness had been justified by Parkes, who was
credited for providing sound descriptions of grief based on empirical methods and hard evidence
(Granek, 2010). In doing so, Parkes contributed to the field of bereavement, giving evidence to
why grief should be treated as a psychiatric disease which was an argument originally fuelled by
�GRIEF STUDIES AND PERCEPTIONS
12
Engel’s publication Is Grief a Disease.
Despite the various efforts and advancements made by the historical figures discussed, it
wasn’t until the late 1960s when Elisabeth Kubler-Ross proposed the Kubler-Ross model in her
book Death and Dying, and later on again in 1999 when Margaret Stroebe and Henk Schut
proposed the dual process model of coping with bereavement, that significant change was made
to grief counseling approaches, and introduced brand new models to cope with bereavement.
Kubler-Ross, a Swiss-American psychiatrist, proposed the Kubler-Ross model as a descriptive
outlook on how different responses to bereavement may manifest in terminally ill patients
(Servaty-Seib, 2004), and overtime became the five stages of grief which we know today: (1)
shock and denial; (2) anger, resentment and guilt; (3) bargaining; (4) depression; and (5)
acceptance (InPsych, 2011). Her model eventually became the most well-known model to
conceptualize grief as a series of predictable events (InPsych, 2011), although Kubler-Ross had
emphasized that the stages were intended to be only a rough guide (Servaty-Seib, 2004). The
general perception of grief has greatly changed since the five stages of grief was proposed since
it has become so widely adhered to and deeply ingrained in the culture (InPsych, 2011). It has
also helped people understand their own reactions to significant loss, and is routinely taught in
medical school and nursing curricula (InPsych, 2011). Kubler-Ross had proposed the five stages
of grief based on information she gathered from interviewing terminally ill patients, observing a
common pattern of emotions in the patients (Corr, 2020), and explained that failing to work
through the emotions could result in complications (InPsych, 2011). The Kubler-Ross model
clearly had an impact and intrigued many, as she had over two hundred interviews over the
course of almost 3 years (Corr, 2020). Since Kubler-Ross’s model was proposed, the field of
thanatology has also had significant and profound advances (Servaty-Seib, 2004). Kubler-Ross
�GRIEF STUDIES AND PERCEPTIONS
13
has also been credited with humanizing the process of dying, which could set a foundation for a
modern hospice movement to grow (Larson, 2014). The effects that the Kubler-Ross model had
on approaching grief became a significant turn in the development of grief counseling.
Although the Kubler-Ross model has had major significance to bereavement studies,
approaches in grief counseling, and helping people understand their grief, there has also been
much controversy over it. In Kubler-Ross’ book, she had warned readers that not everyone will
experience each stage, nor at the same rate or in the same order, and still many felt that the stages
were rigid and linear (Corr, 2020). Even in her attempts to warn the grieving not to misuse the
model, many were under the impression that the stages enforced a standard for how the grieving
process should unfold (Corr, 2020) and that the model overlooks the remarkable uniqueness of
the grieving process (Servaty-Seib, 2004). Various authors proposing criticisms about the model
represent how misunderstood it truly was, with many arguing it didn’t have any empirical
validity (Corr, 2020). Additional complaints were that the model failed to meet essential criteria
for psychological stages, such as irreversibility, an invariant sequence, universality, as well as not
meeting the uniqueness of each individual's grieving needs (Larson, 2014). In several
thanatology textbooks it was also suggested that the stage-based model does not pertain to
individuals who are grieving the death of a loved one since Kubler-Ross worked with dying
patients rather than grieving ones (Corr, 2020). It has also been proposed that there are new
demands to grief which its needs aren’t met in the model and differs from the grief of the 1960s
when her book was published (Larson, 2014). Even in the model’s supposed flaws, it has brought
many advancements to grief perceptions.
In 1999, triumph over grief work theories of the past took place when Margaret Stroebe
and Henk Schut, both professors of clinical psychology, proposed the dual process model of
�GRIEF STUDIES AND PERCEPTIONS
14
coping with bereavement, correcting flaws in traditional grief work theories. Stroebe and Schut
strongly believed that there were numerous shortcomings of traditional grief work theories which
were known to be effective ways of coping with bereavement (Stroebe, 1999). The lack of clarity
in Freud’s grief work hypothesis finally called for change in the late 1990s, with Stroebe and
Schut addressing the areas which needed changes the most. They suggested that it lacked an
imprecise definition, failed to represent dynamic processing which is a characteristic of grieving,
lacked empirical evidence and validity across cultures and historical periods, and also had limits
on health outcomes (Stroebe, 1999). To overcome the limitations of previous formulations, they
thought it was necessary to create a stressor-specific model developed from a cognitive stress
perspective (Stroebe, 1999). Being stressor-specific was important since losses tend to invariably
involve various and diverse stressors, not just a singular stressor (Servaty-Seib, 2004). The
model represents two modes which oscillation occurs between; (1) loss orientation, where the
griever copes by engaging in emotion-focused behaviors, and (2) restoration orientation, where
the griever is problem-focused and makes external adjustments needed to adapt to the loss
(InPsych, 2011). The diversity of the stressors is vital and differentiates this model from Freud’s
model as it normalized not always being immersed in grief work and that it is perfectly healthy
to take a break from. It promotes a nonlinear nature to coping patterns which addresses concerns
of previous grieving methods; suggesting that coping can differ from one moment to another,
from one culture to another, and from one individual to another (InPsych, 2011). Overall, another
level in approaching grief was made when the dual process model was proposed, as it brought
clarity to many concerns that began with Freud.
Through the historical analysis of grief work theories from the beginning of the 19th
century to more recent models proposed in the late 1990s, significant progression in grief
�GRIEF STUDIES AND PERCEPTIONS
15
perceptions has occurred. The demands for change came to a peak during WW1 which inspired
Freud to propose his grief work theory, having had a domino effect which led other psychologists
to further develop his ideas throughout the 19th century. The next turning point was in the 1960s
when the Kubler-Ross model rose to popularity and became a staple in grief interventions,
allowing clients and grief counselors to put an identity to emotions during the grieving process.
Lastly, in 1999 the latest advancement to approaching grief was proposed by Stroebe and Schut
through the dual process model that allows individuals to view grief in the lens of two stressors
which traditional grief work theories had failed to do.
�GRIEF STUDIES AND PERCEPTIONS
16
Chapter 2:
“The Investigation of Effective Grief Counseling and its Contributing Factors”
In the field of mental health, it is crucial for grief counselors to consider what it means to
be an effective counselor in order for bereaved clients to be properly guided through the grieving
process. Effective counsel can be recognized as counsel which helps clients navigate and make
progress in their grief. The breakthrough clients experience is often looked at and celebrated,
while the side of it that is not normally focused on includes the factors that contribute to
becoming an expert in grief counseling, gaining significant authority in the field, and becoming
an effective counselor. The goal of the current chapter is to review this subject’s current
literature at a different angle, shifting gears away from the focus on client successes toward how
effective grief counselors are developed.
Previous theories suggest that certain variables contribute to a counselor’s effectiveness.
A theory to be reflected on is that bereaved clients often perceive grief counselors to have more
credibility when they themselves have experienced the death of someone close to them (Hayes,
2007). Counselors with personal experience can provide the hope that they have discovered on
their own path, and can reflect on their own experiences when making treatment decisions. They
are especially helpful when they have healed and navigated through their own personal grief, and
are no longer immersed in their trauma (Hayes, 2007). Clients may also perceive therapists with
grief experience as more empathetic which may assist them in delivering counsel more
effectively when there is a receptive patient on the other end (Hayes, 2007). However, it is
important for counselors to have dealt with their own emotional problems as counselors’
responses tie directly to them, which Freud once referred to as “countertransference” and can be
defined as “...therapists’ reactions to clients being adversely influenced by therapists’ unresolved
�GRIEF STUDIES AND PERCEPTIONS
17
personal conflicts” (Hayes, 2007, p. 346). In the event of countertransference, a counselor’s
ability to deliver effective counsel can be negatively altered (Hayes, 2007). Therapists can use
this theory of personal grief by looking through the lens of it while administering client care,
reflecting on this aspect which can then contribute to the therapist delivering effective counsel.
A factor that contributes to delivering effective counsel is making sure that as the
counselor you have worked through your own grief. Counselors must foster expectations for the
client’s new reality and make sure that your own healing has taken place and your baggage has
been worked through which is vital so that emotions do not get triggered (Fishman, 2014)
Counselor’s personal dealings with grief is a factor which is frequently mentioned in literature
regarding grief counselors as well as dealing with personal baggage that ties into the aspect of
self care, as experts in the field must prioritize it so they don’t repress their own grief (Dodd,
2022). Counselors putting in the effort to make sure they have healed from their trauma is an
extremely important factor which contributes to being an effective grief counselor.
Supporting this theory, research has shown that personal experience with grief is
associated with grief counselors’ effectiveness and has been further proven to be a contributing
factor to becoming an effective grief counselor. In a study conducted by Ober (2011), he
referenced a model known as “grief counseling competencies” which was developed in 2000 by
Charkow. The competencies are divided into five major subscales that measure various abilities
in counselors (Ober, 2011). The five subscales include Personal Competencies which indicate
personal experience with grief, Conceptual Skills and Knowledge, Assessment Skills, Treatment
Skills, and Professional Skills (Ober, 2011). Ober (2011) referred to these subscales in his study
to measure various factors and whether or not they contributed to different levels of competency
in grief counseling. When the model was originally designed, Charkow had surveyed family
�GRIEF STUDIES AND PERCEPTIONS
18
therapists with personal grief experience which revealed a higher overall grief counseling
competence for those individuals, proving that personal experience can add to effectiveness
(Ober, 2011). The personal experience of grief may qualify a counselor in a way that cannot be
earned with a degree, as they have already done the rigorous innerwork in this area themselves.
This could contribute to the higher competency level displayed in the model. Although personal
experience is a factor in effective grief counseling and can add value to a counselor, it doesn’t
replace the skills that come with training (Ober, 2011). Grief experiences may become a
hindrance if the therapist’s personal grief has not been dealt with properly (Hayes, 2007). Despite
the value of personal experience with grief, Ober (2011) emphasizes that this does not replace
meeting the training standards in the field and developing well-defined competencies. Although
personal experience with grief cannot replace skills gathered in training and education, personal
experiences with grief have proven to be a contributing factor in grief therapists’ effectiveness.
Additionally, various research has been studied regarding important concepts that grief
counselors must be trained on and adhere to in order to operate as strong and effective grief
counselors. Fishman (2014), was studying to become a grief counselor and had recent grief of
her own at the time she published her work, emphasizes several solid points and describes her
research as not one to counsel the grieving, but to teach grief counseling. Fishman (2014)
discusses several contributing factors to being an effective grief counselor such as being fully
present with a client, based on the idea of “here and now.” This idea is a central feature of
Gestalt psychotherapy, as well as seeing patients in a specific lens as a counselor (Fishman,
2014). Counselors must understand that they cannot fix or give back what the client has lost, and
should function based on the idea that they are “...journeying alongside the individual…''
(Fishman, 2014, p. 347). Wolfelt (2016) also values the factor of walking alongside the mourner,
�GRIEF STUDIES AND PERCEPTIONS
19
not in front of or behind him, allowing the mourner to choose the path of their own journey.
Since this is their journey, the client is the true expert regarding the knowledge of their trauma
(Fishman, 2014). Another factor that contributes to being an effective grief counselor is to be
fully present with the client to create a strong therapeutic alliance (Fishman, 2014). Wolfelt
(2016) describes this idea of being fully present with a client as being the “temporary guardian of
their soul,” rather than attempting to assess, analyze, fix or resolve their grief. After reviewing
literature, it is clear that grief counselors must adhere to the appropriate concepts or ground rules
when working with bereaved individuals in order to be an effective counselor.
To be an effective grief counselor, it is important to have the skills to differentiate and
handle various grieving styles (Dodd, 2022), so that all client’s needs are met and not harmed
due to missing a diagnosis (Beckett, 2015). When it comes to grief counseling settings, a
common diagnosis which arises is complicated grief, which is severe and intense grief that
doesn’t improve overtime (Dodd, 2022). It is vital to recognize when a client’s case is beyond a
counselors expertise and trying not to take on anything beyond it. Counselors being overly
confident in their competence can be harmful and it is wise to recognize when a client is
experiencing grief that’s beyond normal limits (Dodd, 2022). It is in the best interest of the
counselor and the client for the case to be passed onto another professional in that scenario
(Dodd, 2022). In reviewing this literature, a contributing factor to the effectiveness of grief
counseling is the ability to have the proper skills for diagnosing and treating various types of
grief.
Another important factor in being an effective grief counselor is to review updated and
current research. Counselors must adapt to the circumstances of now and avoid only pulling from
outdated training and literature for grief counseling, especially in the event that clients are
�GRIEF STUDIES AND PERCEPTIONS
20
experiencing complicated grief (Dodd, 2022). Counselors must rely on updated sources to
discern the event of complicated grief (Dodd, 2022). Living through the covid 19 pandemic has
disrupted known rituals and altered the way individuals mourn (Khoury, 2022). The aftermath of
the pandemic has resulted in many individuals suffering with prolonged grief disorder and
complicated grief (Khoury, 2022). To deliver effective treatment today, it is important that
counselors are conscious of today’s reality of social isolation and sudden death and how that
contributed to the rise of complicated grief (Khoury, 2022). Being aware of current societal
issues and the relevance of them is a factor that furthers the effectiveness of grief counselors.
Through reviewing present literature and various research studies, it is evident that there
are numerous factors which contribute to becoming an effective grief counselor. In analyzing the
various factors, it also is clear that there’s not one sole route to achieve effectiveness in the field
and that expertise can’t come without proper knowledge. Through investigating theories and
factors such as personal experience with grief, countertransference, proper training, diagnostic
skills, and reviewing updated research, the necessities of becoming an effective grief counselor
have been established.
�GRIEF STUDIES AND PERCEPTIONS
21
Chapter 3:
“Investigating Complex Issues that Arise in Grief Counseling Settings”
In the field of grief counseling, there are various problems that can arise from childhood
bereavement due to the complexity of the manner. In grief counseling approaches, it is important
to navigate through problems and understand what the grieving process entails to find the
appropriate solutions. In this chapter, the problem that will be discussed is how bereavement in
childhood often leads to unfortunate statistics in adulthood and especially in the diagnosis of
complicated grief where the prognosis is even more difficult to combat.
Before the age of eighteen, approximately 4% of children will experience the death of a
primary caregiver which often results in unfortunate outcomes such as behavioral issues,
emotional struggles, and a threatened sense of security (Ener, 2018). Solely in the United States,
approximately 1 of 20 children and adolescents have experienced a loss this detrimental.
(Dyregrov, 2013). These children's mental health will most likely be affected with researchers
estimating that 5 to 10% of children and adolescents may experience depression, PTSD, and
prolonged grief disorder (Boelen, 2021). In many cases, bereaved children battle with fear and
struggle with expressing their pain verbally which can result in externalizing stress and
aggressive behavior (Ener, 2018). Research has shown that bereaved children are susceptible to
long term consequences in adulthood, impacting their overall quality of life, and can experience
health consequences such as the worst case scenario of premature death (Dyregrov, 2013). Long
term and latent effects also include a higher risk of developing psychiatric disorders as an adult
(Chen, 2018). Deaths that are taken the hardest by children and lead to complicated grief often
involve traumatic aspects, sudden or unexpected death, and affect parenting roles (Dyregrov,
2013). Complicated grief (CG) or prolonged grief disorder is when a bereaved individual has a
�GRIEF STUDIES AND PERCEPTIONS
22
difficult time assimilating into life without the person and accepting that they’re gone.
(Tofhagen, 2017). Childhood bereavement is a prevalent issue that causes innocent children to
suffer immensely.
While developing treatment interventions and solutions for grieving children, counselors
must remain informed and on guard about the unique mental health needs of bereaved children.
The child’s cognitive development level at the time of the death must be considered by the
counselor and how this factor determines the way they will handle the death, as well as their
understanding on irreversibility, finality, inevitability, and their general perception of the loss
(Ener, 2018). In regards to complicated grief, diagnosing it in children can be challenging, but
can be recognized when grief is prolonged and intense, which alters the child’s ability to engage
in the life they knew prior to the death as well as their ability to function emotionally, physically,
cognitively, and socially (Dyregrov, 2013). In order to provide appropriate solutions while
working with bereaved children, counselors must understand the cognitive development level of
the child along with differentiating if their grief is classified as normal or complicated.
Solution: Medical Diagnosis and Treatment
Solutions and treatment regarding complicated grief in children may be taken in a
medical approach since CG is recognized in the DSM-5 as persistent complex bereavement
disorder (PCBD) (Fields, 2018). The diagnosis is the first step to treating a patient, and it can
benefit counselors to study professional feedback on what constitutes complicated grief while
diagnosing clients. Professionals widely believe that CG can be displayed through intensity and
duration of reactions which is information to further diagnostic abilities (Dyregrov, 2013). CG is
also characterized by bereavement responses that are periodically longer than normal and are
often related to parental deaths which hold stigmas such as AIDs related deaths or suicide
�GRIEF STUDIES AND PERCEPTIONS
23
(Dyregrov, 2013). In many cases, a solution to CG is the use of psychotherapy as well as
providing the client with tasks they must complete. These tasks can include establishing a “new
normal,” promoting self-regulation, building social connections, setting aspirational goals for the
future, and remembering old memories in a positive way (Fields, 2018). Since CG is classified as
a medical diagnosis, treatment often involves medication such as the use of selective
serotonin-reuptake inhibitors, or SSRIs (Fields, 2018). Medication is beneficial for both children
and adults when used with other CG treatments alongside it and was found to have 61% positive
response rates whereas CG treatment without medication led to only a 41% response rate (Fields,
2018). Early interventions in CG such as referrals to supportive care services and mental health
professionals can jumpstart effective treatment before serious harm to a patient occurs
(Tofhagen, 2017). CG is also known to require extended treatment periods to yield desired
results (Tofhagen, 2017). Complicated grief being classified as a disorder in the DSM-5 allows
for treatment from health care professionals with medication and psychotherapy.
Solution: Various Therapeutic Orientations
With or without the presence of complicated grief, the stakes are high for complex issues
to arise in childhood bereavement and usually requires professional interventions which can
include therapeutic orientations such as play therapy, expressive arts therapy,
cognitive-behavioral therapy, and music therapy (Chen, 2018). These therapies are crucial to
childhood bereavement as children are more likely to grieve through behaviors, bodily
expressions and play, rather than verbal expression (Chen, 2018). Therapeutic consistency with
cultural backgrounds is also ideal in this setting and can be implemented in the various
therapeutic orientations (Chen, 2018). Play therapy is the most commonly used intervention for
children, and has shown to decrease behavioral and psychological issues by expressing grief in a
�GRIEF STUDIES AND PERCEPTIONS
24
healthy and achievable manner for children (Chen, 2018). Children naturally lack expressive
abilities, and repetitive play is a significant and common outlet for them (Dyregrov, 2013). The
dual-process model of coping with bereavement, designed by Stroebe and Schut, can be
facilitated and successfully used through the use of art therapy since it promotes oscillation
between negative and positive emotions during grief (Green, 2021). The nature of art therapy is
to allow children to express both negative and positive emotions which facilitates the use of
oscillation as coping mechanisms and coincidently promotes the use of the dual process model
(Green, 2021). Music therapy and trauma-focused school-based brief intervention were also
identified as two promising treatment models for grieving children (Chen, 2018). In getting
children to directly communicate their emotions and to normalize their grieving experience,
cognitive-behavioral therapy is effective and can help children overcome these specific areas
(Chen, 2018). It has also proven to be effective in improving children’s psychological and
behavioral symptoms (Chen, 2018). Overall, partaking in child-friendly therapeutic orientations
is an expressive outlet and intervention for them that has been proven to work effectively.
Solution: Solid Child-Parent Relationship
Lastly, another important variable and solution to working through grief in childhood,
and preventing effects from bleeding into adulthood, is to create a strong child-parent
relationship with the surviving parent (Chen, 2018). In Chen’s (2018) study, a majority of the
interventions involved parent or family components and greatly encouraged parents to help their
child cope by facilitating stronger relationships. Parents being cognitive about their reactions to
the loss is important since children’s reactions are often influenced by parent’s expressed feelings
and thoughts (Dyregrov, 2013). It can be damaging to assume a child is too young to understand
a death and neglect their grief, resulting in the child being punished, ignored, and tormented
�GRIEF STUDIES AND PERCEPTIONS
25
(Dyregrov, 2013). Criteria that moves toward a healthy non-pathological response is parental
warmth and establishing clear boundaries in the home (Dyregrov, 2013). Keeping a strong
child-parent relationship and making the child feel secure can also alleviate the effects of
children’s stress and fear of other family members dying (Dyregrov, 2013). These
implementations are key predictors of improving the outcomes of bereaved children and parents
have a direct influence on determining the likelihood of their child developing CG (Dyregrov,
2013). Through implementing strong child-parent relationships, negative effects can be
alleviated and calmed while the child is young while parental responses either have the potential
to positively impact or negatively affect their child’s grieving process.
Overall, bereavement in childhood is a commonality that can be addressed before
adulthood to overcome statistics and prevent mental disorders from developing. There are
interventions that can begin early to promote healthy coping mechanisms in children’s grieving
processes as well therapeutic orientations that are effective outlets to express their emotions.
Perhaps mental health disorders of bereaved children can be fully avoided in adulthood if it is
widely understood that children are never too young to understand tragedy in their lives. With
proper medical diagnosis and treatment, various therapeutic orientations, and a solid child-parent
relationship, it is possible to alleviate the prognosis of complicated grief as well as the unpleasant
statistics of childhood bereavement.
�GRIEF STUDIES AND PERCEPTIONS
29
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�
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An Overview on Perceptions of Grief Implemented into Counseling
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HOMOSEXUALITY AND THE DSM
1
Examination of the Removal of Homosexuality From the DSM
Cherliz Cohen
Wagner College, Department of Psychology
�HOMOSEXUALITY AND THE DSM
2
Table of Contents
page
ABSTRACT……………………………………………………………………………………….3
CHAPTER
1
HOMOSEXUALITY AND THE DSM...…………………………….……...….…….…..4
Homosexuality’s Entry Into the DSM…..…………..…………………………………….4
Alfred Kinsey and the Kinsey Report........…………………………......…………..……..6
Evelyn Hooker……………....………………………………………………………….…8
Playboy, Ethics, and Gerald Davison…..…………..……………………………….…….9
Removal of Homosexuality from the DSM………..…………………………………….11
2
AN EXAMINATION OF THE LITERATURE ON EVIDENCE-BASED THERAPY
MODALITIES FOR LGBTQ+ POPULATIONS………...……………………………..14
Theory…………………………………………………………………..………….…….14
Debunking Conversion Therapy…...…………………………………………….………15
Harmful Effects and Ethical Issues Relates to SOCE…………………………….……...17
Affirmative Therapy for LGBTQ+ Clients……………………………………….……...18
Existential Therapy as a Cure for Loneliness Among LGBTQ+ Patients………...……..19
Benefits of Telepsychiatry…………….………………………………………….……...21
3
LGBTQ+ POPULATIONS ACCESS TO MENTAL HEALTH RESOURCES ……….25
Problems……….…………………………………………………………..………….…25
Solutions…..………………………………………………………………..……………27
4
REFLECTION……..…………………………………...………………………..………30
LIST OF REFERENCES………………………………………………………………………...33
�HOMOSEXUALITY AND THE DSM
3
Abstract
In 1952, identifying as gay was seen as a mental disorder rather than a sexual orientation within
the first edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM). Mental
health professionals were attempting to “cure” the feelings gay individuals had towards the same
sex by harmful therapies referred to as aversion therapy. Men in particular, many wanting to be
“cured,” were put through electro-shock therapies and studies where they made to be nauseous
and sick after viewing images or film of other men. All in all, over sixty years of work by gay
rights activists, psychiatrists, psychologists, and leaders in the mental health community has
ultimately shaped the way individuals from sexual minority communities are viewed and cared
for by medical professionals. After the initial addition to the DSM-1, and the use of aversion
therapy to treat LGBTQ+ populations, there are now safe and effective therapies to assist
LGBTQ+ individuals with their mental health. Studies done by researchers such as Hooker and
Kinsey’s assisted in the eventual removal of homosexuality from the DSM. The position Davison
carried, being one of the first to talk against unethical therapies on gay populations in
conference, also contributed to the eventual removal as well. After studies, conferences, and
protests, the DSM finally had its final removal (2013) of all terms that could overlap with
homosexuality.
Keywords: gay, mental health, men, dsm, therapies, removal, homosexuality
�HOMOSEXUALITY AND THE DSM
4
Homosexuality and the DSM
In 1952, identifying as gay was seen as a mental disorder rather than a sexual orientation
as per the first edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM).
Mental health professionals attempting to “cure” the feelings gay individuals had towards the
same sex, performed various harmful therapies, such as aversion therapies. By undergoing these
therapies, individuals, mostly being men, underwent electro-shock therapies and studies where
they were made to feel nauseous and sick. Following important studies run by professionals such
as Kinsey and Hooker, as well as activists and media pushing the opposite message, the idea of
“homosexuality” being a mental disorder was completely removed from the DSM-V in 2013. In
this outline, I’ll be exploring research and data’s effect on homosexuality within the DSM,
focusing on the evolution throughout the editions (I-V), and eventual removal. It’s important to
note that while the term homosexuality was removed from the DSM in earlier editions, terms that
overlap with homosexuality did have a place in the DSM until 2013.
Homosexuality’s Entry Into the DSM
In the mid-20th century, theories regarding adult homosexuality as a disease, deviating
this population from “normal” heterosexual development, began to spread. These theories hold
that some internal defect or external pathogenic agent causes homosexuality in an individual,
which was seen as “morally bad” and “socially evil” (Drescher, 2015). During this time,
American psychiatry was greatly influenced by psychoanalytic perspectives and theories, such as
many regarding individuals identifying as homosexual. In 1952, when the first APA published
the first edition of the Diagnostic and Statistical Manual (DSM-I), it listed all conditions
psychiatrists then considered to be a mental disorder.
DSM-I
�HOMOSEXUALITY AND THE DSM
5
Upon publishing, the DSM-1 classified “homosexuality” within the larger “sociopathic
personality disturbance” category of personality disorders (American Psychiatric Association,
1952). The sexual deviation diagnosis includes “homosexuality, transvestism, pedophilia,
fetishism, and sexual sadism (including rape, sexual assault, mutilation)” as examples.
DSM-II
While the DSM-I included uncertainty in terms of whether homosexuality was a disorder,
the DSM-II removed that uncertainty and clearly presented homosexuality and the other “sexual
deviations” as mental disorders (American Psychiatric Association, 1968). These deviations were
listed under ten individual diagnostic codes such as: homosexuality, fetishism, transvestitism,
exhibitionism, voyeurism, sadism, masochism, other sexual deviation, and unspecified sexual
deviation. It describes as follows: “This category is for individuals whose sexual interests are
directed primarily toward objects other than people of the opposite sex, toward sexual acts not
usually associated with coitus, or toward coitus performed under bizarre circumstances…. This
diagnosis is not appropriate for individuals who per- form deviant sexual acts because normal
sexual objects are not available to them.”
The DSM-II’s initial release created an uproar of activists and professionals storming
APA conferences and protesting homosexuality’s addition to the DSM. Following the riots and
activism, Robert Spitzer, a technical consultant, and writer for the DSM-II Committee, began a
go-between in this dispute. Spitzer originally believing that homosexuality had its place in the
DSM, he later met with a group of activists, including a secret group of gay APA members, and
was faced with data from researchers such as Alfred Kinsey and Evelyn Hooker (De Block &
Adriaens, 2013). Facing the data and concerns of his colleagues and other professionals in the
field, he drafted the compromise of removing homosexuality itself from the DSM. The removal
�HOMOSEXUALITY AND THE DSM
6
was subject to a revision of “sexual orientation disturbance,” defined not just as same-sex
attraction but as a conflict caused by this attraction or a desire to change it. After a vote by the
APA board of trustees, this change was made.
DSM-III
The DSM II noted that homosexuality by itself did not establish as a psychiatric disorder.
A later edition of the DSM was published in 1980, the DSM-III, renaming “Sexual Orientation
Disturbance” as “Ego Dystonic Homosexuality” (American Psychiatric Association, 1980).
Upon a revision, the DSM-III was later revised, categorizing marked distress about one’s sexual
orientation under “sexual disorder, not otherwise specified” (American Psychiatric Association,
1987).
Alfred Kinsey and the Kinsey Report
Four years prior to the initial publication of the DSM-I, the first Kinsey Report, which
concerned sexual behavior in both the human male and female, was published by Alfred Kinsey.
Kinsey and his fellow researchers sought to accumulate unbiased information regarding sex,
employing firsthand interviews with both heterosexual and homosexual identifying individuals,
to gather such data. The report featured contents such as: homosexual, and heterosexual petting
and outlets. Several subcategories can also be found such as bisexuality and masturbation.
Kinsey’s Study
The Kinsey Report’s first edition consisted of a report that has been referenced in many
studies regarding homosexuality, investigating the evolution of the term and population
throughout the years. The report found that in terms of physical contact to the point of orgasm, at
least 37% of the male population had “some homosexual experience” between the beginning of
adolescence and old age (Kinsey et al., 1948). Additionally, the remaining who were unmarried
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until a certain age, exactly 50%, “have homosexual experience” between the beginning of
adolescence and old age. While receiving this data through a study, the psychiatry field was
hostile to Kinsey’s report, as well as the implications that same-sex sexual behavior was in fact
more common than society and researchers had previously believed.
The Heterosexual-Homosexual Rating Scale
The Heterosexual-Homosexual Rating Scale, more commonly known as The Kinsey
Scale, which can also be found in the Kinsey report, accounted for research findings that showed
individuals did not fit into exclusive heterosexual or homosexual categories. The scale helped
weaken the idea of homosexuality as a fixed condition, providing large-scale evidence about the
differential social distributions and organization of same-sex experience (Nardi & Schneider,
1997). The research gathered showed that sexual behavior, thoughts, and feelings towards either
the same or opposite sex were not always consistent. Instead of assigning people to three
categories – heterosexual, bisexual, and homosexual, Kinsey and his team used a seven-point
scale, ranging from 0 to 6 with an additional category of “X.”
People at: “0” report as entirely heterosexual, “1” as largely heterosexual but with
incidental homosexual history, “2” as largely heterosexual but with a distinct homosexual
history, “3” as equally heterosexual and homosexual, “4” as largely homosexual but with distinct
heterosexual history, “5” as largely homosexual with incidental heterosexual history, and lastly
“6” as entirely homosexual (Nardi & Schneider, 1997). Additionally, Kinsey and his team
included “X”, reporting as unresponsive to either sex.
The publication of this report, and later the second edition, caused a “media explosion” as
quoted in the Los Angeles Times. News outlets ran stories on the published report, while church
leaders denounced it. Kinsey’s work reassured individuals questioning their sexuality that they
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were not alone; highlighting a disconnect between certain laws of the land and actual sexual
practice (Mestel, 2004). “Everybody’s sin is nobody’s sin.” said Kinsey, a line quoted often in
reports and articles concerning himself and his studies on sexuality.
Evelyn Hooker
Influenced by a former student by the name of Sam From, whom Evelyn Hooker
developed a close friendship with Hooker began an investigation that would ultimately result in
the removal of homosexuality as a form of psychopathology from the DSM (Milar, 2011). From
informed Hooker that it was her “scientific duty” to study homosexuals, promising her access to
all subjects needed to carry the study out. While she initially demurred the idea, she was later
persuaded by From and her colleague Bruno Klopfer.
Only 5 years after the publication of the DSM-1, the study took place, investigating the
comparison between happiness and the well-adjusted nature of 30 self-identified gay men with
30 heterosexual men, finding no difference (Hooker, 1957). For this study, Hooker gathered the
participants’ results for the Rorschach Test, Thematic Apperception Test (TAT), and Make-APicture Story (MAPS). Following the results, she matched pairs, controlling for their age, IQ,
and education, before submitting all results to “experts” within the field. These “experts” were
unable to determine the sexual preferences of any individual in each of the matched pairs.
Meaning, the experts found no association between homosexuality and psychological
maladjustment. One of the experts, who was sure he can distinguish the groups, asked for
another chance to review the pairings but was no more successful the second time than he was
the first. Hooker’s results suggested that those claiming homosexuality was a mental disorder
were drawing a “false correlation” by only studying homosexuals who had a history of mental
illnesses (Anteby & Anderson, 2014).
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This ground-breaking research not only left a long-lasting impact on how people viewed
homosexuality, and the changed made in the DSM, but also the effect it had on homosexuals at
the time of its release. Following the research, Hooker was awarded the Distinguished
Contribution to Psychology in the Public Interest award from the APA. In response to this honor,
she shared the award with the gay and lesbian community, expressing how pleasurable it had
been for her research and her “long advocacy of a scientific view of homosexuality” could better
the lives of homosexuals and their families (Milar, 2011).
Playboy, Ethics, and Gerald Davison
Gerald Davison is seen by many as the first domino to fall in science’s ultimate
disowning of the “gay cure” (Abumrad, 2018). Taking an interest in Sigmund Freud at an early
age, this led Davison to gain multiple degrees in both Psychology and Social Relations.
Following his PhD, he began teaching, supervising a variety of cases regarding LGBTQ+
individuals, mostly gay men, during his free time. These men were unhappy with their attraction
to the same sex and asked Davison to “turn them.” Not wanting to impose his heterosexual
values on these patients, while also being against harmful therapies used by others such as
aversion therapy (electro-shock therapy), Davison came up with an alternative approach.
Playboy Therapy
Davison along with many therapists around the country were experiencing a high volume
of patients wanting to “fix” their sexual orientation. The overall approach did not start with
Davison alone, though. Other therapists used behavioral therapies with LG (lesbian and gay)
identifying clients, most being aversion therapy, also known as electro-shock therapy. Many
even nauseated their patients with injections for results or shocked the idea of men “out” of the
patient.
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After attending a guest-speaker even at Stony Brook held by M. P. Feldman and watching
the film they displayed of aversion therapies they ran, Davison was bewildered (Abumrad,
2018). One example of the film shown was a male identifying patient being shown photos of
other naked men, and after each photo, Feldman shocked the patient. Davison was against
Feldman’s treatment of purposely inflicting pain on patients and thought “Do we really have to
do it this way? Are there other ways to do this?”
Taking the basic idea of aversion therapy and completely transforming it, where instead
of shocking the image of men out of a man, he would gently encourage positive gay thoughts,
and map them onto another body. Davison asked his patients to find a copy of Playboy
Magazine, what he found to be a source of material of attractive women. He instructed them to
“masturbate with the homosexual image”, then at that point of a possible climax, to switch over
to the images of women, and climax. Meaning, instead of shocking the image of men out of a
man, he’d gently encourage positive gay thoughts, and map them onto another body. Davison
defined this as “orgasmic reorientation.” This approach seemed to work, proving itself as
effective for the patient after a few “sessions” (Abumrad, 2018). Following its success, many
medical professionals adopted his therapy and used it with their patients wanting the same
outcome.
Ethical Issues
In 1972, Davison became the youngest president of the Association for the Advancement
of Behavior Therapy. After attending several conferences, where other therapists showed film of
aversion therapies they put their gay participants through for studies, he was hit with a realization
(Abumrad, 2018). His presidential address, still spoken about today in documentaries, podcasts,
and other publications, would change the way people discuss homosexuality and the way they
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view him. Addressing all therapists, as well as the audience who sat before him, he revealed that
he had some concerns regarding ethical issues that he has been “wrestling with for years”
regarding how homosexuality is approached in studies and therapeutic settings (Abumrad, 2018).
He asks, “what does it actually mean to help these people?” (Caruso, 2022). Davison then
highlights that the problem that gay identifying men are asking therapists, including himself, to
solve is a problem that they created and labeled as a problem. Following this, he then asks “Even
if we could affect certain changes, there is still the more important question of if we should… I
believe we should not.” The room was silent, before being met with a short applause.
Afterwards, Davison was ignored by most. He did admit that some people did come around
(Abumrad, 2018).
These ethical issues he had concerns about were further investigated in his paper
published in 2001. The paper reviewed several conceptual and ethical issues surrounding the
study and treatment of gays, lesbians, and bisexuals, with an emphasis on the overlooked
political and ethical aspect of what therapists choose and are allowed to treat, towards the goal
patients themselves want to work towards. Davison discusses both relevant and irrelevant issues
concerning sexual orientation and the role of therapist biases in assessing and treatment planning,
the need for better understanding of how LGB (lesbian, gay, bisexual) patients are construed and
the associated risks of stereotypes, the challenges of coming out and the way therapists can help
patients make and implement improved choices, the deleterious effects these can have on them,
and more (Davison, 2001).
Removal of Homosexuality from the DSM
Over sixty years of work by gay rights activists, psychiatrists, psychologists, and other
leaders in the mental health community had ultimately shaped the way individuals from sexual
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minority communities are viewed and cared for by medical professionals. Following the initial
addition to the DSM-I and its eventual removal in 2013, we can safely say that aversion therapy
isn’t a common practice used to treat homosexuality. Subsequently after Kinsey, Hooker,
Davison, and several other mental health professionals’ studies and publications, as well as
protests happening throughout this time on the streets and within conferences took place to
remove homosexuality from the DSM, the DSM-IV, and later DSM-V was published. The DSMV, finally removing homosexuality as a diagnosis that can be “cured.”
DSM-IV
Following the publication of the DSM-IV, homosexuality was removed all-together,
while still including terms that can overlap. The distress over one’s same-sex sexual orientation
and identity remained in the manual, under different names, such as “transsexuality” and GID
(gender identity disorder), up until the DSM-V (American Psychiatric Association, 1994). This
shift in focus highlights the importance of cultural context in which a diagnosis may be made
(McHenry, 2022).
DSM-V
As noted within the DSM-V, cultural normatives have had an impact on what is
considered pathological, and as norms shifted during the gay rights movement, so did the
conceptualization of homosexuality (McHenry, 2022). Upon the release of the fifth edition,
homosexuality’s removal stayed in place while GID, and other terms that may overlap with the
term homosexuality had been removed (American Psychiatric Association, 2013). The DSM-V
did not include any diagnostic category that can be applied to people based on their homosexual
orientation, though it does include a separate, non-mental disorder diagnoses of gender dysphoria
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to describe the significant distress individuals may feel with the sex and/or gender they were
assigned at birth.
Conclusion
Studies such as those performed by researchers such as Hooker and Kinsey assisted in the
eventual removal of homosexuality from the DSM. The position Davison carried, being one of
the first to talk against unethical therapies on gay populations in conference, also contributed to
the eventual removal as well. After studies, conferences, and protests, the DSM finally had its
final removal in 2013, eliminating all terms that can overlap or connect to homosexuality.
The APA’s diagnostic revisions made throughout the years was the beginning of the end of
organized medicines official participation in the social stigmatization of homosexuality as we
know it today. Similarly, shifts progressively took place in various fields and other mental health
communities. Because of this, debates about homosexuality shifted away from medicine and
psychiatry and into more political and moral realms. In doing so, cultural attitudes about
homosexuality changed in several countries, normalizing their views on homosexuals and
homosexuality.
Most importantly, because of the modifications seen in the field and within the DSM and
removing the diagnosis of homosexuality, this led to an important shift from asking questions
about “what causes homosexuality?’ and “what is the cure to homosexuality?” to focusing
instead on the health and mental health needs of LGBTQ+ patients and populations. Mental
health and other medical professionals can attend conferences and take courses and other sorts of
training throughout or after, receiving their degrees, providing more insight on how to treat
minority populations such as the LGBTQ+ community.
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An Examination of the Literature on Evidence-Based Therapy Modalities for LGBTQ+
Populations
Data collected in 2021 by New York City’s Department of Health found that an estimated
7.1% of adults in the United States identify as a member of the LGBTQ+ community (New York
State Department of Health, 2022). LGBTQ+ is an acronym for lesbian, gay, bisexual,
transgender, and queer or questioning. While homosexuality is not a mental disorder (and has not
been considered as such since the DSM-II), data does suggest that people within the LGBTQ+
community experience higher rates of some mental health conditions (Whaibeh et al., 2019). To
better understand why LGBTQ+ adults are more susceptible to mental illness than
cisgender/heterosexual adults, we will explore the prevailing academic literature on mental
illness within the LGBTQ+ community and look to research which has studied the effectiveness
of several psychotherapy treatment modalities when used to treat adult members of the LGBTQ+
population.
Theory
Modern-day research has established that homosexuality is not a mental disorder; it
cannot be “treated” or “fixed”. LGBTQ+ individuals do, however, on average experience more
mental health adversities than cisgender/heterosexual people. There are several explanations for
this overrepresentation of mental illness in the LGBTQ+ population. For one, LGBTQ+
individuals are often scrutinized by family/peers for their gender identity/sexual orientation
starting at a young age. Despite the push we see today for widespread acceptance of LGBTQ+
identities, there is still an abundance of homophobia/transphobia ingrained into our society,
causing stress and other mental health issues to the population. As such, many LGBTQ+ people
(especially adults/elders) have likely been exposed to a significant amount of discrimination
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throughout their lives for their identities. In turn, these people may internalize discriminatory
remarks made against them, leading to diminished self-esteem, depression, anxiety, shame, and
other negative feelings surrounding their gender identity/sexual orientation. Because of this, the
focus of therapy for LGBTQ+ individuals should primarily be about helping them to feel
confidence and pride in their identity and unlearn societal expectations for gender/sexuality.
Essentially, a therapist working with a homosexual client would not aim to treat the homosexual
feelings; instead, they would work to alleviate the negative feelings the client has about their
sexual orientation because of societal stigma/internalized homophobia.
Minority stress theory has illustrated how experiences such as those listed above have
caused stress, translating into health disparities for sexual and gender minority populations. This
theory suggests that sexual minorities, underrepresented gender identities, and other sexual
identities apart of the LGBTQ+ population experience chronic stressors related to their identity.
Having to experience discrimination and oppression can lead to the feeling of stigmatization,
putting those at a higher risk for developing mental health disorders.
The psychodynamic theory on the other hand covers the mental processes one may
develop in the early stages of their life and the effect it may have on their behavior and mental
states. An example of this would be an anxiety disorder development in the future for a queer
child who received a negative reaction from their parents when coming out. Acts of homophobia
and other types of discrimination can lead to lasting effects in the future.
Review of Literature
Debunking Conversion Therapy
In the past, conversion therapy techniques were very popular among mental health
clinicians and were used in attempts to turn those attracted to the same sex, heterosexual or make
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people with gender dysphoria feel comfortable in their sex assigned at birth. Conversion therapy
was masked with alternative names such as sexual reorientation therapy (SRT), sexual
orientation change efforts (SOCE), ex-gay therapy, or gender identity change efforts (GICE).
Once homosexuality was removed from the Diagnostic and Statistical Manual of Mental
Disorders, also known as the DSM, and no longer considered a mental disorder, its popularity
began to drastically decline; this is especially true as more research supported the notion that
homosexuality is unchangeable, and conversion therapy techniques are ineffective (Higbee et al.,
2022). Despite this, some people still attempt to facilitate conversion therapy today. Techniques
range from painful aversion therapies, electric shocks, chemical castration, to (in extreme cases)
corrective rape. However, more commonly conversion therapy focuses on prayer, talk, and
therapy that attempts to diminish the individual’s same-sex attraction or gender expression
through humiliation and forced adherence to strict gender roles (Higbee et al., 2022).
Homosexuality had not been considered a mental disorder in the DSM since 1973, and in
2013 gender nonconformity underwent a similar change from “gender identity disorder” to
“gender dysphoria,” implying that being either non-binary or transgender does not present as a
mental disorder (American Psychiatric Association, 2013). That all being said, conversion
therapy is still being exploited by religious leaders and groups and select mental health
practitioners as a form of social control (Higbee et al., 2022).
Conversion therapy has been scientifically proven to be ineffective, leading to significant,
long-term psychological harm (Higbee et al., 2022). Many pro-conversion therapy studies and
research utilize biased samples, including clients who have recently undergone such therapies,
distorted the statistics and failed to analyze whether conversion therapy remains effective in the
long term. Even then, such studies only show a 30% success rate (Higbee et al., 2022). Through
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the lens of queer theory, the debate whether conversion therapy is effective is insignificant
because the existence of conversion therapy is rooted in religious homophobia, transphobia and
cisheteropatriatchy.
Harmful Effects and Ethical Issues Related to Sexual Orientation Change Efforts
Sexual orientation change efforts (SOCE) are practices intended to eliminate same-sex
attraction. SOCE are usually based on the inaccurate belief that sexual attraction towards the
same sex is not inborn, but instead, develop in response to pathological, relational, or
environmental experiences, and therefore can, or should be altered (Przeworski, et al., 2020).
These practices include various approaches that have been practiced, including Christian,
psychoanalytic, cognitive-behavioral, psychodynamic, and integrationist approaches. While
SOCE-oriented therapies, such as those listed, and therapists violate the American Psychological
Association’s ethical guidelines for working with LGBTQ+ members, affirming therapists are
efficacious and consistent with the same guidelines.
Psychoanalytic and psychodynamic approaches to SOCE are based on the idea that poor
parental relationships can prevent an individual from progressing through a “typical”
psychosexual development – which can often lead to same sex attraction. Therapies attached to
this often consist of hypnosis and psychoanalytic techniques. While studied, the idea that same
sex attraction results from familial dysfunction or childhood trauma have been discredited, as
there is a lack of evidence and data to support this theory altered (Przeworski, et al., 2020). On
the other hand, cognitive-behavioral SOCE are based on the perspective that sexual orientation
can be alerted by overcoming cognitive barriers to heterosexuality. Methods include
masturbatory reconditioning and aversion therapy, in which a negative response to same-sex
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attraction is conditioned by an electric shock when shown pictures or videos of same-sex
couples. These methods are now deemed unethical and inhumane.
Other forms of SOCE include, but are not limited to, abstinence training and teaching
traditional gender roles, biological methods such as electroconvulsive therapy, surgeries such as
lobotomy, castration or removal of ovaries, or hormone therapy. These have all been used
historically but are also considered unethical and are currently infrequently used (Przeworski, et
al., 2020). Finally, religious methods of SOCE are among the most prevalent methods still used
today. Examples of such involve prayer, scripture study, relying on God to change one’s sexual
identity or orientation, and threats of damnation (Przeworski, et al., 2020).
Existing data proves that SOCE are not efficacious in altering sexual orientation, while
studies saying otherwise usually include biased information and data, weakening the validity of
the results and study (Przeworski, et al., 2020). As mentioned, many of the methods used
historically are considered unethical, harmful, and inhumane. Negative outcomes associated with
SOCE, making those harmful, are as follows: depression, relationship dysfunction, anxiety, and
increased homonegativity.
Affirmative Therapy for LGBTQ+ Clients
Affirmative therapies are psychotherapy treatment modalities which seek to
depathologize LGBTQ+ identities. It is used to validate and advocate the needs of sexual and
gender minority clients (Hinrichs et al., 2017). Mental health clinicians may use affirmative
therapy techniques to help an LGBTQ+ client foster a more positive conceptualization of their
self-identity. During this treatment, a therapist would actively help their client to recognize the
dangers of heterosexism, and above all else, be unequivocally supportive of their client’s sexual
identity and related experience (Medley, 2021). Like humanistic approaches to psychotherapy,
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affirmative therapy techniques are best used in tandem with other psychotherapy modalities. For
example, some research suggests that combining affirmative therapy techniques with attachmentbased therapy techniques for an LGBTQ+ client could help them improve their view of their self
while also improving their relationships with the people around them.
Many may argue that affirmation begins before a therapist meets their client. This may be
via intake forms that don’t assume heterosexuality, or ask for preferred pronouns, posting of a
nondiscrimination policy on one’s website, or simply by having a rainbow flag in a waiting
room. Behaviors such as these communicate to a client that they are accepted and will be
provided affirmative care (Hinrichs et al., 2017). As mentioned in the American Psychological
Association (APA) guideline, it is important to consider how cultural and contextual factors
intersect with sexual orientation and gender identity when providing healthcare to LGBTQ+
individuals (American Psychiatric Association, 2013). Affirmative psychotherapy also requires
the therapist to know about and assess personal attitudes toward issues of sexual orientation or
gender identity.
Health care providers are encouraged to consider the diverse identities and backgrounds
of their LGBTQ+ identifying clients to provide said affirmative treatment. While providers
working in metropolitan areas may have more resources and funding compared to those working
in rural settings, it is imperative for them to have knowledge on programs offered in other local
communities. If none are offered in proximity, they are also encouraged to seek out guidance
from nationwide programs that can assist with identifying LGBT-inclusive services (Hinrichs et
al., 2017).
Existential Therapy as a Cure for Loneliness Among LGBTQ+ Patients
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A major issue faced by mankind that has served as a struggle throughout history is
loneliness. Especially concerning LGBTQ+ individuals, a failure to connect with others within
inner or outside communities can have disastrous consequences. The symptoms are greater for
those who experience marginalization, discrimination, and alienation in society, leading to
detrimental outcomes such as: substance abuse, HIV, and suicide (Ratanashevorn et al., 2021).
It is not easy for LGBTQ+ identifying individuals to find others who fit with their version of
what existential isolation or those who share similar communities in heteronormative societies.
Not being able to connect with others on experiences shared by the more dominant culture and
traditions is just one of the various factors affecting LGBTQ+ individuals. Another factor that
plays a role in feeling isolated from others is one’s need to force conceal their sexual or gender
identity for safety and acceptance from others. Lack of family support also leads to more
loneliness among LGBTQ+ youth. All in all, LGBTQ+ individuals are most vulnerable to feeling
existential isolation because it’s more challenging for them to alleviate the pain that comes with
isolation (Ratanashevorn et al., 2021).
Isolation and loneliness serving as a central concern, this makes existential therapy a
compatible approach for addressing issues among individuals in the LGBTQ+ community.
Based on the principles of existentialism, this theoretical approach allows existential therapists to
address these issues in LGBTQ+ clients. Existential psychotherapy is a dynamic therapeutic
approach that focuses on concerns that tend to be rooted in the individual’s existence
(Ratanashevorn et al., 2021). This type of therapy mainly investigates ways to move past surface
everyday concerns and explores existential situations. By uncovering issues related to their
ultimate concerns, assisting these clients by confronting existential givens, the therapist can
possibly alleviate a client’s pain.
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It is important to emphasis that said approaches can be tailored to a LGBTQ+
individual’s personal experience, best fitting with their identities and culture. Existential
therapists hold a phenomenological stance, allowing the affirmation of the client’s lived sexual
and gender experiences on both the essentialist and constructionist aspects of sexuality
(Ratanashevorn et al., 2021). Conclusively, the therapists are tasked with having a therapeutic
and affirmative viewpoint towards LGBTQ+ identifying individuals. Because of this viewpoint,
a solid foundation to work meaningfully with these individuals is created, assisting in tackling
issues such as loneliness and isolation.
The therapist providing the existential therapy to their client has the duty of providing a
safe and affirming environment and relationship to counter their sense of isolation
(Ratanashevorn et al., 2021). When the client has the desire to alleviate isolation, entering their
therapeutic relationship, the therapist automatically becomes their companion to heal said
isolation. The emphasis of this type of therapist is to build a genuine relationship and alliance
between the therapist and client, neutrally validating the client’s lived experience (Ratanashevorn
et al., 2021). Meaning, the formed therapeutic relationship created early in the treatment is
necessary for clients to form meaningful relationships in the following phases of their treatment.
Benefits of Telepsychiatry
Across the USA, there has been an increase in mental illness issues and those
experiencing such symptoms. Patients continue to encounter many barriers to accessing health
care, only 43% receiving treatment, such as individual or group therapies (Whaibeh et al., 2019).
This serves as a large challenge for underserved LGBTQ+ individuals who experience a higher
rate of mental health conditions, with a higher suicidality. These individuals face specific
barriers at a clinician, individual, and systemic level.
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The state of LGBTQ+ mental health is most challenged, as they are underserved and
often, a poorly served population in health care settings. LGBTQ+ identifying individuals face
discrimination from select providers and prejudice from medical institutions, causing an increase
in mental health needs linked to depression, anxiety, and substance abuse (Whaibeh et al., 2019).
Additionally, those living in more rural areas, facing geographic isolation face higher barriers
when accessing mental health services in an already limited pool of mental health providers in
the area. While approaches are urgently needed to overcome said barriers, telepsychiatry serves
as a step in the right direction, allowing clients to gain access to the help and assistance they
need.
Another barrier that LGBTQ+ individuals face is the shortage of culturally competent
clinicians (Whaibeh et al., 2019). Culturally competent healthcare providers are those able to
understand the cultural influences necessary to guide the treatment of patients belonging to a
specific community. In the context of LGBTQ+ clients, this entails sensitivity and knowledge
on understanding issues faced by LGBTQ+ communities. By doing so, these mental health
providers can become self-aware of biases and assumptions made about their client. Having a
shortage of culturally competent healthcare providers stems from the lack of education and
training provided, making them incompetent to approach care with LGBTQ+ clients. Even
though psychologists and psychiatrists in the United States carry positive attitudes towards
LGBTQ+ identifying clients, they still do not acquire the level of training, experience, or
knowledge to provide for their needs (Whaibeh et al., 2019).
Fortunately, telepsychiatry has emerged as an approach to possibly help overcome these
barriers faced by individuals. Also known as telemental health, telepsychiatry is the use of
communicative technology to deliver psychiatric (and other) services remotely. As of recently,
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telepsychiatry has emerged as an interprofessional field with a community of primary care
physicians, nurse practitioners, psychologists, social workers, and nurse’s (Whaibeh et al., 2019).
Potential clients and patients can choose providers based on profiles, experience, and sometimes
past client reviews on websites and phone applications. Not only that, telepsychiatry is a more
convenient and cost-effective alternative for in-person psychiatry services, serving as a time
saver while eliminating travel expenses and less time away from work (Whaibeh et al., 2019).
Conclusion
For years, society discriminated and oppressed those with varying sexual and gender
identities while practitioners spent their ways trying to convert them to heterosexual for their
research. Even after the American Psychiatric Association code was modified to acknowledge
the variety of sexual identities as normal, deeming conversion therapy as unethical, LGBTQ+
individuals are still reporting high numbers of unsupportive therapy, having less access to
competent professionals in the field. With the shortage of culturally competent providers with the
proper training needed to provide psychiatry help to LGBTQ+ clientele facing sexual and gender
identity issues, the pool of providers isn’t as endless as it is for heterosexual clients.
Fortunately, being past the time where conversion and other sexual orientation change efforts
(SOCE) stood as the only therapies available for LGBTQ+ individuals, there are now various
therapeutic options to alleviate feelings of isolation, body dysphoria, and other mental health
issues faced. Psychotherapy treatment’s such as existential, affirmative, and psychotherapy are
just a few to name.
All in all, research and alternative therapies should be improved upon by competent
professionals best suited to understand the intersectionality of minority groups and psychology.
By adopting gay affirmative attitudes and being active within LGBTQ+ communities, avoiding
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heterosexism languages, respect can be shown in various ways. Respect for LGBTQ+ individuals
and the mental health issues they face make for greater application in research and future
therapeutic studies, forming a deeper understanding of all human experiences and emotions
(Vicknair, 2015).
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LGBTQ+ Populations Access to Mental Health Resources
LGBTQ+ (Lesbian, gay, bisexual, transgender, etc.) individuals are often stigmatized and
discriminated against in various settings. This population is expected to experience inferior
mental health outcomes compared to cis-gendered and heterosexual people, a phenomenon
healthcare providers need to take note of and act on (Moagi et al., 2021). Facing such barriers,
they’re at higher risk for substance use, bullying, depression, and other mental health issues
compared to the general population. Due to the lack of healthcare providers’ awareness,
stigmatization, and insensitivity to the unique needs of this community, LGBTQ+ individuals
experience significant health inequities with well-documented negative health impacts (Hafeez et
al., 2017). The community faces many issues on a clinical and personal level. All in all, there are
many ways to address such issues, especially when coming to mental health complications.
Problems
LGBTQ+ individuals, on average, experience a myriad of mental health disparities as
well as an amplified risk of suicide compared to cisgender/heterosexual individuals (Madireddy
and Madireddy, 2022). There are several explanations for this overrepresentation of mental
illness in the LGBTQ+ population backing this statement. For one, LGBTQ+ individuals are
often scrutinized and stigmatized by family, peers, and healthcare providers. Those who
experience internalized stigma may feel as though they do not deserve respect from healthcare
providers or, the same access to healthcare as their heterosexual peers (Moagi et al., 2021). As a
result, they may not disclose relevant information to their providers, or avoid seeking treatment
overall! These individuals find it troubling to share their sexual orientation or gender identities
with providers who may be inept at understanding the experiences and challenges of their
(LGBTQ+) community. Given the frequency of said experiences in a negative light in various
�HOMOSEXUALITY AND THE DSM
26
settings, in both overt and coverts forms of discrimination, many find the decision as feeling like
a “risk” (Henriquez and Ahmad, 2021). Furthermore, stereotypes attached to LGBTQ+
identifying individuals within the healthcare services lead to fear of communicating with
providers about mental health hardships, delaying such services that they may need (Moagi et al.,
2021). These factors alone may inhibit the access to structural, interpersonal, and psychological
resources.
Despite the push we see today for widespread acceptance of LGBTQ+ identities, there is
still an abundance of homophobia and transphobia ingrained into our society, causing mental
health issues to the population. As such, many LGBTQ+ have likely been exposed to a
significant amount of discrimination throughout their lives for their identities, on social media, at
school, or by immediate friends and family. Such discriminatory remarks made against them
often leads to diminished self-esteem, depression, anxiety, shame, and other negative feelings
surrounding their gender identity/sexual orientation. An emphasis on addressing the broad
health, mental wellbeing and needs of LGBTQ+ is needed, rather than exclusively using an
illness-based focus such as AIDS or HIV. Meaning, we see studies and research done by the
CDC (The Center for Disease Control) and other physicians about how much of the homosexual
identifying population carries HIV or AIDS, but not enough research including other identities
within the LGBTQ+ community (Hafeez et al., 2017). Even then, LGBTQ+ individuals find it
difficult to report their sexual identities to their clinicians, some of those clinicians not well
trained in addressing such (Hafeez et al., 2017). This lack of communication is responsible for
the poor therapeutic alliance, lack of related education, inadequate screenings, and interventions
for physical and mental illnesses.
�HOMOSEXUALITY AND THE DSM
27
Solutions
Stakeholders and contributors in the community need to assist in developing a cohesive
plan to deal with the challenges faced by LGBTQ+ individuals. Policy makers can engage key
stakeholders in formulating social and news media campaigns to address these social inequalities
and lack of effective and inclusive health care through such messages (Hafeez et al., 2017).
Parents, teachers, medical professionals, and peers can also enhance the experience of LGBTQ+
identifying individuals. Parents and youth especially should be at the front and center of these
interventions, speaking on their personal experiences whether it is their identity, their child’s
identity, or another family members identity.
Physicians and mental health professionals should be culturally sensitive to meet the
basic needs of the LGBTQ+ population. They should be trained and educated to provide
nurturing, open communication, and empathetic care to this population, in a respectful manner
(Hafeez et al., 2017). Inservice training using reflective techniques may assist in facilitating
mental healthcare providers’ awareness of their own stereotypes and beliefs that may hinder
management in management of LGBTQ+ individuals. Additionally, such professionals need to
address the concerns of LGBTQ+ individuals in their research, taking physical and mental wellbeing, social welfare into account.
Regarding pediatricians, the most important element of their primary care includes
assessing and supporting youth’s mental health. This element plays a significant role in
LGBTQ+ youth and young adults, who are prone to experiencing stressors associated with
family rejection, self-nonacceptance, and stigmatization (Madireddy and Madireddy, 2022).
Therefore, pediatricians must be aware of how to apply principles of mental health practice to
LGBTQ+ youth as well as have resources available as needed.
�HOMOSEXUALITY AND THE DSM
28
Suggested by LGBTQ+ identifying individuals to improve their access to mental
healthcare services, they wished for a “responsive, seamless, and holistic services,” while being
treated with dignity and respect (Moagi et al., 2021). LGBTQ+ individuals also described the
importance of building queer-friendly health and community services, including supportive and
inclusive, safe spaces in their community (Henriquez and Ahmad, 2021). Lastly, they request
that mental health practitioners provide psychoeducation at their workplaces and for significant
others (Moagi et al., 2021). A concern voiced by transgender individuals is the refusal of care by
healthcare providers due to “lack of knowledge.” By this, some providers decline prescribing or
treating transgender patients due to uncertainty of how hormones might “intersect/affect” care
(Henriquez and Ahmad, 2021). An FTM (female to male) participant apart of Henriquez and
Ahmad’s study voiced that he understood the reasoning to a certain degree but emphasized that
these providers were unwilling to get the training needed to treat patients such as himself. Other
participants spoke on the same solution, talking about how these medical professionals should go
through training necessary to treat them, noting that there are websites dedicated to showing
providers how “easy” it is to prescribe transgender identifying individuals (Henriquez and
Ahmad, 2021). Lesbian, gay, bisexual. and queer individuals agreed with this, demanding a good
practice guideline be put in place, while requiring additional training for mental health
practitioners on LGBTQ+ issues and terms (Moagi et al., 2021).
Conclusion
All in all, healthcare and mental health resources are both lacking for LGBTQ+
populations. Either because said treatment isn’t offered, or select professionals do not have the
proper training, it makes it difficult for LGBTQ+ individuals to receive the proper care. The lack
of resources leading to horrible outcomes such as suicide and deteriorating physical and mental
�HOMOSEXUALITY AND THE DSM
29
health, should be a wakeup call for politicians and current and future medical professionals
everywhere. By receiving a further education in treating a minority group such as the LGBTQ+
population, this can lead to bettered health outcomes for said individuals.
�HOMOSEXUALITY AND THE DSM
Chapter 4 redacted to remove personal reflections and any identifying information.
30
�HOMOSEXUALITY AND THE DSM
31
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�
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Text
DISABILITY RESOURCE EXPANSION
1
The Development, Evolution and Application of Special Education Resources
Ava de Velasco
Department of Psychology, Wagner College
�DISABILITY RESOURCE EXPANSION
2
Table of Contents
page
ABSTRACT……………………………………………………………………………………….4
CHAPTER
1
HISTORICAL ANALYSIS ON THE INITIAL ATTITUDES TOWARD AND
SUBSEQUENT ADVOCACY FOR SPECIAL EDUCATION GROUPS ……………....5
Historical Figures and their Attitudes……………………………………………………..5
Instances of Mistreatment........…………………………...……………………………...10
Advocacy Instances.……………………………………………………………………..13
Legal Efforts…………....………………………………………………………………..14
Continuous Flaws Despite Improvement……………....………………………………...15
Conclusion……………………………………………………………………………….16
2
THE IMPORTANCE OF SOCIALIZATION IN SCHOOL CHILDREN WITH
INDIVIDUALIZED EDUCATION PLANS…………………………………………….17
Role of Social Development Theory…………………………………………………….17
Social Participation…………….………………………………………………………...18
Inclusion & Benefits of IEP’s………..…………………………………………………..20
Impact of Social Exclusion……….……………………………………………………...21
Integrity and Attitudes……….…………………………………………………………..22
Conclusion...…….…………………………………………………………………….…23
3
CONSIDERATIONS FOR APPROACHING HESITANT FAMILIES TO UTILIZE
SPECIAL EDUCATION RESOURCES………………………………………………...24
Solution: Advocacy and Support Resources……….……………………………………26
�DISABILITY RESOURCE EXPANSION
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Solution: Increased Knowledge and Emphasis on Collaboration…..……………………...26
Solution: Official Mediated Processes………………………….…..……………………...27
Conclusion……………………………………………………...…..……………………...28
4
REFLECTING ON SCHOOL OBSERVANCE EXPERIENCE………………………...29
LIST OF REFERENCES………………………………………………………………………...32
�DISABILITY RESOURCE EXPANSION
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Abstract
Special education resources were not always a readily available accommodation, or considered
to be a universally accepted or necessary system. It is important to examine the historical
analysis of how special education attitudes initially developed and how this community was
treated, as it allows insight into how the movement has become what it is today. Chapter one
focuses on the initial attitudes and treatment toward those with disabilities, and how specific
psychological contributors, as well as community based movements have contributed to the
societal shift from isolation to integration. Research has recognized the benefits of socialization
amongst special education students. Chapter two discusses the importance of socialization for
students with disabilities, and how programs can be created or restructured in order to give those
students access to the least restrictive learning environment as outlined in the standards of the
Individualized Education Plan. While special education reform has come a long way, not all
families share an understanding of what these resources entail. Chapter three explores
considerations on how to approach families who are hesitant to utilize special education
resources. Chapter four gives insight into an actual educational setting, as well as first hand
exposure to various special education and disability reform efforts being implemented. Overall,
the purpose of this paper is to examine the historical and modern attributes which contributed to
special education programs used within schools today in order to ensure the success of the
disabled in their endeavors.
�DISABILITY RESOURCE EXPANSION
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Chapter 1: Historical Analysis of the Initial Attitudes Toward and Subsequent Advocacy
for Special Education Groups
Special education programs have not always been common. It was not until the 1970s
that legal reform to implement special education efforts within schools began. Prior to the
development of special education programs, it was common for individuals with disabilities to be
isolated from the general group in both an academic and social context. While reform efforts are
fairly recent, research on these groups has been present since the early 19th century. Through
analyzing historical and current literature, it is evident that the societal viewpoint on those with
special needs has vastly changed over time due to a shift in values, as well as a decline in various
stigmas. The stances on children with disabilities requiring special education needs and
accommodations have changed from an approach of neglect to one of support and acceptance.
This can be credited to the works of the various psychologists, researchers, academics and
advocacy groups who contributed to the disability rights movement.
Historical Figures and Their Attitudes
Various scholars and researchers have evaluated the disabled community. Thomas
Hopkins Gallaudet, the co-founder of the first school of the deaf, was said to take pity upon a
little girl and “her unfortunate class” (Barnard, 1854, p.375), which motivated him to dedicate
his life to pioneering education for the disabled. In this instance, the term “unfortunate class” is
used to describe an entire community of individuals with a negative connotation. It can be
inferred that the negative connotation taken to address the disabled community he was catering
to was aligned more with societal biases rather than Gallaudet’s himself, as he evidently had
good intentions within the disability movement. This was illustrated through direct testimony of
those impacted by him, saying “What meed of praise shall be awarded to him who not
�DISABILITY RESOURCE EXPANSION
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only-emancipated a whole class of men, in all states and for all time, from the thrall of ignorance
and moral degradation: who not only restored to them their rights, invaluable, inestimable, but
the humanity of which they were robbed” (Barnard, 1854, p. 376). This shows the impact which
Gallaudet had on the deaf community, not only playing a part in separating them from ignominy,
but also giving them the opportunity to pursue a fair education. This led to a university being
named after him in 1864, just 13 years after his death. Gallaudet University, located in
Washington D.C., is the only liberal arts college in the world which is exclusively tailored
toward deaf students. This shows the impact which Gallaudet had on the special education
movement, taking the disconnect between society and those with disabilities in the 1800s and
personally transforming the learning experience for those with this disability.
Authors contributing to the American Phrenological Journal (1857) also mentioned the
methods of Gallaudet, crediting him with successfully contributing to the education of these
children through various measures and introducing the methods to other countries. When these
authors visited a school which grouped those with disabilities together with those considered to
be psychotic, they were surprised to find the children, or “company of little urchins” (American
Phrenological Journal, 1857, p.14) getting along peacefully. The grouping of those with
disabilities along with criminal or violent children showed the evident disregard which society
still held for those with disabilities, despite conscious considerations and awareness of the
positive contributions of figures such as Gallaudet to the movement. The fact that the surveyors
expected to find the children engaging in reckless behavior showed the prejudice which was
bestowed upon them. They even insisted that those with disabilities “have no facts, no wants, no
aspirations” (American Phrenological Journal, 1857, p. 15). This illustrated the degradation and
discrediting of those with disabilities which was published during the 1800s.
�DISABILITY RESOURCE EXPANSION
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Around the same time, various debates regarding the origins, as well as the prevention, of
disabilities were circulating amongst researchers and psychologists. The nature versus nurture
debate, initiated by Charles Darwin’s The Origin of Species and further investigated by Francis
Galton, Darwin’s cousin, was a widespread controversy. Galton, who was one of the first
experimental psychologists, was an advocate for eugenics. Galton himself derived this term from
the Greek phrase “eugenes”, which means “good in stock” (Galton, 1883, p.18). He wanted to
coin a “brief word to express the science of improving stock” (Galton, 1883, p.18). Galton was
the chief defendant of the practice of eugenics, advocating for selective breeding measures in
order to attain a perfect society without the presence of any individuals who inhibited
undesirable traits, including those with disabilities (Stephens & Cryle, 2017). The practice of
eugenics involved assessing a person's genetically determined social worth and fitness (Antonak,
1993). During Galton’s time, those with disabilities ranked low in social desirability, as was
illustrated through their general treatment as well as the published literature circulating on the
topic. Galton essentially did not want anyone to be part of society that had a disability, and aimed
to control the evolution of society by containing the groups which he found to be problematic
and eliminating them (Galton, 1904).
English psychologist Cyril Burt spent time attempting to figure out if
“feeble-mindedness,”, a term used in reference to special education children, was a cause of
environmental or genetic influence (Burt, 1912). Burt and Galton had a personal connection,
with Burt’s father being a family doctor who treated the Galton family (Chitty, 2013). As a
result, Burt embraced Francis Galton’s findings, forming the opinion that intelligence was mostly
inherited, and subsequently proposed eugenics and other ideas to “cure” child delinquency. Burt
spent his life studying the inheritance of IQ and other intelligence measures, becoming the first
�DISABILITY RESOURCE EXPANSION
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British psychologist to be knighted and receiving attention for his twin studies. These studies,
however, would be the downfall of Burt’s reputability, as they led to the surfacing of the “Burt
Scandal” (Jensen, 1991). This alleged that Burt’s data had been faked, and that he was guilty of
deception later in his career (Clark, 1981). Although these claims have yet to be completely
resolved, Burt’s status as a once renowned psychologist studying both gifted and delinquent
children had been impaired nonetheless.
Physicians such as Samuel Gridley Howe proposed that children with disabilities were
born that way because of their parents' violation of natural laws, therefore producing an “unfit
instrument for the manifestation of the powers of the soul” (Howe, 1858, p.366). Howe was said
to have viewed disabilities as a “social disease”, deriving from immortality or sinning (Flynn,
2017). Similarly to the American Phrenological Journal, he implied an association between
criminals and violent individuals and those who have special education needs such as the blind
and the deaf (Howe, 1874). By doing this, he contributed to the stigma around those with
disabilities. Society further succumbed to this stigma by collectively assuming negative
connotations of those within the disabled community. However, Howe did strive to provide care
for the disabled, believing them to have the potential to be trained and redeemed from their
unaccepted habits (Howe, 1874).
Many groups which researchers and psychologists associated with further promoted
sterilization and additional efforts to prevent those with disabilities from spreading them to their
offspring and further perverting society. For example, the Eugenic Records Office at Cold
Springs Harbor wrote the ‘Model Eugenical Sterilization Law’ (Antonak et al, 1993). This
proposal was designed in order to provide a legal template that could be adapted and eventually
applied into lawful policy and programs. This showed the measures which communities were
�DISABILITY RESOURCE EXPANSION
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willing to take in order to eliminate the disabled population, going so far as to propose laws
which would allow drastic measures such as sterilization and other eugenical processes to be
carried out within the disabled community.
Henry H. Goddard was an American psychologist and eugenist. Goddard believed in
limiting the reproductive capacity of those who were “morons”, a term which he is credited with
inventing for clinical use when describing individuals with disabilities (Antonak et al, 1993).
Goddard also felt that segregating those with disabilities was an appropriate effort, and he
supported the idea of creating specialized colonies for these individuals to congregate within
(Goddard, 1920). He felt that those who had low IQs were to be identified as a “menace of
society and of civilization” (Goddard, 1915, p. 307) because their IQs were considered
insufficient to function within the various social structures that were becoming present in the
increasingly advancing free world. Goddard rationalized this thought through his adoption of the
Binet-Simon scale of intelligence, which he is credited with introducing to the United States after
discovering it in Belgium and presenting it to his colleagues. He became the principal advocate
of using this test in the diagnosis of mental deficiency in America, distributing thousands of
copies of the manual over the years (Antonak et al, 1993). Researchers such as himself would
attempt to identify those with disabilities, and then use this test as justification for eugenics. His
motives behind using the test were not aligned with those of the creator, Alfred Binet.
Alfred Binet was a French psychologist who sought to create a measure of general
intelligence. This was primarily because teachers and doctors during this time were often
accused of making unreliable diagnoses of intelligence (McCredie, 2017). Binet emphasized that
IQ scores were not meant to define permanent conditions, and they were to be used as a rough
guide to improve the learning experience of the disabled. However, researchers such as Goddard
�DISABILITY RESOURCE EXPANSION
10
took the test and skewed it from its initial intentions. Binet himself believed in finding methods
to keep children in schools, directly contrasting the views of others who supported segregation
and eugenics such as Goddard and Galton (Nicolas et al, 2013).
Similarly, Lev Vygotsky was a Soviet psychologist who had a view relatable to the
perspective of Binet. He believed that dividing those who were disabled from the general
population would only enhance the separatism between the two. He said “instead of helping
children escape from their isolated worlds, our special school usually develops in them
tendencies which direct them toward greater and greater isolation and which enhance their
separatism” (Vygotsky, 1929/1993, p.65). Vygotsky was against the idea of creating segregated
disabled communities, believing it would eliminate any opportunity to integrate those with
disabilities into society.
In contrast, Désiré-Magloire Bourneville was a French neurologist who dedicated his life
to pediatric neurology. Bourneville supported isolation measures within special education. He
thought that disabled children would be better off if they were removed from the standard
curriculum and instead referred to an asylum-school. He felt that specialized institutions would
provide “medico-educational treatment that could be applied to idiot, epileptic, retarded
children” (Plantade, 2015, p.268). It can be inferred through Bourneville's dedication and
positive contributions that he likely had good intentions for the betterment of those with
disabilities through these propositions, but was also following the then-normalized social pattern
of isolation and institutionalization in his proposals.
Instances of Mistreatment
High profile attention on misjustices toward those with disabilities induced a societal
shift toward establishing different standards of assistance for those with disabilities. A significant
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event which gained national attention on this issue was the exposé on The Willowbrook School
by journalist Geraldo Rivera in 1972 after he was given a key by a recently fired Dr. Michael
Wilkins. Wilkins was dismissed from employment at the institution because of his efforts to
educate parents on reform needed within the school (Flynn, 2017).
The Willowbrook State School (1947-1987) was initially established as an institution for
children with intellectual disabilities, but it became the site of a major turning point in the history
of disability rights that revolutionized the way in which the care of people with disabilities was
to be addressed (Flynn, 2017). It became an overcrowded institution, housing over 2,000 more
adults and children than their maximum capacity allowed. Residents at the school were subjected
to physical, sexual and emotional abuse (Weiser, 2020). They were also unwilling participants in
Defense Department-funded medical research on hepatitis and other diseases. In these studies,
children were intentionally given the virus in order to gain understanding into its variations.
Vaccinologist Maurice Hilleman described the hepatitis studies performed at the institution as
“the most unethical medical experiments ever performed on children in the United States”
(Offitt, 2007, p.27).
Willowbrook residents were denied their basic rights while living at the school, receiving
even less benefits than those in prisons. It was emphasized that prisons alloted 80 square feet per
inmate, while Willowbrook provided only 35 square feet per resident as well as no space for
personal belongings (Dalton, 2020). Due to the social stigma surrounding those with disabilities
at the time, as well as the conditions of the school, employee interest was low, resulting in staff
members not having to submit a background check for employment. The staff to patient ratio
was estimated to be about 50:1 (Dalton, 2020). Willowbrook is often referred to as the symbol of
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deinstitutionalization in America because of the horrific conditions which its residents endured
(Flynn, 2017).
The closing of Willowbrook was not a seamless process. Parents of the children residing
there collaborated to produce the New York State Association for Retarded Children v. Carey
(1972), which claimed the conditions at Willowbrook violated the constitutional rights of the
residents. Various negotiations took place, with the Willowbrook Consent Decree (1975)
eventually being implemented with the intent to improve living conditions and placement options
for these children. The school closed in 1987 after years of public outcry.
Similarly, the Pennhurst State School and Hospital, or the Eastern Pennsylvania State
Institution for the Feeble-Minded and Epileptic (1908-1987), was an institution meant to provide
care for those with disabilities. Pennhurst was engulfed in controversy throughout its operation,
with its chief physician quoting Henry Goddard and his eugenic remarks when discussing
methods of isolation and contraceptive efforts implemented within the school (Schmidt, 1983).
The facility was regarded as “understaffed, dirty and violent” (“Law: Patients' Rights”, 1981,
para.1). Drugs were often used for staff to exert control over patients instead of for treatment
purposes, and patients often suffered from physical deterioration as well as overall regression
from their stays at the institution. Harsh methods of punishment were a commonality for
residents, such as electric shock therapy machines and teeth pullings of inobedient patients
(Beitiks, 2012).
The Pennhurst State School was subjected to a class action lawsuit, Halderman v.
Pennhurst State School & Hospital (1974) after a television exposé by Bill Baldini was aired in
1968 exposing the conditions within the hospital, which continued to deteriorate after the release
of the exposé despite promises of improvement. Pennhurst was found to be unable to provide the
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appropriate care which violates federal and state law ensured for its patients. Prominent civil
rights attorney David Ferleger, who represented the plaintiffs of the case, stated the court ruled
“retarded people placed in state facilities have a right to adequate care free from discriminatory
separation from nonretarded people, and that the institution was irredeemably incapable of
providing that care” (Ferleger & Boyd, 1979, p. 718). Despite various appeals, as well as
multiple arguments in the Supreme Court, this resulted in the closing of Pennhurst in 1987,
which was coincidentally the same year which Willowbrook closed its doors.
Advocacy Instances
In addition to the lawsuits which initiated the deinstitutionalization of disabled students,
various laws were drafted and proposed during the disability rights movement. Section 504 of
the Rehabilitation Act of 1973 was introduced as one of the first federal civil rights laws that
offered documented protection for people with disabilities, as well as prohibited discrimination.
It ensured the upholding of the dignity and respect of disabled individuals. However, there was
much delay and opposition to the ruling, resulting in stalling of the law being properly regulated.
As a result, the 504 Sit-Ins took place, which consisted of demonstrators marching across the
nation to advocate for the regulations and enforcement of Section 504. One demonstration, the
San Francisco federal building sit-in, lasted 26 days (Osorio, 2022). This was the longest sit-in at
a federal building (Lu, 2021). Regulations were finally signed four years after the law passed on
April 28, 1977 (Carmel, 2020).
The Americans with Disabilities Act of 1990, or the ADA, prohibited discrimination
against individuals with disabilities in all areas of public life which the general public had access
to, ensuring equal access to resources amongst all. The law was stalled for months by the House
Committee, which led to various protests being organized by concerned activists, including The
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Capitol Crawl. The Capitol Crawl, which took place on March 13, 1990, saw over 1,000
protestors march from the White House to the U.S. Capitol to demand that Congress pass the
ADA (Little, 2020). During the protest, several participants who were in wheelchairs abandoned
the devices and crawled up the stairs of the Capitol, which was symbolic of the right to
reasonable accommodations which the ADA contained (Carmel, 2020). The crawl directly
illustrated the barriers which were in place for people with disabilities, and therefore gave a
visual representation of the necessity for the law to be signed. As a result of this protest, the law
was signed months later on July 26, 1990 (Little, 2020).
Legal Efforts
In addition to the legal advocacy efforts pertaining to Section 504 of the Rehabilitation
Act of 1973 and The Americans with Disabilities Act of 1990, various other legal
implementations were made in order to further secure the rights of those with disabilities. The
Education for All Handicapped Children Act, as well as Individuals with Disabilities Education
Improvement Act, or the IDEIA, focused on special education reform in particular.
The Education for All Handicapped Children Act made it mandatory to make education
equally accessible to those with physical and mental disabilities. The act declared that those with
physical and mental disabilities must be given equal opportunity to education, as well as one free
meal a day. This also introduced the idea of the least restrictive environment, which paved the
way for admitting children with disabilities into the general student classrooms. This was
something that was not always practiced within schools, especially before the 1970s (Larson,
1985).
The Individuals with Disabilities Education Improvement Act of 2004, or IDEIA,
introduced various elements to law regarding special education procedure. The primary goal of
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IDEIA was to improve learning outcomes and accessibility for students with disabilities (Yell et
al, 2006). Standout pieces of the legislation included the expansions of the least restrictive
environment (LRE), the individualized education program (IEP), and the right to a free and
appropriate public education (FAPE) (Yell et al, 2006). This law made the appropriate resources
available for those with disabilities in order to gain a fair education which is specific to their
needs. The IDEIA is an expansion of the Individuals with Disabilities Education Act, or the
IDEA, which was passed in 1990. One of the reasons IDEA was amended was its language. The
writing influenced teachers to misidentify minority students as having learning disabilities. The
IDEIA also required states to establish goals for students with disabilities that aligned closer to
the goals of their general education peers, which the IDEA did not fully consider (Renner, 2023).
Continuous Flaws Despite Improvement
Many efforts for special education advocacy led to an overabundance of students being
determined as special needs, which took away from the resources received by those who actually
needed it (Belluck, 1996). This can be illustrated from the fact that twelve years after the
Education for All Handicapped Children Act took effect, the number of handicapped students in
US public schools had increased to 11 percent of their total enrollment, showing a need for
specialized and appropriate learning (Daniels, 1988).
Diana v. State Board of Education (1970) exposed placement errors and biases within
testing systems despite heightened reform efforts. Schools were thereby forced to be more
diligent in their testing and assignment processes. This involved determining whether the
educational problems of children were actually the result of a learning disability or due to other
possible factors. Larry P. V Riles (1972) expanded on Diana, marking the beginning of the end to
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IQ testing in school settings. Financial cuts or other fiscal restraints have also had various
regressive effects on the efforts made to tailor special education (Weintraub & Ramirez, 1985).
Despite implemented changes, thousands of students are still deprived of the services of
which they have the right to access. Just as recently as 2016, the New York City Department of
Education found that nearly 9,000 students recommended for services were not receiving them at
all, and more than 60,000 students were receiving only some of the services they needed.
(Taylor, 2016). This illustrates that despite the reform efforts which have taken place throughout
history, there is still work to be done to ensure all students benefit from the sacrifices and
advocacy that so many people fought for.
Conclusion
While the initial evaluation and attitudes toward those with special needs involved
sometimes undesirable elements, as the field has matured through advocacy efforts,
psychologists and researchers have seen a considerable turnabout in the field in comparison to its
initial quality. Psychologists in particular have contributed to various advocacy efforts through
doing research and reporting their findings and stances to lawyers and representatives of parental
groups (Routh, 2005). Although contrasting views were evidently present, ranging from the
controversial ideas of Galton and Goddard to the progressive and embracing contributions of
Binet, Gallaudet and Vygotsky, all input provided helped shape the field to become the way it is
known today. Although some, such as Howe and Bourneville meant well by supporting special
schools, they were unsuccessful. It took a movement, as well as the presence of appalling
scandals such as Willowbrook and Pennhurst to get things to change. These changes have now
allowed those with disabilities of any kind which require special accommodations the
opportunity to gain an education that is valuable to their specific needs.
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Chapter 2: The Importance of Socialization in School Children with Individualized
Education Plans
The field of special education encompasses many different circumstances, including
specialized programs, tailored services, and specifically designed instruction. Each child who
qualifies as special needs shares a common denominator. That is the fact that each child is given
an IEP, also known as an Individualized Education Plan. The IEP is designed as a personalized
plan for students to achieve academic success in their general education curriculum in a way
which aligns with their specific needs (Kurth et al, 2021). A primary goal within the IEP is
access to the LRE, or the least restrictive environment, which encourages those with an IEP to
gain access to the general class environment (IDEA, 2004), allowing them to socialize amongst
their peers. This review will analyze how the socialization of, as well as the environment in
which children with IEPs interact, strengthens the academic, socioemotional, functional, and
overall wellness outcomes of these students.
Role of Social Development Theory
The ideas of Lev Vygotsky and his Social Development theory concluded that social
interactions and social relations are primary sources of development (Rubtsov, 2020). He argued
against the social prejudices that were being continuously enforced against handicapped
individuals (Vygotsky, 1929/1993), advocating for inclusion and collaboration between advanced
students and those who require assistance. Additionally, he emphasized the zone of proximal
development, which relies heavily on peer interaction to achieve success. The zone of proximal
development is the space between what someone can learn without assistance and what they are
capable of learning with assistance (Gindis, 1999). Through this particular theory and his general
works, Vygotsky emphasized the importance of social interaction between peers, as well as the
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role of a learning person's environment in their advancements, as it was his belief that learning is
influenced by the environment.
Social Participation
In the past, literature has often concluded that isolation of those with special needs was
the best course of action to ensure the success of both general education students and special
needs students. This concept of isolation has been heavily researched and debated, and it has
been concluded that exclusion can have negative effects on both learning and social skills
(Freeman & Alkin, 2000). This has resulted in current laws advocating for student inclusion.
The primary act which solidified this was the Individuals with Disabilities Education Act, Sec.
300.114. This section of the law requires that students with special needs are placed in the least
restrictive environment (LRE) in order to allow students to be integrated within a unified
learning environment. This states that, “To the maximum extent appropriate, children with
disabilities, including children in public or private institutions or other care facilities, are
educated with children who are nondisabled” (US Department of Education, 2017, p. 31).
The International Journal of Educational Methodology acknowledges the fact that
historically, children with disabilities in most parts of the world have not been given access to the
educational opportunities offered by traditional schooling (Somma & Bennett, 2020). This
journal accounts for how these changes should be implemented schoolwide through the
acknowledgement that the pedagogy itself may require reform, as teachers’ confidence, attitudes,
and willingness toward inclusion itself are factors in determining the success of inclusion for
students (Somma & Bennett, 2020). After investigating the literature of Schoger (2006), it is
clear that socialization contributes to the overall wellbeing and advancement of those with
special needs. Not only do those with disabilities benefit from interaction with others with
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disabilities, but those without disabilities do as well. It is paramount to consider the idea that
although a child may have a disability, they are still children in nature. Because of this, just as
other children do, children with disabilities will still learn from their environment, regardless of
what that environment’s circumstances may be (Schoger, 2006). This emphasizes the importance
of surroundings and a positive environment, as these children will pick up on the atmosphere
around them, as all children do, which in turn will influence their habits and practices in the
academic setting.
Youth experiences of social participation as a whole are related to the social interactions
of which they observe in their school environment (Vetoniemi and Kärnä, 2021). This
emphasizes the idea that necessary socialization skills are initially formed in school, and develop
as one grows older and further assimilates into society. This ties into the functional outcomes of
students with disabilities partaking in traditional classroom activities and settings, as it allows
them to observe and participate in the standard conditions of their peers and become
accommodated to the practical expectations of society. The idea of heterogeneous grouping,
where students are interacting with their age level peers who fall within all different levels of
ability, as well as a balanced educational experience were popular amongst educators in
particular, as it allowed students to experience diverse levels of knowledge and adjust
appropriately (Somma & Bennett, 2020). By exploring the literature of those who have
experienced the results of these types of environments and learning structures on children, we are
able to better understand how these changes positively impact the special education field as a
whole.
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Inclusion & Benefits of IEP’s
The support of IEPs and the benefits that they bring to children with disabilities is
evidently conveyed through the acknowledgement that the social, as well as academic benefits of
inclusion for students with disabilities have been well researched and well documented (Schoger,
2006). In the instance of the Reverse Inclusion Theory, those with disabilities “started to initiate
social interactions with not only their reverse inclusion friends, but other peers as well”
(Schoger, 2006, p. 7). This shows that through implementing inclusive measures, students took
initiative to become more sociable on their own. In addition to this, after just eighteen weeks of
increased socialization, the children improved on both their participation and communication
skills. This data showed that promoting an environment made up of inclusionary practices, as
well as placing an emphasis on social interactions, resulted in positive enhancements and
functioning in the behavior and demeanor of those students with disabilities.
Educators have recognized the benefits of switching to a fully inclusive pedagogy on the
basis of collaboration and observational learning (Somma & Bennett, 2020). This is due to
positive experiences and advancements such as the development of independence and
socialization skills. Many instances of children with disabilities paired with collaboration have
proven to be successful in relation to both social and academic success (Somma & Bennett
2020). The learning environment is also emphasized by acknowledging that inclusion extends
beyond their lessons. The concept also expands into the attitudes and beliefs of all students in the
class and school environments, therefore integrating standards of inclusion into everyday life.
One study found effective communication elevated the student’s abilities to adhere to
collaboration efforts, as well as take note of practical ways to work together within and outside
of classrooms. This resulted in a shared understanding of inclusionary measures across
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environments (Garcia et al, 2022). This illustrates that promoting a positive classroom culture
with reinforcement is essential to driving student interaction and inclusion. Additionally, Schoger
(2006) makes the point that social skills are developed from observational learning, which means
that these students require increased opportunities to observe the socially acceptable,
age-appropriate behaviors that their general education peers exhibit in order to create their own
understanding of social cues. By keeping this idea in mind, it is chiefly important to allow those
with disabilities to have hands-on experience with those who do not have disabilities, as it allows
them to gain an integrative perspective on various aspects of their peers' habits and sociability.
Impact of Social Exclusion
Various other literature takes into perspective the idea of social exclusion. Beld et al.
(2019) acknowledge that risk factors for social exclusion may be particularly disproportionate in
special education classes due to the accommodations which these students may need. The
importance of adequate social information processing, which is obtained mostly through social
scenarios, is emphasized. When a child lacks socialization, they may possess inadequate social
skills and have inappropriate reactions to social situations. This may cause these particular
students to isolate themselves and become incapable of building and maintaining rewarding
social relationships with their peers. This then ties into emotional isolation, which can result in a
lack of self regulation and tendency to have outbursts. Vetoniemi and Kärnä (2021) focus on the
experiences of students with special education needs in a mainstream school environment.
Similarly to Beld et al. (2019), these writers mention how an exclusionary environment can have
a negative impact on students with disabilities. This is because exclusion can cause these
students to feel isolated and lonely, therefore leading them to become discouraged to socialize
and interact with peers. This instance shows the socioemotional implications which exclusion
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can have on children with disabilities, and how this can affect the way in which they see and feel
about themselves and others. This can contribute to the formation of negative feelings, as well as
contribute to hesitancy and discouragement to get involved with peers. Sullivan and Castro
(2013) discuss responses to intervention, or RTI’s, which tie directly into these ideas regarding
socioemotional adaptation and implications. They make the point that RTIs may “contribute to
the positive socialization of students by reducing inappropriate and unnecessary placements in
special education, thereby minimizing stigmas and stereotypes associated with labeling”
(Sullivan & Castro, 2013, p. 185). This shows that the process of diagnostic decision-making is
important, as these interventions determine the environment in which students are placed to
learn. By minimizing the unnecessary placements in the classroom, staff may be more
encouraged to implement more constructive and practical interventions in the working
environment. This also allows schools to focus on all students and create socialization plans that
positively impact every student.
Integrity and Attitudes
Intervention integrity plays a part in the child's experience as a whole, as well as their
attitudes toward participation in a mainstream schooling environment (Sullivan & Castro, 2013).
If the intervention process is presented in a positive manner, this may further motivate the child
to willingly partake in activities that promote advancement. The initial presentation as well as
upholding of the classroom environment plays a part in the results seen from intervention. In
addition to this, changing the historical standard of children being pulled out for more
individualized instruction will contribute to students' motivation and incentive to socialize and
create meaningful connections in the classroom.
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The idea of isolation as a whole goes back to the primary idea of a positive, inclusionary
environment. It is inferred that a positive classroom climate affects students' social skills in a
positive way, as it allows them to develop a positive perception of social relationships by
participating in positive interactions (Beld et al., 2019). It has been discovered that efforts to
promote a positive classroom environment were associated with low levels of social exclusion,
showing that environment plays an important role in the experiences of these children as a whole
in regards to their social, functional, and emotional experiences. This shows that the environment
and overall classroom culture play an important role in the overall success and experiences of
students with special needs.
Conclusion
In conclusion, current literature shows that children with IEPs make advancements
through socialization with other school children. Children with IEPs who are placed in
integrative learning scenarios are likely to become more socially fluent and adaptable, setting
them on a path to succeed in their future endeavors. It has been illustrated that integrative
learning offers not only academic benefits, but also various other benefits such as the
strengthening of their social, functional and emotional skills, and therefore preparing them to
advance adequately both during and post engagement in an academic setting. Future research
should continue to investigate how to maximize the equity and accessibility of the educational
experiences of children with IEPs.
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Chapter 3: Considerations for Approaching Hesitant Families to Utilize Special Education
Resources
A potential problem which may occur within the school system is a parent or guardian
not being completely comfortable with allowing their child to access school resources such as an
Individualized Education Plan, or IEP. Within the goals outlined in an IEP, there are many
resources available to children who need a more individualized approach to learning. Various
outside factors, however, may stand in the way of their guardian giving the school permission to
implement these approaches. This can be an issue because parents need to provide consent for
their child to partake in any additional school resources. If a child is recommended resources that
a parent may not agree with, there are various processes in place to handle disagreements.
Throughout this chapter, solutions will be discussed in order to give a clear understanding into
the processes which help solve this problem in schools.
Hesitance can be derived from several factors, but one that seems to cause a large issue
within accepting school resources is cultural differences (Barrio, 2021). Cultural differences tend
to stand as a blockade for parents when presented with the opportunity to accept school
resources. A lack of communication, as well as lack of adequate informational resources, also
contributes to parental hesitancy (Lo, 2012). Some parents may perceive a cultural mismatch of
beliefs and values from their children's school, contributing to apprehension toward accepting
accommodations (Barrio, 2021). This can result in conflict between parent and teacher, which as
a result directly impacts the student’s academic experience (Lasater, 2016). Being sensitive and
respectful to cultural differences is important to ensure mutual understanding, and it is important
to reassure these families that their personal values will not be infringed upon or overlooked
within the academic environment.
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Regardless of the reason parents decline school resources, the relationship between
parents and teachers is what really drives the success of educational planning. Parents and
teachers must work together in order to find the most efficient educational plan for a student.
This relationship stands as the foundation for student success. This is an issue within the
educational environment because parental and teacher conflict can negatively influence the
child’s behavior, as one study found fluctuations in student–teacher closeness contributed to
increased aggression in children (Lee & Bierman, 2018). It can also affect their learning habits,
as it was revealed that student participants reported experiencing anxiety or self-doubt as a result
of disagreements between their parents and teachers (Lasater, 2016).
A three-year study indicated that special education teachers provided the most input in
IEP meetings about students’ strengths, needs, and interests (Mereoiu et al, 2016). While this is a
positive aspect and illustrates teacher involvement, it also shows a need for more parental
involvement and input. Since “the house is the first educational environment, and the first
community in which a child lives and grows” (Abed, 2014, p.1), a closely aligned relationship
between home and school is integral to the growth and development of a child. The legal system
supports this sentiment, as the laws surrounding special education “encourage a working
relationship between the home and school that fosters an educational team with the goal of
providing the child with appropriate services” (Mueller, 2009, p.60). Meaningful engagement is
an important aspect of collaboration which requires informed consent on the parental spectrum,
as well as total accessibility to information on specialized programs (Rossetti et al, 2018). The
support of families and school personnel is integral to the success of any educational planning on
behalf of the child. Hesitance to work collaboratively may affect the learning outcomes of the
child (Bryce et al, 2019).
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Solution: Advocacy and Support Resources
A potential solution to this problem is the implementation of resources such as advocacy
training or an Individualized Family Service Plan, which may make families feel more
comfortable in accepting accommodations. The use of advocacy training programs such as the
Special Education Advocacy Training and the Volunteer Advocacy Project (Burke, 2013) may
allow parents to feel more in control of their role in the planning process of the IEP, encouraging
them to feel secure in contributing to the conversation and accepting staff recommendations.
There are also resources available such as the Individualized Family Service Plan (IFSP), which
involves a “team-based approach with a focus on the child, family, and natural environments”
(DeSpain & Hedin, 2022, p.171). Adopting this type of advocacy may be useful as it allows
parents to formally consider and document environmental factors both at home and in school
when assessing the progress of a child. Holding Facilitated Individual Education Program
meetings, or FIEPs, allow mediation between parents and staff in order to come to the best
decision. The aim of FIEP meetings is to provide the team with the opportunity to work through
issues of disagreement throughout the IEP document collaboratively, with a facilitator or
advocate available to provide support as needed (Mueller & Vick, 2019).
Solution: Increased Knowledge and Emphasis on Collaboration
An additional solution to solve the problem of at home and in school balance and
consensus is increasing knowledge on the programs, as well as emphasizing the importance of
collaboration throughout the process. There is a particular importance of knowing and
understanding the family structure and culture, as well as defining partnership as giving a
balance of power between both parents and teachers according to the setting. A model of
partnership should be mutually selected, which is mostly dependent on the parents and their
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willingness, but should work best for all parties involved (Abed, 2014). Placing an emphasis on
the idea of partnership, opposed to giving one party dominance when determining the best course
of action makes both parties increasingly assured in their confidence toward potential successes
(deFur, 2012). Knowledge on both ends is an important aspect as well. Some teachers likely
don’t realize that the families of children might feel frustrated with what they perceive as
unsuccessful and culturally insensitive IEP meetings (Rossetti et al, 2016). Accomplishing
cultural sensitivity can be achieved by asking if families would like an interpreter at meetings, or
by making the effort to inquire about information on the families' culture, which may help
achieve a better understanding of the student (Edwards & Da Fonte, 2012). This also sets an
example for the child of how they can properly function in a team environment, serving as an
additional learning experience.
A key aspect of partnership is mutual knowledge and understanding. Many parents who
are from other countries may not know what exactly they are walking into when an IEP meeting
is set. Receiving background information on the topic, either through an interpreter, staff
member, or even through implementation of other resources such as an introductory video before
the meeting may make the process easier for both parties, as well as more comfortable for the
parent (Lo, 2012). When considering these types of situations, culturally responsive transitions
made toward an IEP involves acknowledging the cultural priorities which the family holds, as
well as giving the family a space to vocalize their personal needs and their envisioned long-term
goals in the decision-making process (Barrio, 2021).
Solution: Official Mediated Processes
If all efforts to amend the situation fail, parents do have the right to call for impartial
hearings under Section 504 of the Rehabilitation Act (Zirkel, 2012). Parents may opt for this if
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they feel their child is not being given access to a free appropriate public education, or FAPE.
The predominant avenue for resolving these disputes is an impartial hearing (Zirkel, 2012).
Impartial hearings are mediated by a hearing officer. This officer listens to both sides and decides
the best way to move forward. While this process may be useful to resolve a case, the
implications of a child witnessing parent-teacher conflict were found to consistently have a
negative effect on the child’s learning outcomes (Lasater, 2016).
Conclusion
In conclusion, various responsibilities fall both on the guardians as well as the school
staff when collaborating for a child’s advancement. Outside factors such as cultural competency,
barriers, and understanding contribute to parental hesitancy to enroll their children in school
facilitated programs or objectives. Proposing solutions such as promotion of cultural
understanding and sympathy on both ends, increase of resources to enhance parental knowledge,
advocacy resources and support for parents, or if all else fails, official processing, may be
beneficial. Through ensuring a mutually understanding relationship between parent and school,
as well as placing an emphasis on the wellbeing and growth of the child, planning and agreeing
on routes of success for the child are more probable.
�Chapter 4 redacted to remove personal reflections and any identifying information.
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DEFICITS IN HEALTHCARE
1
Deficits in Healthcare: Shortcomings in Psychiatric Theory, Research, Treatment, and
Employment
Alicia Erlandson
Wagner College, Department of Psychology
�DEFICITS IN HEALTHCARE
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Table of Contents
page
ABSTRACT……………………………………………………………………………………….4
CHAPTER
1
THE HISTORY AND EVOLUTION OF NEUROSURGICAL INTERVENTIONS FOR
PSYCHIATRIC DISORDERS.…………………………………………………………...5
Trepanation…………………………..……………………………………………………5
Localization of Function........………...…………………………………………………...6
Burckhardt and the First Psychosurgery……………....……………………………...…...8
Moniz and the Leucotomy……………....……………...…….…….…….…….…….…...9
Freeman and the Lobotomy……………....…………………...…….…….…….…….…11
Minimally Invasive Procedures……………....…………………...…….…….…….…...12
Ethical Objections to Psychosurgery……………....……...…….…….…….…….……..14
Conclusion……………………………...…….…….…….…….…….…….…….……...15
2
EFFECTIVELY TREATING MAJOR DEPRESSIVE DISORDER WITH
CONTEMPORARY INTERVENTIONS ……………………………………………….16
Neurofeedback…………………………..……………………………………………….17
Ketamine........…………………………...……………………………………………….18
Psilocybin……………....………………………………………………………………...19
Limitations and Conclusion……………………………………………………….……..20
3
THE NURSING SHORTAGE AND ITS POSSIBLE SOLUTIONS…………………...22
Causes of the Nursing Shortage……………………………………………………….…22
Clinical Relevance….……………………………………………………………………23
Potential Solutions.………………………………………………………………………24
Conclusion…...……….………………………………………………………………….26
4
APPLICATIONS OF PSYCHOSURGERY IN CONTEMPORARY MEDICINE..……28
Trepanation and Burr Holes…………………….………………………………………..28
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Table of Contents
Stereotactic Procedures versus Radiofrequency Ablation……………………………….29
Contemporary Psychosurgery: Deep Brain Stimulation………………………………....29
Conclusion…...……….………………………………………………………………….30
LIST OF REFERENCES………………………………………………………………………...31
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Abstract
Throughout the history of psychiatric interventions, there have been deficits in treatment, as well
as subsequent innovation in response to these deficits. It is important to examine the historical
aspects of psychiatric interventions, along with how they came to be today and the problems
within the healthcare system. Chapter one focuses on the evolution of psychosurgery and how
techniques evolved as the understanding of behavior changed. Understanding the former
psychosurgical interventions such as trepanation and phrenology allowed for the framework of
surgical techniques to be introduced. Chapter two focuses on contemporary treatments for major
depressive disorder (MDD). There are multiple contemporary treatments that can be used which
provides a starting approach to creating and applying effective treatments to help MDD. Chapter
three provides potential solutions to a major problem with the healthcare system, the nursing
shortage. It is important for solutions to this problem to be created to allow for better patient care
within the healthcare system. Within chapter four, there is evidence of real application of
psychosurgery with contemporary medicine such as within a neurosurgery office and a hospital.
It was helpful to be able to connect many different themes seen throughout history to
contemporary problems still existing today within the field. Overall, the purpose of this paper is
to examine the importance of more effective plans for psychosurgical interventions, plans of
treatment for disorders such as MDD and providing the healthcare system with solutions to
improve the effectiveness of patient care.
Keywords: psychosurgery, major depressive disorder (MDD), nursing shortage
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Chapter 1: The History and Evolution of Neurosurgical Interventions for Psychiatric
Disorders
Neurosurgery for psychiatric disorders, also called psychosurgery, is a term used to
describe attempts to physically alter behavior and consciousness in an effort to treat behavioral
pathologies and mental illness using surgical techniques (Bauerle et al., 2023). While
psychosurgical interventions are thought to have origins before the Common Era, psychosurgery
has changed greatly since its inception, especially in the mid-twentieth century, as a culmination
of the burden of psychiatric illness and novel understandings of how the brain may function and
its relationship to behavior (Robinson et al., 2012). The aim of this paper is to examine how the
modification of psychosurgical techniques occurred throughout history, starting from the
inception of psychosurgery and ending in the late twentieth century. Upon analysis, it is evident
that the evolution of psychosurgical techniques can primarily be attributed to outside forces,
specifically to what is now recognized as incomplete understandings of neuroanatomy and
neurophysiology, as well as experimental trial and error, which may provide an explanation for
modern ethical objections.
Trepanation
The first recorded human psychosurgery, with origins dating back to as early as the
Neolithic period of the Stone Age, is trepanation, known today as burr holing (Robinson et al.,
2012). The trepanning procedure begins with lacerating the scalp to reveal the skull, and is then
followed by drilling or cutting into the skull to form a hole. While trepanation is believed to have
been used traditionally as a method to alleviate symptoms of head trauma following injury, it is
�DEFICITS IN HEALTHCARE
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also hypothesized to have been used to excise evil spirits and demons, thought to be the cause of
mental and/or behavioral disorders, in the prehistoric era, although this likely was not the
purpose for performing the procedure most of the time (Bauerle et al., 2023). The practice of
trepanning continued well into the establishment of Greek and Roman civilizations, evidence of
which can be found in classical writings of Hippocrates, Galen, and Celsus (Bauerle et al., 2023;
Robinson et al., 2012). Trepanation as a psychosurgical intervention gained prevalence during
the Renaissance, as highlighted by Hieronymus Bosch’s painting The Extraction of the Stone of
Madness, likely painted around 1501. In this image, Bosch depicts a man undergoing a procedure
on his skull with the inscription describing the patient’s desire to remove “stones of folly” from
his head (Gross, 1999). Per Robinson et al. (2012), the idea of “brain stones” were a commonly
held superstition throughout this period, with the popular belief being these stones were
responsible for madness or epilepsy.
The prevalence of trepanation began to decrease as understandings of behavior changed.
René Descartes first proposed a formal link between the brain and behavior through his theory of
dualism (Descartes, 1641/1931). In his Meditations (1641/1931), Descartes describes the idea of
dualism, in which the mind and body are separate entities, yet the mind seems to control the
body, in a manner such as a ghost in a machine. According to Lokhorst and Kaitaro (2001),
Descartes believed the pineal gland in the brain served as a relay between mind and body,
indicating one of the first links between the brain and behavior, which would be expanded upon
in future research.
Localization of Function
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Into the eighteenth and nineteenth centuries, trepanation became less prevalent as focus
shifted towards identifying connections between brain and behavior, specifically as it pertained
to localization of function. Localization of function, as described by Bauerle et al. (2023), is the
idea that specific areas of the brain serve distinct functions. Research in this time period
originated with Franz Gall, a German physiologist, and his theory of phrenology. According to
Gall, functions of the brain were localized to individual organs within the brain, which worked in
tandem to create an individual’s personality. Gall thought ridges and grooves on the skull
reflected larger or smaller organs, respectively, and believed that larger organs indicated greater
ability. From these theories, Gall developed phrenology, which was described as the analysis of
the shape and size of the skull to predict personality (Jones et al., 2018).
Although Gall’s work was influential in changing the scope of neurological research, it
was proven to be pseudoscientific, though it did contribute to other localization of function
discoveries. In 1824, Pierre Flourens developed a method to test Gall’s assertions through
selectively ablating different regions of the brain. Flourens’ work disproved Gall’s theory of
phrenology in favor of what he called cerebral equipotentiality, which suggested the brain
functioned as a whole, though he did note that the cerebrum, cerebellum, and brainstem had
distinct differences in their individual functions and how they contributed to cerebral
equipotentiality (Bauerle et al., 2023; Pearce, 2009).
Further research in the nineteenth century supported localization of function to the
limited extent proposed by Flourens. In 1861, Pierre Broca discovered a localized area for speech
production. According to Bauerle et al. (2023), Broca’s discovery came following the
observation of a patient with widespread cerebral damage experiencing aphasia as an inability to
express speech. Through his observations, Broca attributed the motor component of speech to a
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single area on the frontal lobe, giving it the name Broca’s area. In a similar manner, Carl
Wernicke discovered a region separate from Broca’s area on the lateral sulcus on the temporal
lobe. From his studies, Wernicke found individuals with lesions to this area exhibited aphasia as
an inability to understand language, thus he deemed this region, named Wernicke’s area,
responsible for written and spoken language comprehension (Wernicke, 1970). The studies of
Gustav Frisch and Eduard Hitzig further emphasized some localization of function as it pertains
to motor function. In their research from 1870, Fritsch and Hitzig stimulated the cerebral cortex
of dogs in an effort to elicit a motor response, resulting in the identification of the motor cortex
(Fritsch & Hitzig, 2009).
Perhaps the most significant of localization of function findings for applications in
psychosurgical advancement was the case of Phineas Gage in 1868. Gage, a railway foreman,
experienced profound damage to his frontal lobe after an accident in which a tamping iron
penetrated his skull following an explosion (Bauerle et al., 2023). According to Gage’s
physician, John Harlow (1888), Gage experienced significant changes in his personality, with
Harlow noting he became impatient and easily irritated, with other accounts noting he became
belligerent and disinhibited (Bauerle et al., 2023). Gage’s accident, combined with
aforementioned localization of function research, provided foundations for modern
psychosurgical intervention by locating areas specific to personality and confirming the
possibility of the existence of these regions.
Burckhardt and the First Psychosurgery
Influenced by localization of function discoveries, Gottleib Burckhardt, a Swiss
psychiatrist, performed the first modern psychosurgery in 1888. Burckhardt operated under
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several assumptions based upon prior research. Firstly, he subscribed to the idea of biological
psychiatry, meaning he believed mental illness was a projection of a disordered brain and thus,
mental illness could be cured through fixing the brain (Kotowicz, 2005). Secondly, he believed
that the nervous system operated in a three-step system with an afferent sensory system, an
efferent motor system, and a connecting system to bridge the two (Stone, 2001). Lastly, believed
in a modular brain, consistent with localization of function, meaning symptoms could be traced
to a specific location of the brain. Therefore, Burckhardt hypothesized that the excision of a
specific cortical area could eliminate symptoms of mental illness (Kotowicz, 2005). In 1888,
Burckhardt performed a “topectomy” in the frontal, parietal, and temporal lobes, where pieces of
the cerebral cortex were surgically removed (Mashour et al., 2005). Burckhardt performed this
surgery on six patients, aiming to make the patients less violent and more easily managed. Of the
six patients he operated on, Burckhardt reported improvement in four patients, a death during the
procedure in one patient, and one death due to a postoperative complication (Kotowicz, 2005).
Although Burckhardt may have mostly met his described purpose of improving patients’
disposition, he was met with heavy criticism by the psychiatric community. Burckhardt’s work
was seen as immoral, reckless, and reprehensible, effectively prohibiting further psychosurgical
intervention at the time (Kotowicz, 2005; Stone, 2001).
Moniz and the Leucotomy
Psychosurgical research remained suspended until the months following the 1935 Second
International Neurologic Congress in London. At the conference, physiologist John Fulton
presented his research about the effects of frontal lobe dissection in primates. Fulton’s results
showed that, following partial frontal lobotomy, the primates exhibited more blunted affect while
still retaining cognitive abilities (Bauerle et al., 2023). These results inspired Egas Moniz to
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adapt the procedure for use in humans. Moniz hypothesized that mental illness was caused by
excessive synaptic connections, based on the neuron theory of Ramón y Cajal, which states that
neurons are discrete cells responsible for communication within the nervous system (Kotowicz,
2005). Therefore, Moniz believed that, by eliminating some synaptic connections within the
brain in subcortical white matter, the brain would begin to function normally, as mental illness
was merely a symptom of neuronal disarray (Moniz, 1937).
Moniz and his collaborator, Almeida Lima, began the process of destructing subcortical
white matter, known as a leucotomy, upon Moniz’s return to Portugal following the Neurologic
Congress. Together, the pair performed procedures on twenty patients (Kotowicz, 2005). The
first ten procedures utilized absolute alcohol ablation, in which a high concentration of alcohol
was injected directly into the white matter structures, however, due to the unpredictability of the
dispersion of alcohol, the procedure was modified for the second half of patients (Bauerle et al.,
2023). For the second set of patients, a tool now known as a leucotome was developed to
surgically sever subcortical white matter tracts (Mashour et al., 2005). According to Bauerle et
al. (2023), burr holes were drilled into the skull and the leucotome, a long device with a wire
loop on the end, was inserted into the brain and rotated to lesion the white matter in affected
patients.
Of his twenty patient trials, Moniz reported zero fatalities, and his reported side effects
were less severe than those reported by Burckhardt (Kotowicz, 2005). At the end of his study,
Moniz and Lima reported that seven patients were cured of mental illness, seven patients’
symptoms were improved, and six patients did not improve, though their symptoms also did not
worsen (Bauerle et al., 2023). Compared to Burckhardt, Moniz was met with welcoming
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reactions to his research, with the leucotomy gaining international favor due to promising results
of safety and efficacy (Moniz, 1937).
Freeman and the Lobotomy
Following the success of the leucotomy in Europe, Walter Freeman, an American
neurologist, introduced the procedure to the United States in 1936. Following his first leucotomy
with collaborator James Watts, Freeman observed a flaw in the original technique published by
Moniz, that is, the leucotomy intervention does not provide permanent relief of symptoms in all
patients, thus leaving patients susceptible to the return of their symptoms (Robinson et al., 2012).
According to Robinson (2012), Freeman performed post-mortem examinations of the brains of
individuals with mental illness in order to locate an area implicated in the production of
symptoms. Through these examinations, he observed degeneration of tissue in the thalamus,
which he believed was implicated in symptom production (Freeman, 1942). Therefore, using a
modified version of Moniz’s leucotome, Freeman and Watts lesioned the white matter tracts
between the prefrontal cortex and the thalamus in a procedure now known as the frontal
lobotomy (Bauerle et al., 2023).
Freeman and Watts performed over two hundred frontal lobotomies before 1942, of
which the majority were considered successful. According to Robinson et al. (2012), only 14%
of the outcomes of the surgery were negative, including both fatalities and negative postoperative
effects, while 63% of surgeries yielded improvement and 23% yielded no change. Encouraged by
this success, Freeman again modified the lobotomy procedure to eliminate the necessity of a
neurosurgeon. In this novel procedure, called the transorbital lobotomy, the patient was
anesthetized and a pick-like instrument was inserted through the orbital roof into the prefrontal
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cortex. Once in the brain, the instrument was swept across the prefrontal cortex in order to sever
white matter tracts in the frontal lobe (Mashour et al., 2005). This procedure was quickly
popularized in the United States due to its accessibility, as, unlike the leucotomy and frontal
lobotomy, the transorbital lobotomy did not require surgical training and it could be completed as
an outpatient visit (Bauerle et al., 2023).
The transorbital lobotomy procedure was performed in over 60,000 American patients
between 1936 and 1956, though its prevalence may not be due to its efficacy. According to
Mashour et al. (2005), psychiatric illness was extremely costly to the United States, with over
400,000 individuals being patients in psychiatric institutions costing over 1.5 billion dollars by
the 1940s. The accessibility of the transorbital lobotomy provided a method to quickly alleviate
some of the burden of mental illness, hence its rapid dissemination (Wang et al., 2022). While
transorbital lobotomies may have satiated an economic need, they were not without consequence.
By 1949, there was heavy skepticism pertaining to the safety and efficacy of the transorbital
lobotomy. While the procedure was criticized for “frontal lobe syndrome,” which encompasses
impulsivity and lack of emotionality, it was also criticized for its side effects, such as seizure
disorder, excessive cerebral bleeding, and death (Bauerle et al., 2023). Therefore, in combination
with the advent of antipsychotic drugs, skepticism pertaining to transorbital lobotomies
ultimately led to a sharp decline in the prevalence of the procedure.
Minimally Invasive Procedures
Although the transorbital lobotomy was the predominant psychosurgery in the United
States until the 1950s, less invasive procedures were beginning to emerge. William Scoville, an
American physician, is credited with the advent of a more precise version of the prefrontal
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lobotomy, known as selective orbital undercutting (Wang et al., 2022). Scoville claimed this
procedure was much more precise than the lobotomy, as only two specific areas of the prefrontal
cortex, the orbital, and the cingulate gyrus were targeted instead of the entirety of the frontal lobe
(Wang, 2022). Scoville is mostly known for his role in the case of H.M., where he performed a
bilateral medial temporal lobectomy in an effort to eliminate seizure activity (Squire, 2009).
Through this procedure, Scoville discovered implications of memory storage, such as the role of
the hippocampus in memory, and contributed to novel understandings of memory through the
Atkinson and Shiffrin model of memory (Wang et al., 2022)
Stereotactic procedures were also invented for use in psychosurgery following the
introduction and dissemination of the lobotomy in the United States. While stereotaxic
procedures were similar to other psychosurgical interventions in the sense that they lesioned the
brain, these procedures were different from others as they used alternative methods to create the
lesions. E. Spiegel was an influential proponent of these procedures, credited with the
development of the stereoenphalotome, which is the apparatus used in stereotaxic
psychosurgeries (Spiegel et al.1948). According to Spiegel (1947), the procedure starts with
securing the head in the stereotaxic apparatus, then performing an x-ray with the fixated
apparatus to determine a location to drill a burr hole. After finding a location and completing the
trepanation process, a wire or cannula is threaded into subcortical areas of the brain. From here,
Spiegel (1947) lesions the targeted area through radiation, thermocoagulation, fluid injection,
and/or fluid aspiration. While Spiegel focused primarily on lesioning the medial nucleus of the
thalamus, other procedures were focused on the subcaudate nucleus, the hippocampal
commissure, and other thalamic nuclei (Spiegel, 1948; Knight, 1973).
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Scoville also experimented with electronarcosis, also known as electrical anesthesia.
Electronarcosis, as described by Alan van Poznak (1963), is the process of delivering electricity
to the brain in order to induce sleep, reduce pain, and produce stupor. In his research, Scoville
observed minimal improvement in patients that received electrical anesthesia treatment, though
he was inspired to expand upon this research, which led to the aforementioned case of H.M.
Other electronarcosis research yielded similar results. In a study of individuals with
schizophrenia, electronarcosis was not found to make a profound difference upon patients
outside of their normal treatment (Garmany & Early, 1948). For this reason, in combination with
rising skepticism of psychosurgery, electronarcosis research was largely abandoned.
Ethical Opposition to Psychosurgery
Ethical objections to psychosurgery began to arise in the late 1940s with the popularity of
the transorbital lobotomy, however it was not until the late 1970s when controversy pertaining to
psychosurgery came to a head. (Casey, 2015). Many objections to psychosurgery pertained to
safety, efficacy, and questions of reliable testing. As previously discussed, the transorbital
lobotomy became a large source of controversy as efficacy and safety of the procedure was
called into question (Bauerle et al., 2023). Although Freeman and Watts may have data to
reinforce their claims of safety and efficacy, Mashour et al. (2005) highlighted several factors
that may have contributed to unreliable data. Firstly, due to the invasive nature of the procedures,
there were no controlled placebo interventions used to compare improvement of symptoms to,
thus leaving patient improvement and positive outcomes up to the physicians. Secondly, the
physicians who were evaluating their patients’ improvements were likely inherently biased in
their assessment, which would artificially inflate statistics for positive outcomes. Lastly, in a
similar manner, physicians may have under-reported poor outcomes in order to avoid speculation
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of safety and efficacy. Ultimately, ethical concern led to the The National Commission for the
Protection of Human Subjects of Biomedical and Behavioral Research limiting the continuation
of psychosurgical intervention in 1977, which has been primarily maintained into the
contemporary era (Casey, 2015).
Conclusion
Psychosurgery has a rich history dating back centuries, with techniques evolving as
understandings of behavior changed. Trepanation is evidence of the earliest psychosurgical
interventions, though its use quickly declined as phrenology and cerebral localization of function
became popular theories. Although phrenology was discredited, physiological research lended to
the development of new psychosurgical techniques. Although psychosurgical interventions were
initially unaccepted, as evidenced by Burckhardt, further research and theoretical development
allowed for the development of interventions like the leucotomy. By pioneering the leucotomy,
Moniz began a new era for psychiatric interventions, with the leucotomy becoming a
globally-instituted psychosurgery. The leucotomy was further developed in the United States by
Freeman into the lobotomy, and was soon adapted to increase its accessibility. At the same time,
new, more precise, and less invasive psychosurgical interventions, such as selective orbital
undercutting, stereotactic procedures, and electrical anesthesia were being developed and tested,
however they were largely overshadowed by the controversy and skepticism surrounding the
transorbital lobotomy. In the present era, psychosurgery is practiced within a limited scope due
contemporary limitations and ethical concerns, which are resultant from residual skepticism
pertaining to twentieth century interventions.
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Chapter 2: Effectively Treating Major Depressive Disorder with Contemporary
Interventions
Major depressive disorder (MDD), commonly known as depression, is a mental health
disorder primarily characterized by low mood, decreased energy, and anhedonia (Penn & Tracy,
2012). While these are the primary symptoms experienced by individuals with depression, other
common symptoms include, but are not limited to, decreased concentration abilities, decreased
self-esteem, appetite changes, sleep disruption, and onset of self-harm tendencies and/or suicidal
thoughts, persistent for at least two weeks (Bains & Abdijadid, 2023). Per Bains and Abdijadid
(2023), an individual must experience at least five of the aforementioned symptoms to be
diagnosed with MDD, to be in accordance with the Diagnostic and Statistical Manual of Mental
Disorders, 5th Edition.
The exact etiology, or cause, of depression is unknown, but it is believed to have origins
in a variety of genetic, biological, environmental, and psychosocial factors (Bains & Abdijadid,
2023). Early theories describing the origin of MDD focused on a potential link between lowered
serotonin and depression, dating back to the 1960s. The validity of this hypothesis was
seemingly explained by the ability of Selective Serotonin Reuptake Inhibitor (SSRI)
antidepressants and other serotonin agonists to treat depression (Moncrieff et al., 2022).
Furthermore, additional research found that individuals with suicidal ideation have been
experimentally found to have “ low levels of serotonin metabolites,” which indicates low levels
of serotonin (Bains & Abdijadid, 2023). While the serotonin theory of depression was initially
widely accepted, more recent research shows no concrete evidence that lower serotonin
concentrations cause, or are associated with, depression. Therefore, alternative treatments for
depression may be more effective than traditional, serotonin-targeting pharmacological
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interventions in the treatment of major depressive disorders. This paper will seek to review
current literature pertaining to contemporary treatments for MDD.
Neurofeedback
Contemporary interventions for depression have begun to move beyond pharmacological
approaches. Neurofeedback training, for example, is a nonpharmacological intervention that may
be utilized in the treatment of depression. Neurofeedback training is described as a non-invasive
technique that teaches patients to control their brain functions by recording brain waves through
electroencephalogram (EEG) and providing some sort of signal in response (Marzbani et al.,
2015). Per Patil et al. (2023), neurofeedback has been adapted to work in the
psycho-physiological realm by training the brain waves specifically associated with depression.
Trambiolli et al. (2021) describe four primary steps of neurofeedback interventions. First,
a primary neural target must be identified. As previously mentioned, certain brain waves can be
isolated to train in order to alleviate depressive symptoms (Patil et al., 2023). According to
Marzbani et al. (2015), alpha, beta, and theta brain waves can be targeted in neurofeedback for
depression treatment. Alpha and theta brain waves are generally associated with relaxation and
peacefulness while beta brain waves are associated with sustained attention and alertness.
Individuals with depression appear to have underactivation of the right parietal region, which is
indicative of decreased alpha wave activity. Therefore, using neurofeedback techniques to
increase alpha and theta frequencies while simultaneously inhibiting beta frequencies have been
shown to experimentally improve depression symptoms (Marzbani et al., 2015).
The next steps of neurofeedback training include recording and processing the neural
activity of the neural target while controlling for artifacts, or features produced by the imaging
modality that are not present in the brain, and then providing feedback to the user in real-time.
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This feedback is provided through either visual or auditory modalities, vibrations, electrical
impulses, or through proprioceptive modalities, which test the body’s ability to perceive its own
orientation and movement (Trambiolli et al., 2021). The ultimate purpose of the feedback is to
provide constant updates to the trainee about their present neural state, enabling them to alter and
improve strategies for controlling mind and behavior and providing the patient with improved
self-regulation abilities, or the capacity to adjust and respond to outside stimulus, for neural
activity (Birbaumer et al., 2013). Throughout various studies, results of neurofeedback training
have shown to be promising as the vast majority of results have produced statistically significant
clinical improvements (Patil et al., 2023). With this being said, limitations still exist within
published literature. Specifically, many studies did not subscribe to best research practices,
which may infringe upon the validity of the published results. Neurofeedback studies
consistently lacked robust samples and struggled to differentiate between specific and
non-specific effects, so future research in the field should focus on refining methodology to yield
more reliable results (Patil et al., 2023; Trambiolli et al., 2021). Therefore, while neurofeedback
studies have provided favorable results, further scientific research must be performed to confirm
the effectiveness of neurofeedback training before it is widely adopted for treatment of MDD.
Ketamine
In addition to neurofeedback training, nontraditional pharmacological methods are being
adopted for the treatment of major depressive disorder. Ketamine, for example, is a dissociative
anesthetic used traditionally in the maintenance of surgical anesthesia, however it appears to
have applications in the treatment of depression. Ketamine is an N-methyl-D-aspartate (NMDA)
receptor antagonist, meaning it inhibits the action of the NMDA receptor (Iglewicz et al., 2015).
Per Ates-Alagoz and Adejare (2013), the NMDA receptor subtype for the neurotransmitter
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glutamate has been implicated in several neurodegenerative and neuropsychiatric disorders,
including depression. Ketamine serves as an uncompetitive antagonist, meaning it prevents
NMDA receptor subtype agonists from binding to the receptor allosterically. Therefore, ketamine
does not bind to the active site of the receptor, where the neurotransmitter would typically bind,
but instead binds to a different area of the receptor to inhibit glutamate.
Multiple research studies show ketamine is an effective antidepressant, with emphasis on
the minimal latency between administration and effect. Unlike SSRIs or other traditional
antidepressant drugs, ketamine treatments provided therapeutic effects for individuals with
depression almost immediately, compared to the typical six to eight week window of onset for
SSRIs (Iglewicz et al., 2015). Due to this quick onset, ketamine may be of interest in emergency
depression treatments, especially due to its ability to decrease suicidal ideation (Peters et al.,
2022). Additionally, decreased latency of onset may be of interest to hospice populations. While
questions of safety may exist for the use of ketamine in treating depression in hospice
populations, Iglewicz et al. (2015) showed 93% of hospice patients who had a dose of ketamine
experienced relief of depressive symptoms on days 0-3, while 80% continued to experience
therapeutic effects through days 4-7 in a randomized control trial of 31 patients. Similarly, in a
population of individuals with a form of treatment-resistant depression, Peters et al. (2022) found
statistically significant results supporting the effectiveness of racemic ketamine for the treatment
of depression with minimal adverse effects through the analysis of a randomized control trial of
108 participants. Therefore, preliminary research shows promise for safe and effective treatment
of MDD using ketamine.
Psilocybin
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Psilocybin is another drug that appears to have antidepressive characteristics. As a
hallucinogen, or psychedelic drug, psilocybin typically produces hallucinations when used
recreationally, however novel research shows it may be used to treat MDD (Pearson et al., 2022).
Like ketamine, psilocybin works more rapidly than traditional pharmacological measures,
however, unlike ketamine, psilocybin is a serotonin agonist (Griffiths et al., 2016). While the
exact mechanism for depression is unknown, psilocybin is hypothesized to work in various ways
(Pearson et al., 2022). The first proposed mechanism is termed the ‘Ebenezer Scrooge’ model,
where a sudden transformation in mood is brought upon by the drug experience. The second
model is the adjunct to psychotherapy model, where it is hypothesized that the psilocybin leaves
an individual in a state more susceptible to suggestion, enabling psychotherapy to be more
impactful. The third and final model is the traditional pharmacological model, which proposes
that psilocybin works as a serotonin agonist to produce antidepressive neurobiological effects
(Pearson et al., 2022).
Regardless of the mechanism, research shows abundant evidence of rapid and successful
treatment of MDD using psilocybin. Per Griffiths et al. (2016), a single dose of psilocybin had
antidepressant effects in 73% of patients with life-threatening cancer for at least six months.
Pearson et al. (2022) performed a review of several studies using psilocybin to treat depression,
which all yielded similar positive results. These findings provide an evidentiary basis for the
future use of psilocybin as an antidepressant intervention.
Limitations and Conclusion
While novel pharmacological interventions appear promising, a major limitation to their
usage is accessibility. Intravenous ketamine is highly costly, making it inaccessible to off-label
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use for depression (Peters et al., 2022). While ketamine is used medically, psilocybin is not as it
is currently considered a Schedule I drug, meaning it has been deemed illegal by the federal
government of the United States. Other nations have also begun research on the use of psilocybin
for the treatment of depression, and have yielded similar results. Per Rucker et al. (2022),
research in London has shown psilocybin was effective in reducing symptoms associated with
MDD in 67% of patients, although it is considered illegal in much of Europe. Therefore, in order
to make psilocybin treatments accessible, a reclassification of psilocybin would have to occur
internationally (Pearson et al., 2022; Rucker et al., 2022).
While contemporary treatments for major depressive disorder show promise, especially
due to their latency of effect, it is evident that further research needs to be done before
widespread adaptation of these measures can occur. Therefore, it is difficult to conclude with
certainty that alternative treatments for depression are more effective than traditional,
serotonin-targeting pharmacological interventions in the treatment of major depressive disorders,
however it is valid to say these contemporary interventions are promising. Future research should
focus predominantly on optimizing trials pertaining to the interventions mentioned above, as
well as the exploration of potential future interventions to effectively treat major depressive
disorder.
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Chapter 3: The Nursing Shortage and its Possible Solutions
Around the globe, there exists a drastic international shortage of nurses working on
nursing units, with pre-COVID estimates of deficits ranging from 300,000 to over a million in
the United States alone by 2025 (Aiken et al., 2009). This shortage has increased following the
onset of the coronavirus pandemic, with an estimated deficit of over six million nurses
worldwide in 2021 (Catton & Iro, 2021). This deficit comes in addition to the necessary
replacement of almost five million nurses set to retire over the next decade, meaning the nursing
profession will need over ten million nurses worldwide within the next decade to effectively
meet the needs of both the community and the United States as a whole (Catton & Iro, 2021).
Therefore, it is pertinent to discuss both the causes of the nursing shortage, as well as potential
resolutions.
Causes of the Nursing Shortage
The problem of the nursing shortage is multifaceted, with several factors contributing to
global nursing deficits. Shortages of nursing faculty prevent a greater number of students from
training as nurses, due to limited resources. With one-third of the nursing workforce set to retire
in the next decade, including nurse faculty members, nurse educator roles will need to be filled
as well. If these roles are unable to be filled, the number of seats in nursing programs will have
to be reduced, leading to decreased nurse output from various nursing programs (Haddad et al.,
2023; Siela et al., 2008). Additionally, nursing programs as a whole are trending towards the
elimination of certificate programs. This means higher level academic degrees, specifically
Associate degrees and Baccalaureate degrees, are becoming required in nursing, which therefore
means nurses need increasingly higher certifications to serve as nurse educators, serving as a
barrier for more nurses becoming nurse educators (Aiken et al., 2009).
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Nursing migration also leads to regional inequities of workforce dispersion as nurses are
unevenly distributed across the country. In the United States, there are regional differences in
growth, with the Western and Mountain regions having the greatest growth potential while also
maintaining the lowest population density (Haddad et al., 2023).
Burnout in healthcare, specifically in nursing, is another major contributor to the nursing
shortage, likely due to its poor work-life balance, specifically as it pertains to parenthood, as well
as the somewhat violent nature of the profession (Haddad et al., 2023). According to Reith
(2018), burnout, which is especially prevalent in individuals employed in healthcare, such as
physicians, nurses, and other staff, can be defined as “a combination of exhaustion, cynicism,
and perceived inefficacy resulting from long-term job stress” (p. 1). Per Buchanan and Aiken
(2008), a majority of nurses are women, which may encroach upon an individual’s work-life
balance, especially once they and thus make those nurses more prone to burnout. Burnout is
significant in the nursing shortage as it leads to early retirement or premature departure from the
profession (Haddad et al., 2023). Per Reith et al. (2018), 43% of nurses experienced symptoms of
emotional exhaustion, which leaves these individuals more susceptible to burnout and early
departure from nursing, further contributing to the nursing shortage.
Clinical Relevance
The nursing shortage is of clinical concern as it leads to decreased nurse-to-patient ratios,
which in turn may produce poor patient outcomes (Haddad et al., 2023). According to Reith et al.
(2018), burnout in healthcare professionals leads to an increase in prevalence of major medical
errors, patient mortality, and spread of hospital-transmitted infections. According to Haddad et
al. (2023), high patient loads increase propensity for burnout, meaning that the nursing shortage
contributes to the aforementioned negative patient outcomes. Additionally, high staffing ratios
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contribute to unsafe discharges as units cannot accommodate all patients in need, so patients who
still require care are transferred out of the unit or discharged to locations with inadequate
intensities of care available. These inappropriate discharges may contribute to negative outcomes
and increased mortality outside of the hospital.
Potential Solutions
While there are several theoretical solutions for resolving the nursing shortage, none have
actively been implemented, nor is there one single solution to eliminate the nursing shortage, due
to the complexity of the problem (Buchanan & Aiken, 2008). Involving nurses in dual-role
positions would increase the number of nurse educators in the classroom, which would in turn
increase the number of students able to participate in nursing programs. Therefore, the number of
nurses graduating from these programs annually would increase, contributing to the
diminishment of the nursing shortage (Siela et al., 2008). A drawback, however, is that moving
nurses who actively serve in the clinical setting into the classroom, even for one shift a week,
may leave clinical units immediately understaffed, which is counterproductive to diminishing the
negative effects of high nurse to patient ratios. This also may leave nurses more susceptible to
burnout as they are spending more time at work or preparing for work, which may encroach
upon work-life balance (Reith et al., 2018; Siela et al., 2008). Another limitation of this
intervention is that it requires active nurses to receive higher education to become a faculty
member. As previously mentioned, while most active nurses have Associate degrees and
Baccalaureate degrees, Master’s level degrees or higher are typically required to teach nursing
education, which would be a deterrent in becoming an educator (Aiken et al., 2009).
Another potential to combat the nursing faculty shortage, suggested by Aiken et al.
(2009), is to shift public policy towards funding more Bachelor’s of Science in Nursing (BSN)
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programs. The promotion of BSN degrees would more easily lend to the advancements of BSN
nurses into an advanced Master’s of Science in Nursing (MSN) degree, which would further
increase the number of nurses eligible to be nursing instructors. Therefore, Aiken et al. (2009)
proposes that, if public policy changes to support BSN programs, it would incentivize nurses to
continue with their education in the future. One immediate limitation would be the desire for
quicker gratification in the workforce. Part of the appeal of an ASN degree is that it lasts only
two years, compared to four years for a BSN. Even with the provision of public subsidies for
BSN degrees, it is difficult to anticipate if these subsidies will be greater than the amount of
compensation ASN nurses would receive from an extra two years in the workforce and the lack
of debt ASN nurses may have from two fewer years of school.
A potential solution to both increasing the number of nurse educators and increasing the
number of nurses with baccalaureate degrees may be to provide incentives that would outweigh
the drawbacks of extra education and increased hours through teaching hospital partnerships. For
example, if institutions of higher learning were to partner with hospitals, a mutually beneficial
relationship could be established to both increase the number of BSN nurses and enable current
BSN nurses to pursue their MSN. If hospitals alter nurses’ shifts to work with MSN courses
offered by their partner institution and the partner institution provides some form of scholarship
to these nurses, it would address concerns of both price of higher education and encroachment of
work-life balance by providing support from both establishments and enabling them to continue
to work. By supporting a partnership between university and hospital, MSN students would have
a chance to practice as a nurse educator, while BSN students would have the ability to learn from
experienced nurses, regardless of the degree the nurses currently hold. Additionally, enabling
MSN students to serve as nursing instructors, like teaching assistants do in doctorate programs,
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would increase the number of students able to enroll in BSN programs and would, in turn,
increase the number of nurses entering the workforce each year.
Another approach to combating the nursing shortage is to focus on increasing retention
by working to decrease burnout within the existing nurse population. One potential method of
reducing burnout is the provision of mental health resources by hospitals in order to increase
nurses’ feelings (Catton & Iro, 2021; Reith et al., 2018). One limitation, however, to the
provision of mental health interventions is the stigma surrounding mental health in healthcare
professionals. Even if hospitals provided these resources, there is not a guarantee they would be
utilized due to nurses’ potential fear of stigmatization (Reith et al., 2018). One possible solution
would be to preemptively combat stigma in the workplace in order to enable individuals to feel
comfortable seeking help. This could be done through encouraging self-disclosure in the
workplace or encouraging group discussion, perhaps to the extent of making it mandatory, about
mental illness to allow individuals to be comfortable with seeking help without fear of retaliation
and stigmatization.
Conclusion
The nursing shortage has been a long-term problem in the United States, however it is on
the brink of becoming critical due to the effects of the COVID-19 pandemic. Although the exact
cause of the nursing shortage is multifactorial, it is evident that, in general, the number of nurses
entering the workforce needs to increase, as does the number of nurses who choose to become
nurse educators, in order to resolve this crisis. Without resolution, the nursing shortage will
continue to have negative implications on patient outcomes and patient care. Therefore it is
pertinent to incentivize nursing students to enter the nursing workforce and incentivize presently
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employed nurses to pursue higher education, while supporting current nurses’ mental health to
ensure they remain in the profession for longer.
27
�Chapter 4 redacted to remove personal reflections and any identifying information.
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EYEWITNESS TESTIMONY
1
Unreliability of Eyewitness Testimony: Past and Present
Nicole Magnavita
Department of Psychology, Wagner College
�EYEWITNESS TESTIMONY
2
Table of Contents
ABSTRACT……………………………………………………………………………………….4
CHAPTER
1
HISTORICAL INFLUENCES BEHIND EYEWITNESS TESTIMONY……...………...5
Hugo Münsterberg’s Early Life……………………..…………………………………….5
Rejected Views Made by Münsterberg……………...…………………………………….7
Carl Gustav Jung’s and Münsterberg’s Word-Association Contribution………………….8
Münsterberg’s Detremental Mistake………………………………………………………9
Wigmore Versus Münsterberg…………….……………………………………………...11
William Moulton Marston……………………………………………………………….12
Binet’s Scientific Foundation for Eyewitness Testimony………………………….…….13
Contemporary Views About Eyewitness Testimony Remain Similar……….…………..15
Conclusion……………………………….………………………………………………16
2
CURRENT CHALLENGES FACED DURING A LINEUP OF CRIMINALS ………...17
Understanding the Process of Lineup Identifications……………………………………18
Identifying Masked Criminals in a Lineup………………………………………………19
Effects of Administrator Knowledge…………………………………………………….19
Conclusion……………………………………………………………………………….20
3
RIKERS ISLAND IS ANYTHING BUT PARADISE…………………………………..22
Frequently Admitted Individuals……………………………….………………………..22
Pre-Trial Detainees………………………………………………………………………23
Who Should Go to Prison?………………………………………………………………23
Problems Correction Officers Face………………………………………………………24
�EYEWITNESS TESTIMONY
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Conclusion……………………………………………………………………………….25
4
REFLECTION…………………...………………………………………………………26
LIST OF REFERENCES………………………………………………………………………...29
�EYEWITNESS TESTIMONY
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Abstract
Eyewitness testimony has been around for quite a few decades and still suffers from the problem
of unreliability. Chapter 1 will analyze the historical and contemporary views of eyewitness
testimony demonstrating how both view this process as erroneous. Chapter 2 discusses specific
challenges that eyewitness testimony contains in its characteristics of lineups. Aspects such as
identifying masked criminals in a lineup, biased instructions given during identification, and
effects of administrator knowledge will be analyzed. Chapter 3 describes the current problems
that Rikers Island is having. There has been a rapid increase in incarcerations and wrongful
convictions causing overpopulation in prisons like Rikers. Topics such as frequently admitted
individuals, who deserves to go to prison, and problems correction officers face will be covered.
Possible solutions to these problems will be provided as well. Chapter 4 will contain a personal
reflection about my internship at Staten Island University Hospital in their Behavioral Science
Department and comparisons are made with the other chapters.
Keywords: Eyewitness testimony, unreliability, erroneous, lineups, Rikers Island, Staten
Island University Hospital, Behavioral Science Department
�EYEWITNESS TESTIMONY
5
Chapter 1
Historical Influences Behind Eyewitness Testimony
The United States justice system has been relying on eyewitness testimony for over 100
years. According to Stern (1910) using the words “Testimony” or “Report” refers to the “verbal
expression of a recollection” (p. 271). Stern (1910) also stated the word “Recollection” means
the “complex of memorial ideas which has reference to a definite objective constellation of facts,
and of the conditions upon which this accuracy depends” (p. 271). The primary reason for
testimony is to determine its accuracy, the agreement between the recollection and the facts, and
conditions upon which this accuracy depends (Stern, 1910). After all, what good is an eyewitness
testimony if it is a recollection of false events? When it comes to eyewitness testimony, there are
many historical figures that influenced how this process was carried out under the law and paved
the way for how it is viewed today. Historical views on eyewitness testimony remain similar to
contemporary views in that this process is erroneous and occasionally unreliable. Psychology did
not become connected to the law until historical figure Hugo Münsterberg made various attempts
to incorporate the two. It baffled him to think that the law had never depended on the findings
and study of psychology.
Hugo Münsterberg’s Early Life
Hugo Münsterberg made his attempts to intertwine psychology and law in the early
twentieth century. Münsterberg was born in 1863 in the Prussian city of Danzig and is widely
known nowadays for founding applied psychology (Weiss & Xuan, 2015). He was the son of a
lumber merchant and an artist. During his early life, he had a greater interest in poetry than
science but was on a path to achieve a career in medicine. This all changed when he sat in on the
lectures of Wilhelm Wundt in 1883. Wundt was the first person to have the title psychologist and
�EYEWITNESS TESTIMONY
6
was the founder of experimental psychology. Ultimately, he was the influence that drove
Münsterberg to a career in psychology. Münsterberg then started working as a research assistant
in Wundt’s laboratory at the University of Leipzig and moved abroad to Germany. The two
started to have disagreements while working together. Their biggest argument was on the
application of psychology and Münsterberg disagreed with Wundt’s statement that psychology
“should remain a pure science without pragmatic concerns” (Weiss & Xuan, 2015, p. 2).
Münsterberg completed his PhD. in physiological psychology at the age of 22 and
attended the University of Heidelberg for medical school (Weiss & Xuan, 2015). He went on to
have an academic career at the University of Freiberg where he became close with biologist
Franz Keibel. Münsterberg conducted experimental research on attention, memory, and
perception. His work began to draw lots of attention especially that of William James at Harvard.
William James was a psychologist who coined the term functionalism in psychology and was the
first person to teach a psychology course in the United States. The two had met previously while
at the First International Congress of Psychology at Paris in 1889. Their interaction marked a
turning point in history. James wrote Münsterberg a letter detailing how he wanted him to be the
Chairman of the Psychological Laboratory at Harvard. This letter, dated back to 1890, shows
James’ interest in Münsterberg’s experiments and his recognition in the statement that
psychology needed to be advanced. Various letters were sent to Münsterberg from James, but one
in particular exercised caution pleading for intellectual flexibility. The letter states:
Whose theories in psychology have any definitive value today? No one's! Their only use
is to sharpen further reflection and observation. The man who throws out most new ideas
and immediately seeks to subject them to experimental control is the most useful
psychologist in the present state of the science. No one has done this as yet as well as
you. If you are only flexible towards your theories, and as ingenious in testing them
hereafter as you have been hitherto, I will back you to beat the whole army of your critics
before you are forty years old (Münsterberg, 1922, pp. 31–32, emphasis original).
�EYEWITNESS TESTIMONY
7
Münsterberg fired back at James stating how a psychological fact will never be measured and nor
has he ever measured one himself (Münsterberg, 1898). After performing many experiments, he
came to the conclusion that analogs of psychological facts were adequate to inform the courts.
He felt that it could provoke motions to be set in advancing the law. During his experiments, he
discovered through observations that eyewitness testimony was prone to error therefore leading
to a faulty adjudication (Weiss & Xuan, 2015). He continued to make bold statements on how
one’s perception and memory is fallible. Another bold statement made was about how the human
mind is susceptible to coercion resulting in unreliable confessions. This was related back to our
human nature. If our human nature is imperfect, then so must our mind or way of thinking be.
His solution was psychological assessments.
Rejected Views Made by Münsterberg
Due to Münsterberg’s previous research with Harvard students, he was convinced that
word-association tests could determine if a witness was telling a truthful recollection. This
caused Münsterberg to look into a criminal case that took place in Chicago in 1906 (Weiss &
Xuan, 2015). Richard Ivens, the defendant, was most likely mentally disabled and confessed to
killing a woman. This confession sentenced him to death. The defendant ironically ended up
retracting his confession and pleaded innocent. An expert witness on the case, J. Sanderson
Christison, claimed that the confession had been obtained through hypnotic suggestion (Weiss &
Xuan, 2015). Both Münsterberg and James were asked for their opinions on this case. James
stated how he would have the defendant’s mental capacity evaluated and Münsterberg took this
as his chance to implement forensic psychology. In 1906 there was no such thing as an argument
for a false confession. The Illinois Supreme Court ultimately did not take Münsterberg’s advice
of utilizing psychology and the defendant’s sentence to death was upheld. This was taken as a
�EYEWITNESS TESTIMONY
8
personal insult to the field of psychology and Münsterberg grew resentful. He could not
understand why experimental work on memory and other areas of psychology were not
recognized or accepted by the court system. He referenced psychiatric testimony as a
common-sense psychology.
Carl Gustav Jung’s and Münsterberg’s Word-Association Contribution
With the opinions and experiments of Münsterberg making the press, another major
historical figure came into the limelight. This man was Carl Gustav Jung and promotions of his
word-association test were being published in The New York Times (Weiss & Xuan, 2015). The
article hinted towards the idea that machines could potentially replace humans in detecting the
truth. Jung emphasized how freedom from bias and accuracy are the two main goals of
investigations. He stated how his up and coming invention, word-association, helped solve a case
where a thief’s guilt was unknown. After an application of the word test, a confession was made
closing the case.
Münsterberg also started receiving support from magazines and newspapers for his
application of word-association. The New York Times reviewed his article on eyewitness
testimony in McClure’s Magazine detailing how his research on college students is being applied
to real court cases (Weiss & Xuan, 2015). He also agreed with Jung on the statement that
machines could also possibly detect lies. Münsterberg continued to make absurd statements of
his time. One of the bold statements described how experimental psychologists have the
possibility of determining the truth just like a chemical expert could determine if there was a
poison in the stomach (Weiss & Xuan, 2015).
Münsterberg also went on to accept an invitation from McClure’s Magazine to analyze a
professional hit man by the name of Harry Orchard who was going to testify in the 1907 murder
�EYEWITNESS TESTIMONY
9
trial of union boss William “Big Bill” Haywood (Münsterberg, 1908; Winter, 2012). Allegedly
Haywood ordered an assassination of former Governor Steunenberg and Orchard confessed that
he was the designated hitman.
Münsterberg first listened to and observed Orchard, making notes of his appearance
(Weiss & Xuan, 2015). He tried to remain as unbiased as possible after mentioning that he
noticed the man had an abnormal lower lip and deformed ear. Although he did mention that this
man fit the image of a criminal, he was determined to place science before instinct. He continued
his interview with the utilization of timed word associations and found intelligent responses to
“dangerous” words. For example when the word governor was shown, Orchard replied stating
“blood” (Weiss & Stern, 2015). Orchard also remained emotionless during the interview and
showed no signs of guilt. In conclusion Münsterberg stated that the test was a success and the
confession was in fact true. Münsterberg accepted this job from McClure’s to demonstrate how
his work and research at Harvard could be used in the real criminal world.
Münsterberg’s Detremental Mistake
Ironically after all this hard work, Münsterberg would be seen as a joke. Münsterberg was
supposed to report to McClure’s after the trial (Winter, 2012). However, on his way back to
Boston he met a reporter and due to such excitement from his success he leaked his findings to
this reporter (Weiss & Xuan, 2015). The jury rejected Orchard’s testimony and acquitted
Haywood. Due to the fact that Münsterberg spoke too soon and the jury was at odds with him,
this was not a good look. To try and save his reputation, he wrote a letter to the New York
Evening Post stating how he had not slept for several days when he revealed his findings
prematurely and asked that the case against psychology not be visited again until his findings
were published (Idaho Statesman, 1907). This letter was then reprinted in Boise, Idaho where the
�EYEWITNESS TESTIMONY
10
case took place. The response to this letter was embarrassing and the media did not hold back on
criticizing his work. Münsterberg’s book On the Witness Stand published in 1908 later stated
how his findings could not determine legal facts. Münsterberg may have bitten off more than he
could chew.
Overall there were good reviews written about the word association process and how this
foreshadows future technology to come. This technology could rid of bias and promote accuracy.
Coercive police tactics and brutality could be eliminated with the use of machines.
Wigmore Versus Münsterberg
Münsterberg was quickly catching the attention of lawyers after this brutal mistake but
not the kind that he was expecting. His number one rival was John Henry Wigmore who was the
Dean of Northwestern Law School at the time (Weiss & Xuan, 2015). In response to On the
Witness Stand, Wigmore published an article in response in the Illinois Law Review. Due to this
critique, eyewitness testimony research was stalled for about 50 years. In this critique Wigmore
put Münsterberg on mock trial with Münsterberg, “of the Ancient and Honorable University of
Cambridge, Bay State,” being accused of libel in fake court of “Wundt County,” with the
plaintiffs seeking a singular dollar and to clear the name of American common law (Wigmore,
1909, p. 400). This fictitious case is referred to as Cokeston v. Münsterberg. The “charges” that
were being made against him were due to false and erroneous assertions. Wigmore stated how
there was no place for psychological methods in law. He also provided information with
warnings that other psychologists have made against Münsterberg. This was a warning against
applying research findings to real-life events. Other psychologists argued that Münsterberg’s
methods were premature for forensic use. Wigmore also had cited over a hundred original
sources from French and German psychological literature. His critique ironically spread
�EYEWITNESS TESTIMONY
11
knowledge of applied psychology to the legal community and discredited Münsterberg for not
doing so (Sporer, 2008).
Wigmore also asked questions about Münsterberg’s methods regarding concreteness,
relative efficiency, and if its results are agreed upon (Weiss & Xuan, 2015). He embarrassed
Münsterberg for not publishing his work in scientific journals but instead accused him of looking
for publicity. The satire also mentioned the need for an acceptance of interdisciplinary
contributions. He invited collaboration between the law and psychology but with due time. To
add insult to injury, Wigmore stated how Münsterberg would not be the leader of this
collaboration. It was not until 1969 that the American Psychology-Law Society would be
created.
Münsterberg nonetheless continued his campaign and in 1916 he was asked to assist
defense counsel in a Cambridge, Massachusetts case (Weiss & Xuan, 2015). The defendent was
on trial for the murder and robbery of his father. This drew a lot of attention from the press and
the community. The defendant’s attorney William Wilson announced that Münsterberg would
explain the effect psychology could possibly have on witness testimony in cases in which the
trial comes months later after the crime was committed. This was the first time a lawyer called
on a psychologist to aid in the Massahusetts court. Münsterberg’s knowledge was used to prove
that eyewitness testimony can be faulty especially if the memories are being recalled several
months after the incident. In December of that same year Münsterberg had died suddenly while
giving a lecture.
William Moulton Marston
A man named William Moulton Marston worked in Münsterberg’s Harvard Laboratory,
taking over the forensic psychology movement after Münsterberg’s death. Marston had degrees
�EYEWITNESS TESTIMONY
12
in both psychology and law (Weiss & Stern, 2015). He was interested in the connections between
physiology and emotion. This led him to the discovery of a method to uncover deception
(Marston, 1938). This method is the systolic blood pressure deception test and it brought a
newfound respect to the field of psychology. Marston had hoped to succeed where Münsterberg
had failed. He eagerly wanted to aid in the prevention of coerced confessions and false
convictions. It was also known for quite some time that high blood pressure was correlated with
telling a lie. Marston wanted to use this method to help the courts shed some light on the truth.
In 1921, James Frye confessed to murdering a doctor the previous year. He later on
decided to retract his confession but the prosecution used this against him in the 1922 trial
(Weiss & Xuan, 2015). Frye’s lawyers looked for ways to minimize the impact of the confession.
This is where Marston was given a key opportunity. If Frye’s confession was false as he had
stated, then an important component could support this. Marston visited Frye and used his
systolic blood pressure machine he had created. According to the test, his retraction of a guilty
confession was true. He did not in fact commit the crime. Frye’s lawyers took this evidence,
along with scientific articles supporting the findings to the judge and jury. Although the judge
decided on barring Marston’s data and testimony, Frye was surprisingly convicted of second
instead of first degree murder. The jury’s decision allowed Frye to avoid the death sentence.
Although Frye was not found innocent, it is evident that the jury found some truth to Marston’s
findings otherwise they would have found him guilty in the first degree.
The defense appealed and the appeal went to the United States Court of Appeals. Justice
Van Orsdel issued an opinion in response to the case stating how he is upholding the court’s
ruling of the non-admissibility of the systolic blood pressure deception test (Weiss & Xuan,
2015). He also stated how new methods for the future must be generally accepted in the field it
�EYEWITNESS TESTIMONY
13
belongs to. About 70 years later the systolic blood pressure deception test would be used in
Daubert v. Merrell Dow Pharmaceutical, Inc. (1992). The purpose of these tests is to give the
jury the freedom to decide if someone is being truthful without the prejudice of expert witnesses
getting in the way. These inventions are aimed at making a fairer system. This did lead to the
famously known polygraph test we have today, although it still has its flaws as people have
learned how to control their blood pressure when lying. Its uses in law enforcement have
prospered despite the controversy. The newest lie detection test involves functional brain
scanning (Weiss & Xuan, 2015). This has all jumpstarted an interest in unconscious phenomena
such as racial bias.
Without the mistakes made by Münsterberg the pathway that psychology has made into
the law would not be existent. Sometimes it takes a couple of failed attempts to succeed and this
was the case here. Marston elongated this pathway and expanded upon it.
Binet’s Scientific Foundation for Eyewitness Testimony
While Münsterberg was busy conducting his research in Germany before he died, a
French researcher by the name of Alfred Binet was studying the influence of suggestions on
memory and false illusions (Weiss & Xuan, 2015). He has made many contributions to memory
research, especially with children. Little of Binet’s work on memory has been translated into
English so most people do now know about his work in this field (Nicolas et al., 2014). He had
children participate in a series of experiments on suggestibility in visual memory. His program of
individual psychology started in 1896. He argued that each individual differed from each other in
his or her mental processes. Binet’s book “On suggestibility” established the role of an
experimenter’s suggestions on the acts of recollection in subjects that participated individually
and in groups (Weiss & Xuan, 2015). In a chapter of his book Binet detailed the psychology of
�EYEWITNESS TESTIMONY
14
testimony. According to Binet, judges can influence a witness by the questions they ask them.
These aspects include leading suggestions and pressure to recall (Nicolas et al., 2014). This
added pressure could affect how someone responds.
In an experiment Binet used a group of male elementary school children aged 7 through
14 years old. To study the effect of suggestion on memory, he used six objects that were pasted
on a poster. The poster was dark yellow, square in shape, 22 centimeters long and 15.5
centimeters tall (Weiss & Xuan, 2015). These six items included: a coin, stamp, store label,
button, small magazine picture of a crowd, and photograph. The children were familiar with
most of the images, if not all of them. The children were shown the poster for ten or twelve
seconds and were then asked to recall what they had seen. The children clearly did not have
enough time to analyze the pictures in accurate detail. This was to put them in the mental state of
a witness. The children were asked to write their answers as detailed as they could. The children
were not asked any suggestive questions or any questions for that matter. The results showed that
the reports were incomplete and had many errors. These reports represented testimony. Binet was
demonstrating how if we desire truthful testimony from children, we should not ask them any
questions or ask them to orally recall but write down what they know (Nicolas et al., 2014).
Although the reports were not perfect, they did contain the most truthful responses. This is
especially true for children, because they are less capable than adults in determining fact versus
fiction.
Historical figures such as Münsterberg, Marston, and Binet were primary figures in
paving the way for forensic psychology. The errors and fallibility of eyewitness testimony are
still debated and being studied today. Surprisingly the views on this topic have not changed.
�EYEWITNESS TESTIMONY
15
Contemporary Views About Eyewitness Testimony Remain Similar
Truthful but mistaken eyewitnesses are the number one cause of wrongful convictions in
the United States (Dolyle, 2005). This unfortunately often leads to the innocent going to prison
and the guilty running free in society. Aspects such as personal ambition, legal/ political
principles, and scientific inquiry come to play when it comes to eyewitness testimony.
Wrongful convictions are happening every day. In 2001 a man by the name of Royal
Clark was charged and convicted of armed robbery at a Burger King in Louisiana (CBS
Interactive, 2019). Three Burger King employees picked him from a lineup but only one was
sure of their testimony. That one witness convinced the jury and Clark was sentenced to 49 and a
half years in prison. The defendant’s appeals were denied and his newborn son grew up without
him. The assailant used a cup and left fingerprints, but the fingerprints were deemed unusable. In
2018 the Innocence Project New Orleans took his case. Attorney Kia Hayes hoped for DNA
testing of the cup but it was never collected. The prints were reanalyzed with the agreement of
District Attorney Paul Connick. There ended up being a match to someone who had a history of
crimes and was currently already in prison for several armed robberies. This is just one case
where a man was wrongfully convicted. Nancy Franklin, a psychology professor at Stony Brook
University, stated that this unfortunately happens all the time. “Of those who have been
exonerated by DNA evidence, nearly three-quarters of them were convicted in the first place
because of faulty eyewitness testimony” (CBS Interactive, 2019). This man lost witnessing years
of his child’s life because of someone else’s mistake.
Another similar incident occurred and was discussed in a video made by the National
Science Foundation featuring psychologist Gary Wells. He stated “Mistaken identification tends
to result in the person actually believing and developing a memory that is consistent with the
�EYEWITNESS TESTIMONY
16
person they identified” (National Science Foundation, 2015). Witnesses basically tend to trick
themselves and draw up a false narrative in their brains. Eyewitnesses often get it right but
mistakes are still being made. The goal is to minimize these mistakes.
Psychologist Elizabeth Loftus studies false memories consisting of when people either
remember things that never happened or remember the events that occurred in a different way
(TED, 2013). She is a widely known psychologist and appeared in court as an expert witness
many times. She shares some interesting stories in a TED talk and mentions a study she
performed. Participants were shown a simulated accident and asked them how fast the cars were
going when they either hit or smashed each other. When the participants were asked using the
leading word “smashed”, they said the cars were going faster at 41 mph as opposed to the 34
mph response given when asked with the word “hit”. The leading “smashed” question also led
people to say they saw broken glass at the scene. These contemporary views and studies show
how forensic psychology, although advanced, still deals with similar problems to that of the ones
we had in the 19th and 20th century.
Conclusion
Historical and contemporary views on eyewitness testimony remain similar in the
conclusion that it is fallible. Without the works of Münsterberg, Jung, Wigmore, Marston, and
Alfred Binet a foundation for legal psychology would not have been made. Due to this
foundational knowledge, psychologists can now ask themselves how eyewitness testimony can
better be improved.
�EYEWITNESS TESTIMONY
17
Chapter 2
Current Challenges Faced During a Lineup of Criminals
In today’s world there are various areas of psychology. Forensic psychology is considered
a specialty area of psychology by the American Psychological Association (APA). Forensic
psychology is defined as:
“the professional practice by psychologists within the areas of clinical psychology,
neuropsychology, and school psychology, when they are engaged regularly as experts and
represent themselves as such, in an activity primarily intended to provide professional
psychological expertise to the legal system” (Forensic Psychology Specialty Council,
2000).
One important trait of forensic psychology is eyewitness testimony and identification. The
current concerns and problems with eyewitness testimony containing characteristics of
unreliability will be addressed in this chapter. The lineup process plays a vital role in eyewitness
identification sending either the right or wrong person to prison. Psychologists have long warned
about the possible errors that could occur when it comes to eyewitness identifications. The
American Psychology Law Society has published a review paper to examine cases of eyewitness
identifications and how government officials can collect eyewitness testimonies to attempt to
resolve the problems of mistaken identifications (Wells et al., 2020). The fact that this society
had to publish a review to provide solutions demonstrates how serious this issue is.
The criminal justice system utilizes eyewitness identification to close cases and find
perpetrators. Warnings of the unreliability and fallibility of it have long been warned about. DNA
exoneration has been used in aiding cases where an innocent person wrongfully goes to prison
(Wells & Olson, 2003). These cases have proven that mistaken eyewitness identification is the
�EYEWITNESS TESTIMONY
18
primary reason why this keeps occuring. Certain aspects affect these identifications such as
characteristics of the witness, lineup content, and lineup instructions. For example, if during a
lineup suggestive language is used towards a specific individual by the police, the eyewitness is
more likely to just choose that person as the criminal. Administrative bias is a major aspect that
affects the outcome of a lineup.
Understanding the Process of Lineup Identification
Two important processes take place during lineup identification: automatic recognition
and elimination strategy. About 40% of witnesses are asked to complete a lineup identification
(Steblay et al., 2001). In an article, researchers used a modified-RSA (Retrospective Self
Awareness) interview method to create questionnaires to further understand the processes
involved in lineup identification (Wittwer et al., 2022). Two sets of studies were performed that
reported parallel investigations in two countries: France and South Africa. Questionnaire items
were constructed through interviews following an inductive method to capture decision
processes. Dimensions for reduction were then determined through factor analysis and these
were tested on their ability to predict eyewitness accuracy. In Study 1 (France) 208 participants,
consisting of both males and females, watched four videos of a simulated staged theft crime
committed by a young white male (Wittwer et al., 2022). After watching the video, they were
asked to pick the man out of a photograph lineup even though they were told the man may or
may not be in the lineup. They then filled out a questionnaire on their decision making process.
In South Africa the same study was done and consisted of 221 participants also consisting of
both males and females (Wittwer et al., 2022). Automatic recognition, elimination strategy, and
lack of familiarity emerged from this analysis. Overall, logistic regressions revealed that
witnesses who reported using a familiar feeling or an elimination strategy to make their decision,
�EYEWITNESS TESTIMONY
19
were less likely to choose the correct culprit as opposed to someone that used automatic
recognition.
Identifying Masked Criminals in a Lineup
Another challenge the justice system faces when it comes to eyewitness testimony in
lineups is that criminals tend to wear masks over their faces. This makes it more difficult for
identification. An investigating officer is the one that makes a decision on how to administer a
lineup in this case. Currently no evidence-based recommendations exist for eyewitness
identifications of a masked criminal (Manley et al., 2019). In an article, 4 experiments were
conducted examining lineup identification performance depending on studying a full face versus
a partial/masked face and identifying a target from a full face lineup versus a partial/masked face
lineup. Experiments 3 and 4 were manipulated by making the target either present or absent in
the lineup. When the participants studied someone with a masked face, the masked face lineup
increased in identification accuracy relative to the full face lineup. The researcher concluded that
matching lineup construction to how witnesses originally studied or saw the perpetrator could
increase the accuracy of the eyewitness identification.
Biased Instructions Given During Identification
The next major aspect of eyewitness identification is the instructions given. A
meta-analytic review of research comparing biased and unbiased instructions given during
eyewitness identification experiments demonstrated an asymmetry, specifically that biased
instructions led to a great decrease in the accuracy in target-absent lineups but produced
inconsistent results for target-present lineups (Steblay, 1997). A re-examination of the studies
and meta-analysis of these studies showed that with biased lineup instructions correct
�EYEWITNESS TESTIMONY
20
identification rates actually increased and biased witnesses end up making correct identifications
at a high rate that is above chance (Clark, 2005).
Effects of Administrator Knowledge
Another group of researchers investigated the effects of administrator knowledge of a
suspect’s identity in a lineup that was blind versus unblind, had witness identification with versus
without fillers, and measured witness confidence (Rodriguez et al., 2020). The participants
consisted of 488 undergraduate participant administrators being presented with a lineup to a
confederate witness which is one who made a scripted identification decision. The participants
were also asked to complete a record of the lineup task. The results showed that Nonblind
administrators recorded 25% fewer identification fillers and viewed witnesses less favorably in
the filler identification condition. The blind administrators were not influenced by witness
selection. Blind administrators took more qualitative notes and information regarding the
witness’s decision process. Nonblind administrators’ characterizations were biased in regards to
witness confidence in their identifications of the criminal. Overall, this experiment demonstrated
how blind administration rids of biases and leads to better qualitative notes for record. Blind
lineup continues to be recommended in the field due to studies such as this one.
Conclusion
Overall, it is logical to conclude that forensic psychology still suffers many challenges
specifically when it comes to eyewitness identification. Unfortunately many people go to prison
due to wrongful convictions every day. Automatic recognition and elimination strategy provide
us with better ways in understanding how witnesses choose a person in a lineup. Perpetrators
wearing masks is another major issue making identification more difficult. Present concerns also
revolve around blind and unbiased lineups. These conditions are ideal but are not always the
�EYEWITNESS TESTIMONY
21
case. With ongoing research, such as the types mentioned in this chapter, concerns that the field
of forensic psychology is currently suffering from will hopefully be reduced.
�EYEWITNESS TESTIMONY
22
Chapter 3
Rikers Island is Anything but Paradise
Wrongful convictions are causing innocent people to go to dangerous prisons everyday
due to the unreliability of eyewitness testimony and identification. New York City’s Rikers
Island is one of them. The jail suffers from overcrowding, lack of staff, and the jail itself is
deteriorating. It has been a consistent major concern for the city. It has been named as a major
symbol of criminal justice dysfunction (Mooney, 2020). It is being called to close down and be
replaced with smaller up to date jails. Ironically, when it opened it was coined a model facility.
Rikers Island is made up of nine separate jails and contains about 4,000 to 5,000 prisoners. This
jail is located on the East River of New York City across the waterway from LaGuardia airport.
These inmates live with a perfect view of the city making it seem so close but in reality it is so
far due to the life sentences that most of them have. This jail is infamously known as one of the
most racially and class-concentrated jails in the country (Mooney, 2020). Unfortunately, most of
these prisoners are pre-trial detainees waiting for their trial. Presumably they are innocent and
just awaiting to defend themselves in court. The jail also has high rates of violence and gang
fights. The question is how do we make this an effective, safe jail and limit the amount of
prisoners coming in, especially those that are pre-trial detainees?
Frequently Admitted Individuals
A study was performed to study the people most frequently admitted to Rikers.
Correctional Health Services electronic health records were used to identify 800 patients
admitted in 2013 that returned since November of 2008 (MacDonald et al., 2015). They were
then compared to a randomly selected control group of 800 other prisoners admitted in 2013. The
most frequently incarcerated individual had a median of 21 incarcerations representing 18,713
�EYEWITNESS TESTIMONY
23
admissions. These people also tended to be older so anywhere from 35 to 42 years of age. They
also tended to suffer from a serious mental illness and homelessness. Substance abuse was
another major factor that was found. Hot spotting was suggested as a potential solution to this
problem. This is a practice that identifies and focuses on the most frequent users of health care
services in a specific population and offers tailored intensive care management. This would
potentially reduce costs and increase quality care.
Pre-Trial Detainees
Pre-trial detainees is another issue and these people should not be in the same prison as a
murderer or rapist. Most of the pre-trial detainees are being held at Rikers for crimes such as
petty theft and other minor offenses. Pre-trial detainees should be placed in a different building
separate from maximum security. Too many suicides are occuring in this prison where the inmate
should not have been held in a high maximum security prison in the first place. High profile
criminals should not be allowed to eat lunch or play basketball with pre-trial detainees who have
committed only minor crimes. For some of the pre-trial detainees, this is their first offense.
Who Should Go to Prison?
Another very important question that should be asked is: How do we know who should
be sent to prison? Once we can answer this question, we can start to decrease and prevent
overcrowding in prisons like Rikers. Various studies have shown that it is difficult to predict who
poses a direct threat to others. Risk assessment instruments have been developed for this reason.
The United States currently has the highest rate of imprisonment compared to any other country.
This makes experts wonder if risk assessments are accurate enough. A group of researchers have
identified 22 studies that included over a million citizens that were charged or convicted of a
crime (Viljoen et al., 2019). A meta-analysis was conducted along with a narrative review. The
�EYEWITNESS TESTIMONY
24
results showed that after risk assessment instruments were adopted, increases in post conviction
release occurred. Imprisonment rates could potentially be decreased without putting society’s
well being at risk. The results of this study supported the statement that risk assessments could
reduce detention rates.
Although this study makes valid points, it does fail to mention how criminals could be
sent to psychiatric facilities as opposed to jail. Being sent to a psychiatric facility could very well
be a better option for some convicted criminals. After they have completed their suggested
treatment time, they could be evaluated again for posing a risk to society. After this final
evaluation, they could be released into society again. This could be a factor that could potentially
lead to lower incrimination rates as well.
The United States currently has the highest imprisonment rates causing prisoners to be
crammed in their facilities due to the increase in arrests. This leads to unhealthy living
environments and spread of illnesses across the prison. Overall, the increase in the amount of
defendants being sent to prison creates a domino effect that negatively affects prisoners. By
accurately evaluating each patient’s mental health, rehabilitation options can be more widely
offered instead of just throwing someone who is truly sick in jail.
Problems Correction Officers Face
Not only are the prisoners suffering from the horrible conditions at Rikers, but so are the
Correction Officers. They deal with problems such as burnout, job dissatisfaction, and anxiety.
This stress and anxiety weakens their immune system causing them to become more susceptible
to becoming sick. If they become sick, this lowers the amount of short staff that they already
have. This is harmful to one’s mental health as well. These officers work long hours and double
shifts due to the limit of workers. Turnover rates are also extremely high (Leip & Stinchcomb,
�EYEWITNESS TESTIMONY
25
2013). Most of the officers also have to go to work fearing for their life due to the high
percentage of gang violence in the jail. Most people did not even come back to work after
Covid-19 due to how disgusting and unbearable the conditions are (Martin-Howard, 2022).
A potential way that this prison could entice people to want to become correction officers
is by fortifying the prison and making it more secure. For example, many of the doors that are
keeping the inmates in their cells are rotted and weak making it easy for escape to wreak havoc.
More cameras and security sensors with a bell should be installed at the foot of every cell
alerting the officers if someone escapes. Sharp objects should not be allowed in the jail such as
forks and even something as bizarre as wooden furniture. Too many things can be turned into
sharp weapons. These are just a few suggestions that could potentially benefit correction officers.
Conclusion
In conclusion Rikers Island is a project that will continuously have to be in progress if it
is to improve. Hot spotting is a program that should definitely be implemented to increase the
amount and type of care received. Pre-trial detainees should have their own separate building on
the island. Risk assessments also need to be taken more seriously and used for every single
person. This will aid in keeping the right people in prison and others who need serious help in a
mental rehabilitation center. The number of correction officers will most likely only increase if
the jail becomes a healthier and safer environment. These are just a list of some of the many
possible solutions this jail could use. With these solutions prisoners will be better protected,
especially those that are wrongfully convicted. Investigation processes such as eyewitness
testimony are not foolproof so we need to keep prisons up to date so that the innocent people that
unfortunately end up there are safe. Rikers will continue to be hell on Earth if it does not
improve in some way.
�Chapter 4 redacted to remove personal reflections and any identifying information.
�EYEWITNESS TESTIMONY
29
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32
�
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Creator
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Nicole Magnavita
Date
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5/1/2023
Title
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Unreliability of Eyewitness Testimony: Past and Present
Contributor
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Dr. Jessica England, Dr. Laurence Nolan
Psychology
Type
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text
Format
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application/pdf
Extent
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30 pages
Language
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eng
Rights
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U.S. and international copyright laws may protect this work. It is provided by Wagner College for scholarly or research purposes only. Commercial use or distribution is not permitted without prior permission of the copyright holder.
Rights Holder
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Wagner College, Staten Island, NY